SUBCHAPTER B—FEDERAL MOTOR CARRIER SAFETY REGULATIONS
PART 350—COMMERCIAL MOTOR Basic grant means the funds available CARRIER SAFETY ASSISTANCE to a State for carrying out an approved PROGRAM State Enforcement Plan (SEP), which include, but are not limited to: Sec. (1) Recruiting and training of person- 350.1 Purpose. nel, payment of salaries and fringe ben- 350.3 Definitions. efits, the acquisition and maintenance 350.5 Policy. of equipment except those at fixed 350.7 Objective. weigh scales for the purposes of weight 350.9 Conditions for basic grant approval. enforcement, and reasonable overhead 350.11 Adopting and enforcing compatible costs needed to operate the program; laws and regulations. (2) Commencement and conduct of 350.13 State Enforcement Plan (SEP) for a expanded systems of enforcement; basic grant. 350.15 Certification of compliance by State. (3) Establishment of an effective out- 350.17 Maintenance of effort. of-service and compliance enforcement 350.19 Grant application submission. system; and 350.21 Distribution of funds. (4) Retraining and replacing staff and 350.23 Acceptance of State plan. equipment. 350.25 Effect of failure to submit a satisfac- Commercial motor vehicle means any tory State plan. self-propelled or towed vehicle used on 350.27 Procedure for withdrawal of approval. 350.29 Eligible costs. the public highways in commerce to transport passengers or property when: APPENDIX A TO PART 350—GUIDELINES TO BE USED IN PREPARING STATE ENFORCEMENT (1) The vehicle has a gross vehicle PLAN weight rating or gross combination APPENDIX B TO PART 350—FORM OF STATE weight rating of 10,001 or more pounds; CERTIFICATION or APPENDIX C TO PART 350—TOLERANCE GUIDE- (2) The vehicle is designed to trans- LINES FOR ADOPTING COMPATIBLE STATE port more than 15 passengers, including RULES AND REGULATIONS the driver; or AUTHORITY: 49 U.S.C. 31101–31104, 31108, (3) The vehicle is used in the trans- 31136, 31140–31141, 31161, 31310–31311, 31502; and portation of hazardous materials in 49 CFR 1.48. quantities requiring placarding under SOURCE: 57 FR 40956, Sept. 8, 1992, unless regulations issued by the Secretary of otherwise noted. Transportation pursuant to the author- ity of the Hazardous Material Trans- § 350.1 Purpose. portation Act, as amended (49 U.S.C. The purpose of this part is to pre- app. 1801 et seq.). scribe requirements for Federal assist- Compatible or compatibility means, in ance to States for programs to adopt relation to State laws and regulations and enforce Federal rules, regulations, pertaining to commercial motor vehi- standards and orders applicable to cle safety, having the same effect as commercial motor vehicle safety or the Federal Motor Carrier Safety Regu- compatible State rules, regulations, lations (FMCSR) or Federal Hazardous standards and orders. Materials Regulations (FHMR) in that those State rules are either identical § 350.3 Definitions. or fall within the tolerance guidelines As used in this part: in appendix C to this part. Administrator means the Federal Motor carrier has the same meaning Highway Administrator. such term has in § 390.5. Basic allocation means only those State means a State of the United Federal funds distributed by the alloca- States, the District of Columbia, the tion formula, or the minimum funding Commonwealth of Puerto Rico, the level specified in this part. Virgin Islands, American Samoa,
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Guam, or the Commonwealth of the FHWA, will serve as the basis for mon- Northern Marianas. itoring and evaluating performance of the State under the grant, and will be [57 FR 40956, Sept. 8, 1992, as amended at 60 FR 38743, July 28, 1995] resubmitted, with revisions as nec- essary, in applications for reapproval § 350.5 Policy. in following years. The Federal Highway Administration (c) The SEP shall designate the lead (FHWA) policy is to encourage each State agency responsible for admin- State to enforce uniform motor carrier istering the plan for the State. safety and hazardous materials regula- (d) The agencies named to perform tions for both interstate and intrastate functions under the plan shall have the motor carriers and drivers. The re- legal authority, resources, and quali- quirements for compliance with safety fied personnel necessary to enforce the standards in one State should be com- FMCSR and FHMR or compatible State patible with the requirements in an- rules at the time the State implements other State. A coordinated program of the approved SEP. inspection and enforcement activities (e) The State shall allocate adequate is needed to avoid duplication of effort, funds for the administration of the to promote compliance with uniform SEP and the enforcement of the safety requirements by all types of FMCSR and FHMR or compatible State motor carriers, and to provide a basis rules. for sanctioning carriers for poor safety (f) State laws shall provide for right performance. of entry and inspection adequate to carry out the SEP and provide that the § 350.7 Objective. State will grant maximum reciprocity The objective of the Motor Carrier for inspections conducted pursuant to Safety Assistance Program (MCSAP) is the North American Uniform Driver/ to reduce the number and severity of Vehicle Inspection standard, through accidents and hazardous materials inci- the use of a nationally accepted system dents involving commercial motor ve- allowing ready identification of pre- hicles by substantially increasing the viously inspected commercial motor level and effectiveness of enforcement vehicles. activity and the likelihood that safety (g) The State shall certify that it will defects, driver deficiencies and unsafe maintain its aggregate expenditure of carrier practices will be detected and funds by the State and political sub- corrected. divisions thereof, exclusive of Federal funds, for commercial motor vehicle § 350.9 Conditions for basic grant ap- safety programs and related programs proval. eligible for funding under this part, as (a) The State shall agree to adopt, required by § 350.17 of this part. and to assume responsibility for en- (h) The State shall agree to prepare forcing the Federal Motor Carrier Safe- and submit all reports required in con- ty Regulations (FMCSR) (49 CFR parts nection with the SEP or other condi- 390 through 399, except as may be de- tions of the grant to the FHWA upon termined by the Administrator to be request. inapplicable to a State enforcement (i) The lead State agency shall agree program) including highway related to adopt such uniform reporting re- portions of the Federal Hazardous Ma- quirements and use such uniform forms terials Regulations (FHMR) (49 CFR to record work activities performed parts 107, 171–173, 177, 178 and 180), or under the SEP as may be established compatible State rules, regulations, and required by the FHWA. standards, and orders applicable to (j) The State shall require registrants motor carrier safety, including high- of commercial motor vehicles to de- way transportation of hazardous mate- clare, at the time of registration, rials. knowledge of the FMCSR and FHMR or (b) The State shall submit a State compatible State rules, as applicable. Enforcement Plan (SEP) for the con- (k) The statutory authority of the duct of an effective safety program. State to regulate motor carriers shall Such plan, upon acceptance by the extend to private motor carriers of
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property as well as for-hire motor car- lations, standards, or orders in relation riers. to the FMCSR and FHMR. (l) The State shall ensure that com- (c) State laws and regulations per- mercial motor vehicle size and weight taining to commercial motor vehicle enforcement, drug interdiction, and safety in interstate commerce are also traffic enforcement activities funded subject to preemption under the provi- under this program will not diminish sions of § 355.25 of this chapter. the effectiveness of other commercial (d) State laws and regulations that motor vehicle safety enforcement pro- are not identical to the FMCSR or grams. FHMR will be deemed compatible for (m) The State shall take appropriate purposes of this part only if they are steps to ensure that fines imposed and within the variances permitted under collected by the State for violations the tolerance guidelines in appendix C will be reasonable and appropriate and, of this part. to the maximum extent practicable, (e) No State shall implement any will seek to implement into law and changes to a State law or regulation practice the recommended fine sched- which makes that or any other law or ule published by the Commercial Vehi- regulation incompatible under this sec- cle Safety Alliance. tion. (n) The State will participate in the SAFETYNET no later than January 1, (f) As soon as practical after the ef- 1994. fective date of any amendment to the (o) The State will undertake efforts FMCSR or FHMR, but no longer than to emphasize and improve enforcement three years, the applicable State law or of State and local traffic laws as they regulation must be adopted or amended pertain to commercial motor vehicle in such manner as makes it compatible safety. with the amended Federal provision. (p) The State will ensure comprehen- (g) Any State may apply for a vari- sive enforcement and reinspection of ance related to State laws, regulations vehicles and drivers placed out of serv- or enforcement practices pertaining to ice to verify compliance with lawful or- commercial motor vehicle safety in ders and the correction of all violations intrastate commerce, which shall be cited on roadside inspection reports. granted if the State can satisfactorily demonstrate that the State law, regu- § 350.11 Adopting and enforcing com- lation or enforcement practice patible laws and regulations. achieves substantially the same pur- (a) No funds shall be awarded under pose as the similar Federal rule, does this part to States that do not adopt not apply to interstate commerce, and and enforce laws and regulations that has no adverse impact on safety. are compatible with the FMCSR (ex- (h) Upon a determination by the cept as may be determined by the Ad- FHWA, on its own initiative or after ministrator to be inapplicable) and the determination initiated at the request FHMR, unless otherwise provided in of any person, including a State, that a the Tolerance Guidelines (appendix C State has failed to comply with the re- to this part). quirements of this part, or that a State (b) The State shall conduct an annual law, regulation or enforcement prac- review of all its laws and regulations tice pertaining to commercial motor pertaining to commercial motor vehi- vehicle safety in either interstate or cle safety to determine their compat- intrastate commerce is incompatible ibility with the FMCSR and FHMR. with the FMCSR or HMTR, a proceed- The review shall be carried out in ac- ing under § 350.27 for withdrawal of ap- cordance with part 355 of this sub- proval of a State plan may be initiated. chapter. To support a State’s conten- This proceeding shall be in addition to tion of compatibility, the State may submit opinions from the State’s At- or in conjunction with any action initi- torney General or other chief legal offi- ated under § 355.25 of this chapter. cer with respect to the effect and en- (i) Any decision regarding the com- forceability of State laws, rules, regu- patibility of a State law or regulation
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with the FHMR that requires an inter- with the State’s out-of-service orders. pretation will be referred to the Re- State enforcement activities to remedy search and Special Programs Adminis- out-of-service violations shall depend tration for such interpretation before on the extent of the verification prob- proceeding under § 350.27. lem and may include, but are not lim- [57 FR 40956, Sept. 8, 1992, as amended at 59 ited to: on-site reinspection activities; FR 5264, Feb. 3, 1994] covert surveillance activities; safety and compliance review programs; and § 350.13 State Enforcement Plan (SEP) other State proposed activities ap- for a basic grant. proved by the FHWA; and (a) As a condition of the basic grant (v) Describe the tracking system to the State shall submit its proposed be used by the State to ensure that the SEP or update thereof to the FHWA di- motor carrier has certified to the cor- vision office. rection of the safety violations and re- (b) The SEP shall: turned the inspection report to the (1) Provide an assessment of the com- issuing agency. mercial motor carrier and highway (5) Be coordinated with the State hazardous materials safety problems highway safety plan under 23 U.S.C. within the State; 402. (2) Identify State penalty structures (6) Describe the methods the State applicable to enforcement activities will use to promote: covered in the SEP, evaluate their rea- (i) Removing impaired drivers from sonableness and appropriateness, and the highways through enforcement of indicate the steps being taken to ap- regulations on the use of alcohol and proximate the published Commercial controlled substances and by ensuring Vehicle Safety Alliance (CVSA) fine ready roadside access to alcohol detec- schedule, if necessary. tion and measuring equipment; (3) Demonstrate that the State has (ii) Appropriate training to its per- authority to regulate and to enforce its sonnel on the recognition of drivers im- regulations with respect to private car- paired by alcohol or controlled sub- riers of property as well as for-hire stances; motor carriers; and (iii) Enforcement of requirements re- (4) Describe in detail the objectives lating to the licensing of commercial sought to be achieved, the resources to motor vehicle drivers, including check- be employed, the work items to be per- ing the status of commercial driver’s formed, the unit costs where feasible licenses; and the methods to be used to measure (iv) Improved enforcement of hazard- effectiveness. Specifically, the SEP ous materials transportation regula- shall: tion by encouraging more inspections (i) Identify other agencies participat- of shipper facilities and comprehensive ing in the plan and describe the roles of inspections of hazardous materials each; loads; (ii) Identify the number and category (v) Effective controlled substance of personnel employed and the special- interdiction activities and training on ized training provided; strategies for carrying out such activi- (iii) Include roadside inspection ac- ties; and tivity at such times and locations as (vi) Effective use of trained and will assure comprehensive enforce- qualified officers and employees of po- ment; litical subdivisions and local govern- (iv) Describe the proposed reinspec- ments, under the direction and super- tion activities that would ensure motor vision of the lead agency, in enforce- carriers had made timely corrections ment of commercial motor vehicle of the out-of-service defects and other safety and hazardous materials trans- safety violations cited on the roadside portation safety. inspection reports and that out-of-serv- (7) Document, if funds are used for ice drivers came into compliance with vehicle size and weight, alcohol/con- the regulations. These reinspection ac- trolled substance checks, drug inter- tivities shall include covert operations diction and/or traffic law enforcement, to determine the extent of compliance that such activities are carried out in
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conjunction with an appropriate type demonstration or pilot programs need of vehicle or driver inspection. not be included in aggregating expendi- (c) Guidelines for the preparation of tures in the base period. the SEP are provided in appendix A to (d) For the purpose of determining this part. the State’s expenditures in the base pe- riod, only costs associated with activi- (Approved by the Office of Management and Budget under control number 2125–0536) ties performed by State or local agen- cies currently receiving or projected to § 350.15 Certification of compliance by receive funds under this part must be State. counted, and only those activities The FHWA will accept a certifi- which meet the most current require- cation, executed by the Governor, the ments for funding eligibility under the State’s Attorney General or other grant program must be included. State official specifically designated by (e) If it is determined that a State the Governor, in the form provided in has not maintained its level of expendi- appendix B to this part, that the State tures as certified, the State shall be is in compliance with the conditions of notified of the deficiency. Upon receipt § 350.9 of this part. The certification of such notification, the State shall shall accompany the SEP and be made have the opportunity to submit infor- part thereof. The certification shall be mation to substantiate the certifi- supplemented by a copy of any State cation. law, regulation or forms pertaining to (f) If, after consideration of all infor- commercial motor carrier safety mation, it is finally determined that a adopted since the State’s last certifi- State has failed to meet its mainte- cation, if any, which bear on the items nance of effort requirement, an amount listed in the certification. The certifi- equal to the deficiency shall be de- cate should acknowledge that activi- ducted from the State’s current alloca- ties described in § 350.9 will be per- tion. That amount will then be avail- formed. able for reallocation under § 350.21 of this part. § 350.17 Maintenance of effort. (a) No SEP shall be approved or grant § 350.19 Grant application submission. awarded in the absence of a commit- A State shall submit its application ment by the State to maintain the ag- to the FHWA division office on or be- gregate expenditure of funds by the fore August 1 of each year. The time State for commercial motor vehicle for submitting a plan may be extended and highway hazardous materials safe- for a period not to exceed 30 calendar ty programs as provided in this sec- days for good cause shown. Grants are tion. approved for the fiscal year for which (b) The State shall certify each year application is made. Failure of a State that the level of State funding for the to submit a plan for any given fiscal 12-month period covered in the SEP for year will preclude consideration of motor carrier and highway hazardous grant approval for that State for that materials safety, size and weight, traf- year. fic safety and drug interdiction en- forcement purposes shall not fall below § 350.21 Distribution of funds. the average aggregate expenditure of (a) The Federal share payable to re- funds, exclusive of Federal funds and imburse States for eligible costs in- any State matching funds used to re- curred in the administration of a com- ceive Federal funding, for those pur- mercial motor carrier safety program poses in the base period of three full shall not exceed 80 percent. fiscal years prior to December 18, 1991. (b) The FHWA will, upon request, The State may elect to use either Fed- waive the requirement for matching eral fiscal years or State fiscal years at funds to be provided by the Virgin Is- its option. lands, American Samoa, Guam, or the (c) In determining whether a State Commonwealth of the Northern Mari- has complied with this maintenance of anas. effort commitment, expenditures of (c) The funds available to any State State funds for federally sponsored for a basic grant in any one year shall
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be distributed according to an alloca- safety reviews and compliance reviews. tion formula based on the most recent Allocation for basic grants will be reliable data concerning the following made pursuant to paragraphs (c) and factors in equal proportion: (d) of this section. Unused basic alloca- (1) Road mileage (all highways); tions will be periodically redistributed. (2) Vehicle miles travelled (all vehi- Any eligible MCSAP activity can be in- cles); cluded under the State’s basic grant (3) Number of commercial vehicles activities. over 10,000 pounds (gross vehicle weight (2) Supplemental grants—funds used rating); to conduct additional activities or in- (4) Population (most current census); novative programs demonstrated to be and effective and cost-efficient, and may (5) Special fuel consumption (net include emphasis areas established by after reciprocity adjustment). policy in consultation with the States. (d) Subject to the availability of To be eligible for a supplemental grant, funds, the individual allocations shall a State must qualify for a basic grant. be adjusted so that no State qualifying Unused supplemental grant funds will for an award shall be allocated more be periodically redistributed among than a ceiling amount, which shall be those States that are able to dem- no less than the ceiling amount used in onstrate innovative, cost-effective pur- the previous year’s distribution proc- poses consistent with the objectives of ess. The ceiling shall be increased each this part. fiscal year in proportion to the amount (3) Special grants—funds used by of increase in the funds available for States to meet the conditions in § 350.9 distribution in that fiscal year. The al- regarding eligibility requirements for location formula shall also be adjusted basic grants; or for States already par- so that no State qualifying for an ticipating in the basic program, to de- award shall be allocated: velop the prerequisites for expanded (1) Less than the basic allocation of activities not presently part of their funds received in the 1991 fiscal year, basic programs. Special grants are also provided the SEP continues to support available for research or data collec- that level of funding; or tion activities, or for projects specifi- (2) Less than 0.5 percent of the total cally identified by statute, as, for ex- amount allocated to all States (or ample, commercial driver’s license en- $250,000, whichever is greater). forcement. To be eligible for a special (3) Beginning on October 1, 1994, and grant, a State need not qualify for a each October 1 thereafter, more than 50 basic grant. percent of the basic formula allocation (f) Notwithstanding any other provi- provided for in this section if any such sions of this section, funds which have State has adopted and is enforcing not been awarded to States under ap- compatible regulations applicable to plication of the allocation formula and interstate transportation, but has not the provisions for additional alloca- adopted or is not enforcing compatible tions contained in this section may be regulations applicable to intrastate redistributed at the discretion of the transportation. Administrator. Subject to the avail- (e) Funds will be allocated to States ability of funds, the primary purpose of in recognition of innovative, success- any such redistribution is to prevent a ful, cost efficient or cost effective pro- decrease in the amount of Federal grams to promote commercial motor funds used by particular States in pre- vehicle safety and hazardous materials vious years to support effective and in- transportation safety and provide in- novative programs. Preference will be centives to States that conduct traffic given to those States which have main- safety enforcement activities done in tained effective federally assisted pro- conjunction with motor carrier safety grams at levels beyond that possible if inspections. The allocations will be limited to formula allocations. done in three separate grants: (g) The funds obligated by a State (1) Basic grants—funds used to per- will remain available to the State for a form commercial vehicle safety activi- period of the fiscal year in which obli- ties such as driver/vehicle inspections, gated and the next full fiscal year. Any
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unexpended obligations which are to be tice and provide documentation as nec- carried over to the next fiscal year essary. must be accounted for in the new SEP (b) The Administrator’s decision, for that fiscal year. Funds must be ex- after notice and opportunity for com- pended in the order in which they are ment, will constitute the final decision obligated. of the FHWA. An adverse decision will result in immediate cessation of Fed- [57 FR 40956, Sept. 8, 1992, as amended at 59 FR 5264, Feb. 3, 1994] eral participation in the plan. (c) If the State does not respond to a § 350.23 Acceptance of State plan. notice of proposed determination of nonconformity as provided in para- (a) Each plan will be reviewed for graph (a) of this section, the proposed content, after which the State will be determination shall become the Ad- notified of its acceptance or rejection. ministrator’s final decision with the (b) The time for submitting a plan same effect as paragraph (b) of this sec- may be extended for a period not to ex- tion. ceed 30 calendar days for good cause (d) Any State aggrieved by an ad- shown. verse decision issued under this part (c) Each State plan shall include an may seek judicial review pursuant to 5 analysis of the effectiveness of its prior U.S.C. ch. 7. year’s plan in reaching the stated ob- jectives. The State will be advised § 350.29 Eligible costs. whether any changes are needed in the (a) Work must be performed pursuant plan or in its intended objectives. to an acceptable State plan in order for the cost of that work to be eligible for § 350.25 Effect of failure to submit a satisfactory State plan. reimbursement. The eligible costs under the grant program are comprised (a) A State will be notified in writing of the allowable direct costs incident that approval of the plan is being with- to the State’s performance and its allo- held along with the reasons for such cable portion of allowable indirect action, if: costs, less applicable credits. (1) It is determined that a plan does (b) The primary functions to be per- not meet the requirements described in formed under a basic grant are uniform §§ 350.9 and 350.13; or roadside inspections and safety and (2) It is determined that an SEP is compliance reviews with follow-up en- not adequate to ensure effective en- forcement actions or compliance meas- forcement of the FMCSR and FHMR; or ures. Consequently, the major cost will compatible State rules. be compensation and expenses of the (b) The State shall have 30 calendar personnel required to perform these days from the date of the notice to functions. modify the plan and resubmit it for ap- (c) Subject to paragraph (c)(5) of this proval. section, funds may also be used for: (1) Enforcement of size and weight § 350.27 Procedure for withdrawal of limitations; approval. (2) Detecting the unlawful presence (a) If a State is not performing ac- of controlled substances in a commer- cording to an approved plan or a State cial motor vehicle or on the person of is not adequately enforcing the FMCSR any occupant (including the operator) and FHMR, or compatible State rules, of such a vehicle; the Administrator shall issue a written (3) Enforcement of State traffic laws notice of proposed determination of and regulations designed to promote nonconformity to the Governor of the safe operation of commercial motor ve- State or the official designated in the hicles; and plan. The notice shall state the reasons (4) Sanitary food transportation in- for the proposed determination and in- spections pursuant to 49 U.S.C. 2808. form the State that it may reply in (5) Provided: these activities are car- writing within 30 calendar days from ried out in conjunction with an appro- the date of the notice. The reply should priate type of inspection for enforce- address the deficiencies cited in the no- ment of safety regulations. Size and
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weight enforcement must be conducted the approved SEP, and allowable under at locations other than fixed weight fa- this part and 49 CFR part 18, Uniform cilities, at specific geographical loca- Administrative Requirements for tions where the weight of the vehicle Grants and Cooperative Agreements to can significantly affect the safe oper- State and Local Governments. ation of the vehicle, or at seaports (k) In-kind contributions are accept- where intermodal shipping containers able if they represent eligible costs as enter and exit the United States. established by 49 CFR part 18, OMB (d) Eligible personnel costs include, Circulars, agency rule or policy. but are not limited to: (1) Recruitment and screening; APPENDIX A TO PART 350—GUIDELINES (2) Training; TO BE USED IN PREPARING STATE (3) Salaries and fringe benefits; and ENFORCEMENT PLAN (4) Supervision. (e) Equipment and travel costs di- 1. Designate the lead State agency: The plan should indicate the agency responsible rectly related to the primary functions for administering the plan. are also eligible for proportionate re- 2. Program Summary: This section in- imbursement. These costs include, but cludes objectives, activities, resources, costs are not limited to: and an analysis of the effectiveness of the (1) Vehicles; program. (2) Uniforms; (a) Define the problem: In assessing the level (3) Communications equipment; of commitment to be made to the enforce- (4) Special inspection equipment; ment of commercial motor carrier and high- (5) Vehicle maintenance; way hazardous materials safety regulations, the following factors should be considered: (6) Motor fuel and oil; and (1) Volume of commercial motor vehicle (7) Travel and per diem expenses. traffic; (f) Indirect expenses related to facili- (2) Type of commercial motor vehicle traf- ties used to conduct inspections or to fic; house enforcement personnel, support (3) Volume of commercial motor vehicle staff, and equipment, except those re- traffic transporting hazardous materials; lated to fixed weighing facilities, may (4) Number and frequency (rate) of com- also be eligible to the extent they are mercial motor carrier accidents; measurable and recurring, such as rent (5) Severity of accidents involving com- and overhead. mercial motor carriers: (g) A secondary function of the (i) Fatalities; MCSAP is to develop a data base on (ii) Injuries; and (iii) Property damage. which to coordinate resources and im- (6) Seasonal commercial motor carrier prove efficiency. Therefore, costs relat- operational patterns within the State; ed to data acquisition, storage, and (7) Type and frequency of violations of analysis that are specifically identifi- traffic safety laws and regulations pertain- able as program expenses may be eligi- ing to commercial motor vehicles and acci- ble for reimbursement. dents; (h) Clerical and administrative ex- (8) Use of alcohol and controlled sub- penses, to the extent they are nec- stances by commercial motor vehicle driv- essary and directly attributable to the ers; and MCSAP, are eligible for reimburse- (9) Problems related to overweight vehicles and safety. (The information in paragraphs ment. 2(a) (6), (7), (8), and (9) of this appendix may (i) The cost of acquisition of real or may not be available to the States at property, land and buildings, is not eli- present. To be able to measure program ef- gible as a participating cost in the fectiveness, however, States will need to MCSAP. Expenditures related to the compile this type of data.) improvement of real property, for ex- (b) Determine current enforcement efforts: ample, the installation of lights for the The plan should identify the activities cur- inspection of vehicles at night or minor rently engaged in by the State to address the modifications to existing structures, commercial motor carrier and hazardous ma- terials safety problems. This should include are not considered acquisition costs. a description of existing laws, regulations (j) The eligibility of specific costs is and compliance activities, as well as the subject to review, and such costs must agencies within the State with enforcement be necessary, reasonable, allocable to responsibilities.
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(c) Establish the objectives: A key element in (A) Personnel (salaries, benefits, etc.); each plan is the establishment of the objec- (B) Equipment (purchase, rental, fuel, tives sought to be achieved through the use maintenance, depreciation, salvage, etc.); of Federal funds. The objectives should be and stated in terms of quantifiable measure- (C) Facilities (rent and overhead). ments of results, where possible, or at least (d) Program evaluation: Each plan should in- of effort. Ideally, the objectives should in- clude a provision for program evaluation of clude a measurable reduction in highway ac- the effectiveness of previous activities. This cidents or hazardous materials incidents in- should include the economic and operational volving commercial motor vehicles, but may impact of increased enforcement and provi- also refer to quantifiable improvements in sions for review and update of the plan. It is legislative or regulatory authorities, prob- not practicable to establish objective mini- lem identification, enforcement strategies mums, as each State has unique characteris- and resource allocations. tics and varying levels of existing enforce- (1) Goals should be identified as: ment activity. The FHWA will cooperate (i) Short term—the year beginning October with State regulatory and enforcement agen- 1 following submission of a MCSAP enforce- cies by gathering useful information and ex- ment plan. perience on elements of enforcement prac- (ii) Medium term—two to four years after tices that produce positive results. submission of the enforcement plan. The bottom line objective in any safety (iii) Long term—five years beyond the sub- program is a decrease in the number and se- mission of the enforcement plan. verity of accidents. Motor carrier safety reg- (2) Describe the practices: The plan should ulations should be designed to prescribe describe how the resources are to be em- methods to eliminate the risks of accidents. ployed to achieve the objectives included Compliance with such regulations should, under 350.13 and should discuss: therefore, reduce accidents. The States are (i) Schedules of operation of inspection encouraged to design their programs to link sites and units; their enforcement efforts to causes of acci- (ii) Tactics for placing vehicles out of serv- dents, whenever possible, and to develop the ice and verifying compliance; data necessary to demonstrate the results. (iii) Projected number of annual: The States are encouraged to use the safety (A) Roadside vehicle inspections including and program performance data collected Commercial Driver’s Licenses checks; and over several years to show trends and effects (B) Safety and Compliance Reviews; of program activities. In assessing State En- (iv) Methods to inspect all types of car- forcement Plans, the FHWA will be particu- riage; larly attentive to the methods by which ef- (v) Strategy for preventing circumvention fectiveness is to be evaluated, and will pro- or avoidance of inspections; (vi) Procedures for handling hazardous ma- vide whatever assistance is feasible in devel- terials carriers and passenger carriers; oping measurement factors. (vii) Supervision and recordkeeping; and (viii) Methods used to coordinate activities APPENDIX B TO PART 350—FORM OF with the State highway safety plan under 23 STATE CERTIFICATION U.S.C. 402, including providing information to the appropriate State agency, describing I (name), (title), on behalf of the State of lllll the information provided, and discussing the , as requested by the Federal High- comments that were received. way Administrator as a condition of ap- (3) Identify the resources: The plan should proval of a grant under the authority of Sec. detail the resources to be used in accom- 402 of the Surface Transportation Assistance plishing the objectives, and should include: Act of 1982 (Pub. L. 97–424), do hereby certify (i) State agencies involved: as follows: (A) Lead agency; and 1. The State (has adopted) (will adopt) (B) Local and other cooperating political commercial motor carrier and highway haz- subdivisions. ardous materials safety rules and regula- (ii) Personnel (from each agency involved): tions, which (are) (will be) substantially (A) Line functions; similar to and consistent with the Federal (B) Staff and supervision; and Motor Carrier Safety Regulations and the (C) Administrative, technical and clerical. Federal Hazardous Materials Regulations (a (iii) Facilities: copy of the existing or proposed State rules (A) Inspection sites regularly maintained; and regulations to be attached in the first and year of the program). (B) Building space required. 2. The State has designated (name of State (iv) Equipment: commercial motor carrier safety agency) as (A) Vehicles; the lead agency to administer the enforce- (B) Communication and ADP; and ment plan for which the grant is being (C) Other specialized tools. awarded, and (name of agencies) to perform (v) Itemization of Costs: functions under the plan. These agencies
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(have) (will have) the legal authority, re- 11. The State will ensure that the SEP is sources and qualified personnel necessary for coordinated with the State highway safety the enforcement of the State’s commercial plan under 23 U.S.C. 402 and the name of the motor carrier and highway hazardous mate- Governor’s highway safety representative (or rials safety rules and regulations. other authorized State official) through 3. The State will devote such of its own whom coordination was accomplished is funds as may be necessary to provide its lllll. matching share to the Federal assistance 12. The State will participate in the provided in the grant to administer the plan SAFETYNET no later than January 1, 1994. it is herewith submitting, and to enforce the 13. The State will undertake efforts to em- State’s commercial motor carrier safety phasize and improve enforcement of State rules and regulations in a manner to be con- and local traffic laws as they pertain to com- sistent with the approved plan. mercial motor vehicle safety. 4. The laws of the State provide the State’s lllllllllllllllllllll enforcement officers right of entry and in- Date spection sufficient to carry out the purposes Location llllllllllllllllll of the enforcement plan as approved and pro- (Signature) lllllllllllllllll vides that the State will grant maximum reciprocity for inspections conducted pursu- APPENDIX C TO PART 350—TOLERANCE ant to the North American Inspection Stand- GUIDELINES FOR ADOPTING COMPAT- ard, through the use of a nationally accepted system allowing ready identification of pre- IBLE STATE RULES AND REGULA- viously inspected commercial motor vehi- TIONS cles. 5. The State shall require that all reports 1. INTRODUCTION, PURPOSE AND RULES OF relating to the program be submitted to the CONSTRUCTION appropriate State agency or agencies; and The goal of the Federal Highway Adminis- such reports will be made available to the tration (FHWA) is to encourage all States to Federal Highway Administration upon re- ultimately adopt motor carrier safety and quest. hazardous materials transportation rules 6. The State will adopt such uniform re- and regulations identical in all respects to porting requirements and use such uniform those requirements set forth in Federal laws forms for recordkeeping, inspection, and and regulations, applicable to both inter- other enforcement activities as may be es- state and intrastate commerce. Recognizing tablished by the Federal Highway Adminis- that there are circumstances unique to each tration. State which may require special attention in 7. The State (has) (will have) in effect a re- that particular State, FHWA has concluded quirement that registrants of commercial that certain circumstances may warrant motor vehicles declare knowledge of the ap- limited deviations from the Federal stand- plicable Federal or State commercial motor ards where the Federal regulations do not carrier safety rules and regulations. apply. 8. The State will maintain the level of its The purpose of this appendix is to set forth expenditures for motor carrier safety pro- the limits within which a State’s deviations grams and, if applicable, size and weight, to variances in adopting motor carrier safety traffic safety, and drug interdiction enforce- and hazardous materials rules may extend ment programs, exclusive of Federal assist- and still be considered compatible for fund- ance, at least at the level of the average of ing purposes under 49 CFR 350. These limits the aggregate expenditures of the State and or tolerances are applicable for this purpose political subdivisions for these purposes dur- to those State rules and regulations applica- ing the last three full fiscal years imme- ble where the U.S. Department of Transpor- diately prior to December 18, 1991 (fiscal tation does not have jurisdiction. years 1989, 1990, and 1991). 9. The State will ensure that commercial 2. TOLERANCE GUIDELINES FOR STATE RULES motor vehicle size and weight enforcement, AND REGULATIONS WHERE THE U.S. DEPART- drug interdiction, and traffic enforcement MENT OF TRANSPORTATION ALSO HOLDS JU- activities funded under this program will not RISDICTION diminish the effectiveness of other commer- cial motor vehicle safety enforcement pro- (a) States shall not be required to adopt 49 grams. CFR parts 398, 399, 107, 171.15, 171.16 and 10. The State will ensure that fines im- 177.807 as applicable to either interstate or posed and collected by the State for viola- intrastate commerce. A State is not required tions will be reasonable and appropriate and to adopt 49 CFR part 178 only if the State provides that, to the maximum extent prac- can still enforce the standards contained ticable, it will seek to implement into law therein. and practice the recommended fine schedule (b) State rules must be applicable to the published by the Commercial Vehicle Safety same extent as the Federal Motor Carrier Alliance. Safety and Hazardous Materials Regulations
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except where deviation may be allowed by dius exemption contained in 49 CFR 395.1(e) part 355 of this subchapter and this appendix. from 100 to 150 miles. (f) States are strongly encouraged to apply 3. TOLERANCE GUIDELINES FOR STATE RULES the identical regulatory and enforcement AND REGULATIONS WHERE THE U.S. DEPART- schemes to both interstate and intrastate MENT OF TRANSPORTATION REGULATIONS DO carriers as set forth in the Federal Motor NOT APPLY Carrier Safety Regulations when regulating (a) State rules must be applicable to the drivers’ hours of service. However, certain same extent as the Federal Motor Carrier limited tolerances where the U.S. Depart- Safety and Hazardous Materials Regulations ment of Transportation’s hours of service except where deviation may be allowed by regulations do not apply are allowed. Spe- parts 350 and 355 of this subchapter and this cifically, an expansion of the 10-hour driving appendix. rule to a 12-hour driving limit, provided that (b) States may exempt from all or part of the total period of time spent driving and on their regulations commercial motor vehicles duty not driving is not extended to more with a GVWR of 26,000 pounds or less. How- than 16 hours and an increase in the 70 hour ever, vehicles with a GVWR of 26,000 pounds rule to 70 hours in 7 consecutive days or 80 or less may not be exempted from either the hours in 8 consecutive days will be consid- motor carrier safety regulations or hazard- ered compatible. ous materials regulations if the vehicle is (g) Drivers operating not subject to the ju- used to transport hazardous materials re- risdiction of the U.S. Department of Trans- quiring a placard or if the vehicle is designed portation may drive if they are at least 18 to transport more than 15 passengers, includ- years old. ing the driver. (h) States may provide grandfather clauses (c) States may not exempt from regulation in their rules and regulations if such exemp- motor carriers based on the type of carriage tions are uniform or in substantial harmony being performed (i.e., for-hire, private, etc.). with the Federal standards and provide an (d) Exemptions granted to certain indus- orderly transition to full regulatory adop- tries by a State prior to April 1988 and ac- tion at a later date. cepted by FHWA may remain valid. Al- (i) The States may qualify any driver en- though industry exemptions are strongly dis- gaged wholly in intrastate commerce who is couraged, a State may request and FHWA adversely affected by current State medical may approve such an exemption after the standards, upgraded to be consistent with State has submitted to the FHWA docu- part 391, even if the States adopted those mentation which will allow evaluation of the medical standards in the past. Drivers iden- following or similar information: tified through July 29, 1996, as not meeting (1) Type and scope of the industry exemp- the upgraded State standards may also be tion requested; qualified. Such a driver may remain quali- (2) Type and scope of regulatory exemption fied after July 29, 1996, as long as an examin- requested; ing physician determines during the biennial (3) Accident information related to that medical examination that existing medical specific industry—ratio, frequency, compara- or physical conditions that would otherwise tive figures, etc.; render the driver not qualified under Federal (4) Percentage of industry affected—num- standards have not significantly worsened or ber of vehicles, mileage traveled, number of another non-qualifying medical or physical companies involved, etc.; condition has not developed. (5) Inspection information—number of vio- (j) States whose rules and regulations do lations per inspection, out-of-service infor- not meet these guidelines may still be con- mation, etc.; sidered qualified for participation under (6) Other regulations enforced by other § 350.21. However, their formula allocations State agencies not participating in the for basic grant funds will be subject to the MCSAP; limitations of § 350.21 (d). (7) Commodity transported—i.e., hazardous It should be noted that the FHWA still materials, livestock, grain, etc.; considers the physical qualification require- (8) Similar exemptions granted; ments in part 391 to be the minimum re- (9) Reason exemption is needed; quirements that contribute significantly to (10) Projected effect on safety; commercial motor vehicle operational safe- (11) The State’s economic environment and ty. The FHWA continues to encourage States its ability to compete in foreign and domes- to adopt these minimum standards as their tic markets. own and to use this grandfathering option (e) Regulatory exemptions based on the judiciously to respond to legitimate hard- distance a motor carrier or driver operates ships. This policy should in no way be inter- from their home terminal are not deemed to preted as discrediting the medical standards be compatible. This prohibition does not adopted in part 391. apply to those exemptions already contained This guideline will not preclude a State’s in the Federal Motor Carrier Safety Regula- adoption of or continuation of a waiver pro- tions nor to the extension of the mileage ra- gram which can be demonstrated to be based
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on sound medical judgment combined with § 355.5 Definitions. appropriate performance standards causing no adverse affect on safety. Unless specifically defined in this section, terms used in this part are [57 FR 40956, Sept. 8, 1992, as amended at 58 subject to the definitions in 49 CFR FR 33776, June 21, 1993; 58 FR 40600, July 29, 1993; 59 FR 5264, Feb. 3, 1994; 60 FR 38743, July 390.5. 28, 1995] Compatible or compatibility means, in relation to State laws and regulations pertaining to commercial motor vehi- PART 355—COMPATIBILITY OF cle safety, having the same effect as STATE LAWS AND REGULATIONS the Federal Motor Carrier Safety Regu- AFFECTING INTERSTATE MOTOR lations in that those State laws and CARRIER OPERATIONS regulations are either identical or fall within the guidelines in appendix C of Subpart A—General Applicability and part 350. Definitions Federal Motor Carrier Safety Regula- tions means those safety regulations Sec. which are contained in parts 390, 391, 355.1 Purpose. 392, 393, 395, 396, and 397 of this sub- 355.3 Applicability. chapter. 355.5 Definitions. State means a State of the United Subpart B—Requirements States and the District of Columbia. 355.21 Regulatory review. Subpart B—Requirements 355.23 Submission of results. 355.25 Adopting and enforcing compatible § 355.21 Regulatory review. laws and regulations. (a) General. Each State shall annu- APPENDIX A TO PART 355—GUIDELINES FOR ally analyze its laws and regulations, THE REGULATORY REVIEW including those of its political subdivi- AUTHORITY: 49 U.S.C. 504 and 31101 et seq.; 49 sions, which pertain to commercial CFR 1.48. motor vehicle safety to determine SOURCE: 57 FR 40962, Sept. 8, 1992, unless whether its laws and regulations are otherwise noted. compatible with the Federal Motor Carrier Safety Regulations. Guidelines Subpart A—General Applicability for the regulatory review are provided and Definitions in the appendix to this part. (b) Responsibility. The State agency § 355.1 Purpose. designated as lead agency for the ad- ministration of grants made pursuant (a) To promote adoption and enforce- to part 350 of this subchapter is respon- ment of State laws and regulations per- sible for reviewing and analyzing State taining to commercial motor vehicle laws and regulations for compliance safety that are compatible with appro- with this part. In the absence of an of- priate parts of the Federal Motor Car- ficially designated Motor Carrier Safe- rier Safety Regulations. ty Assistance Program (MCSAP) lead (b) To provide guidelines for a con- agency or in its discretion, the State tinuous regulatory review of State shall designate another agency respon- laws and regulations. sible to review and determine compli- (c) To establish deadlines for States ance with these regulations. to achieve compatibility with appro- (c) State review. (1) The State shall priate parts of the Federal Motor Car- determine which of its laws and regula- rier Safety Regulations with respect to tions pretaining to commercial motor interstate commerce. vehicle safety are the same as the Fed- eral Motor Carrier Safety or Federal § 355.3 Applicability. Hazadous Materials Regulations. With These provisions apply to any State respect to any State law or regulation that adopts or enforces laws or regula- which is not the same, the State shall tions pertaining to commercial motor identify such law or regulation and de- vehicle safety in interstate commerce. termine whether:
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(i) It has the same effect as a cor- chapter to declare the incompatible responding section of the Federal State law or regulation pertaining to Motor Carrier Safety or Federal Haz- commercial motor vehicle safety unen- ardous Materials Regulations; forceable in interstate commerce. (ii) It applies to interstate com- (d) Waiver of determination. Any per- merce; son (including any State) may petition (iii) It is more stringent than the for a waiver of a determination made FMCSR or FHMR in that it is more re- under paragraph (c) of this section. strictive or places a greater burden on Such petition will also be considered in any entity subject to its provisions; a rulemaking proceeding under part (2) If the inconsistent State law or 389. Waivers shall be granted only upon regulation applies to interstate com- a satisfactory showing that continued merce and is more stringent than the enforcement of the incompatible State FMCSR or FHMR, the State shall de- law or regulation is not contrary to the termine: public interest and is consistent with (i) The safety benefits associated the safe operation of commercial with such State law or regulation; and motor vehicles. (ii) The effect of the enforcement of (e) Consolidation of proceedings. The such State law or regulation on inter- Administrator may consolidate any ac- state commerce. tion to enforce this section with other (3) If the inconsistent State law or proceedings required under this section regulation does not apply to interstate if the Administrator determines that commerce or is less stringent than the such consolidation will not adversely FMCSR or FHMR, the tolerance guide- affect any party to any such proceed- lines for participation in the Motor ing. Carrier Safety Assistance Program in part 350 of this subchapter shall apply. APPENDIX A TO PART 355—GUIDELINES FOR THE REGULATORY REVIEW § 355.23 Submission of results. Each State shall submit the results Each State shall review its laws and regu- lations to achieve compatibility with the of its regulatory review annually with Federal Motor Carrier Safety Regulations its certification of compliance under 49 (FMCSRs). Each State shall consider all re- CFR 350.15. It shall submit the results lated requirements on enforcement of the of the regulatory review with the cer- State’s motor carrier safety regulations. The tification no later than August 1 of documentation shall be simple and brief. each year with the SEP. The State SCOPE shall include copies of pertinent laws and regulations. The State review required by § 355.21 may be limited to those laws and regulations pre- § 355.25 Adopting and enforcing com- viously determined to be incompatible in the patible laws and regulations. report of the Commercial Motor Vehicle Safety Regulatory Review Panel issued in (a) General. No State shall have in ef- August 1990, or by subsequent determination fect or enforce any State law or regula- by the Administrator under this part, and tion pertaining to commercial motor any State laws or regulations enacted or vehicle safety in interstate commerce issued after August 1990. which the Administrator finds to be in- compatible with the provisions of the APPLICABILITY Federal Motor Carrier Safety Regula- The requirements must apply to all seg- tions. ments of the motor carrier industry com- (b) New state requirements. No State mon, contract, and private carriers of prop- shall implement any changes to a law erty and for-hire carriers of passengers. or regulation which makes that or any DEFINITIONS other law or regulation incompatible with a provision of the Federal Motor Definitions of terms must be consistent with those in the FMCSR. For example, a Carrier Safety Regulations. commercial motor vehicle is a vehicle oper- (c) Enforcement. To enforce compli- ating in interstate commerce on a public ance with this section, the Adminis- highway, that: trator will initiate a rulemaking pro- (1) Has a gross vehicle weight rating ceeding under part 389 of this sub- (GVWR) of 4,537 or more kilograms;
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(2) Is designed to transport more than 15 HAZARDOUS MATERIALS passengers (including the driver); or Require a motor carrier or a person operat- (3) Is used to transport hazardous mate- ing a commercial motor vehicle transporting rials in a quantity requiring placarding hazardous materials to follow the safety and under regulations issued by the Secretary hazardous materials requirements. under the Hazardous Materials Transpor- tation Act, as amended (49 U.S.C. 5101 et STATE DETERMINATIONS seq.). 1. Each State must determine whether its requirements affecting interstate motor car- DRIVER QUALIFICATIONS riers are ‘‘less stringent’’ than the Federal Require a driver to be properly licensed to requirements. ‘‘Less stringent’’ requirements drive a commercial motor vehicle; require a represent either gaps in the State require- driver to be in good physical health, at least ments in relation to the Federal require- 21 years of age, able to operate a vehicle ments as summarized under item number safely, and maintain a good driving record; one in this appendix or State requirements prohibit drug and alcohol abuse; require a which are less restrictive than the Federal motor carrier to maintain a driver qualifica- requirements. tion file for each driver; and require a motor a. An example of a gap is when a State carrier to ensure that a driver is medically does not have the authority to regulate the safety of for-hire carriers of passengers or qualified. has the authority but chooses to exempt the NOTE: The requirements for testing apply carrier. only to drivers of commercial motor vehicles b. An example of a less restrictive State re- as defined in 49 CFR part 383. quirement is when a State allows a person under 21 years of age to operate a commer- cial motor vehicle in interstate commerce. DRIVING OF MOTOR VEHICLES 2. Each State must determine whether its Prohibit possession, use, or driving under requirements affecting interstate motor car- the influence of alcohol or other controlled riers are ‘‘more stringent’’ than the Federal substances (while on duty); and establish 0.04 requirements: ‘‘More stringent’’ require- percent as the level of alcohol in the blood at ments are more restrictive or inclusive in re- which a driver is considered under the influ- lation to the Federal requirements as sum- ence of alcohol. marized under item number one in this ap- pendix. For example, a requirement that a PARTS AND ACCESSORIES NECESSARY FOR SAFE driver must have 2 days off after working 5 OPERATION consecutive days. The State would dem- onstrate that its more stringent require- Require operational lights and reflectors; ments: require systematically arranged and in- a. Have a ‘‘safety benefit;’’ for example, re- stalled wiring; and require brakes working at sult in fewer accidents or reduce the risk of the required performance level, and other accidents; key components included in 49 CFR part 393. b. do not create ‘‘an undue burden on inter- state commerce,’’ e.g., do not delay, inter- HOURS OF SERVICE fere with, or increase that cost or the admin- istrative burden for a motor carrier trans- Prohibit a motor carrier from allowing or porting property or passengers in interstate requiring any driver to drive: More than 10 commerce; and hours following 8 consecutive hours off duty; c. Are otherwise compatible with Federal after being on duty 15 hours, after being on safety requirements. duty more than 60 hours in any 7 consecutive 3. A State must adopt and enforce in a con- days; or after being on duty more than 70 sistent manner the requirements referenced hours in any 8 consecutive days. in the above guidelines in order for the Require a driver to prepare a record-of- FHWA to accept the State’s determination duty status for each 24-hour period. The driv- that it has compatible safety requirements er and motor carrier must retain the records. affecting interstate motor carrier oper- ations. Generally, the States would have up INSPECTION AND MAINTENANCE to 3 years from the effective date of the new Prohibit a commercial motor vehicle from Federal requirement to adopt and enforce being operated when it is likely to cause an compatible requirements. The FHWA would accident or a breakdown; require the driver specify the deadline when promulgating fu- to conduct a walk-around inspection of the ture Federal safety requirements. The re- vehicle before driving it to ensure that it can quirements are considered of equal impor- be safely operated; require the driver to pre- tance. pare a driver vehicle inspection report; and [57 FR 40962, Sept. 8, 1992, as amended by 58 require commercial motor vehicles to be in- FR 33776, June 21, 1993; 62 FR 37151, July 11, spected at least annually. 1997]
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PART 356—MOTOR CARRIER § 356.3 Regular route motor passenger ROUTING REGULATIONS service. (a) A motor common carrier author- Sec. ized to transport passengers over regu- 356.1 Authority to serve a particular area— lar routes may serve: construction. (1) All points on its authorized route; 356.3 Regular route motor passenger serv- (2) All municipalities wholly within ice. one airline mile of its authorized route; 356.5 Traversal authority. (3) All unincorporated areas within 356.7 Tacking. one airline mile of its authorized route; 356.9 Elimination of routing restrictions— and regular route carriers. (4) All military posts, airports, 356.11 Elimination of gateways—regular and schools, and similar establishments irregular route carriers. that may be entered within one airline 356.13 Redesignated highways. mile of its authorized route, but oper- AUTHORITY: 49 U.S.C. 13301 and 13902; 5 ations within any part of such estab- U.S.C. 553; 49 CFR 1.48. lishment more than one airline mile from such authorized route may not be SOURCE: 62 FR 32041, June 12, 1997, unless otherwise noted. over a public road. (b) This section does not apply to § 356.1 Authority to serve a particular those motor passenger common car- area—construction. riers authorized to operate within: (1) New York, NY; (a) Service at municipality. A motor (2) Rockland, Westchester, Orange, or carrier of property, motor passenger Nassau Counties, NY; carrier of express, and freight for- (3) Fairfield County, CT; and warder authorized to serve a munici- (4) Passaic, Bergen, Essex, Hudson, pality may serve all points within that Union, Morris, Somerset, Middlesex, or municipality’s commercial zone not be- Monmouth Counties, NJ. yond the territorial limits, if any, fixed in such authority. § 356.5 Traversal authority. (b) Service at unincorporated commu- (a) Scope. An irregular route motor nity. A motor carrier of property, carrier may operate between author- motor passenger carrier of express, and ized service points over any reasonably freight forwarder, authorized to serve direct or logical route unless expressly an unincorporated community having a prohibited. post office of the same name, may (b) Requirements. Before commencing serve all points in the United States operations, the carrier must, regarding not beyond the territorial limits, if each State traversed: any, fixed in such authority, as follows: (1) Notify the State regulatory body (1) All points within 3 miles of the in writing, attaching a copy of its oper- post office in such unincorporated com- ating rights; munity if it has a population of less (2) Designate a process agent; and (3) Comply with 49 CFR 387.315. than 2,500; within 4 miles if it has a population of 2,500 but less than 25,000; § 356.7 Tacking. and within 6 miles if it has a popu- Unless expressly prohibited, a motor lation of 25,000 or more; common carrier of property holding (2) At all points in any municipality separate authorities which have com- any part of which is within the limits mon service points may join, or tack, described in paragraph (b)(1) of this those authorities at the common point, section; and or gateway, for the purpose of perform- (3) At all points in any municipality ing through service as follows: wholly surrounded, or so surrounded (a) Regular route authorities may be except for a water boundary, by any tacked with one another; municipality included under the terms (b) Regular route authority may be of paragraph (b)(2) of this section. tacked with irregular route authority;
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(c) Irregular route authorities may (ii) Is wholly within 25 airline miles be tacked with one another if the au- of the carrier’s authorized service thorities were granted pursuant to ap- route; and plication filed on or before November (4) Service is provided in the same 23, 1973, and the distance between the manner as, and subject to any restric- points at which service is provided, tions that apply to, service over the when measured through the gateway authorized service route. point, is 300 miles or less; and § 356.11 Elimination of gateways—reg- (d) Irregular route authorities may ular and irregular route carriers. be tacked with one another if the au- A motor common carrier of property thorities involved contain a specific holding separate grants of authority provision granting the right to tack. (including regular route authority), § 356.9 Elimination of routing restric- one or more of which authorizes trans- tions—regular route carriers. portation over irregular routes, where the authorities have a common service (a) Regular route authorities—construc- point at which they can lawfully be tion. All certificates that, either singly tacked to perform through service, or in combination, authorize the trans- may perform such through service over portation by a motor common carrier any available route. of property over: (1) A single regular route or; § 356.13 Redesignated highways. (2) Over two or more regular routes Where a highway over which a regu- that can lawfully be tacked at a com- lar route motor common carrier of mon service point, shall be construed property is authorized to operate is as- as authorizing transportation between signed a new designation, such as a authorized service points over any new number, letter, or name, the car- available route. rier shall advise the FHWA by letter, (b) Service at authorized points. A com- and shall provide information concern- mon carrier departing from its author- ing the new and the old designation, ized service routes under paragraph (a) the points between which the highway of this section shall continue to serve is redesignated, and each place where points authorized to be served on or in the highway is referred to in the car- connection with its authorized service rier’s authority. The new designation routes. of the highway will be shown in the (c) Intermediate point service. A com- carrier’s certificate when the FHWA mon carrier conducting operations has occasion to reissue it. under paragraph (a) of this section may serve points on, and within one airline PART 365—RULES GOVERNING AP- mile of, an alternative route it elects PLICATIONS FOR OPERATING to use if all the following conditions AUTHORITY are met: (1) The carrier is authorized to serve Subpart A—How To Apply for Operating all intermediate points (without regard Authority to nominal restrictions) on the under- Sec. lying service route; 365.101 Applications governed by these (2) The alternative route involves the rules. use of a superhighway (i.e., a limited 365.103 Modified procedure. access highway with split-level cross- 365.105 Starting the application process: Form OP–1. ings); 365.107 Types of applications. (3) The alternative superhighway 365.109 Commission review of the applica- route, including highways connecting tion. the superhighway portion of the route 365.111 Appeals to rejections of the applica- with the carrier’s authorized service tion. route, 365.113 Changing the request for authority or filing supplementary evidence after (i) Extends in the same general direc- the application is filed. tion as the carrier’s authorized service 365.115 After publication in the ICC Reg- route and ister.
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365.117 Obtaining a copy of the application. (d) Applications for licenses to oper- 365.119 Opposed applications. ate as a broker of motor vehicle trans- 365.121 Filing a reply statement. portation. 365.123 Applicant withdrawal. (e) Applications for certificates under Subpart B—How To Oppose Requests for 49 U.S.C. 13902(b)(3) to operate as a Authority motor common carrier of passengers in intrastate commerce on a route over 365.201 Definitions. which applicant holds interstate au- 365.203 Time for filing. thority as of November 19, 1982. 365.205 Contents of the protest. (f) Applications for certificates under 365.207 Withdrawal. 49 U.S.C. 13902(b)(3) to operate as a Subpart C—General Rules Governing the motor common carrier of passengers in Application Process intrastate commerce on a route over which applicant has been granted or 365.301 Applicable rules. will be granted interstate authority 365.303 Contacting another party. after November 19, 1982. 365.305 Serving copies of pleadings. 365.307 Replies to motions. (g) Applications for temporary motor 365.309 FAX filings. and water carrier authority. (h) Applications for Mexican carriers Subpart D—Transfer of Operating Rights to operate in foreign commerce as com- Under 49 U.S.C. 10926 mon, contract or private motor car- riers of property (including exempt 365.401 Scope of rules. 365.403 Definitions. items) between the U.S./Mexico border, 365.405 Applications. and points in California, Arizona, New 365.407 Notice. Mexico and Texas. 365.409 Commission action and criteria for [59 FR 63728, Dec. 9, 1994, as amended at 60 approval. FR 63981, Dec. 13, 1995; 62 FR 49940, Sept. 24, 365.411 Responsive pleadings. 1997] 365.413 Procedures for changing the name or business form of a motor or water car- rier, household goods freight forwarder, § 365.103 Modified procedure. or property broker. The Commission will handle licens- AUTHORITY: 5 U.S.C. 553 and 559; 16 U.S.C. ing application proceedings using the 1456; 49 U.S.C. 13101, 13301, 13901–13906, 14708, modified procedure, if possible. The ap- 31138, and 31144; 49 CFR 1.48. plicant and protestants send state- SOURCE: 59 FR 63728, Dec. 9, 1994, unless ments made under oath (verified state- otherwise noted. Redesignated at 61 FR 54707, ments) to each other and to the ICC. Oct. 21, 1996. There are no personal appearances or formal hearings. Subpart A—How To Apply for § 365.105 Starting the application proc- Operating Authority ess: Form OP–1. § 365.101 Applications governed by (a) All applicants shall file the appro- these rules. priate form in the OP–1 series, effective These rules govern the handling of January 1, 1995. Form OP–1 for motor applications for operating authority of property carriers and brokers of gen- the following type: eral freight and household goods; Form (a) Applications for certificates and OP–1(P) for motor passenger carriers; permits to operate as a motor common Form OP–1 (FF) for freight forwarders or contract carrier of property or pas- of household goods; Form OP–1(W) for sengers. water carriers and Form OP–1MX for (b) Applications for permits to oper- Mexican motor property carriers. A ate as a household goods freight for- separate filing fee in the amount at 49 warder. CFR 1002.2(f) is required for each type (c) Applications for certificates, per- of authority sought in each transpor- mits, and exemptions for water carrier tation mode. transportation of property and pas- (b) Obtain the form at Commission sengers. regional and field offices, or call the
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Commission’s automated response ble statutory and regulatory provi- number at (202) 927–7600. sions; and [59 FR 63728, Dec. 9, 1994, as amended at 60 (2) The transportation to be provided FR 63981, Dec. 13, 1996] will be consistent with the public in- terest and the national transportation § 365.107 Types of applications. policy of 49 U.S.C. 13101. (a) Fitness applications. Motor prop- (f) Water common carrier applica- erty applications and certain types of tions. These applications require a motor passenger applications require finding that: only the finding that the applicant is (1) The applicant is fit, willing, and fit, willing and able to perform the in- able to provide the involved transpor- volved operations and to comply with tation and to comply with all applica- all applicable statutory and regulatory ble statutory and regulatory provi- provisions. These applications can be sions; and opposed only on the grounds that appli- (2) The transportation to be provided cant is not fit [e.g., is not in compli- is or will be required by present or fu- ance with applicable financial respon- ture public convenience and necessity. sibility and safety fitness require- (g) Temporary authority (TA) for ments]. These applications are: motor and water carriers. These appli- (1) Motor common and contract car- cations require a finding that there is rier of property (except household or soon will be an immediate transpor- goods) , Mexican motor property car- tation need that cannot be met by ex- riers that perform private carriage and isting carrier service. transport exempt items, and motor contract carrier of passengers trans- NOTE: In view of the expedited time frames portation. established in this part for processing re- quests for permanent authority, applications (2) Motor carrier brokerage of gen- for TA will be entertained only in excep- eral commodities (except household tional circumstances (i.e., natural disasters goods). or national emergencies) when evidence of (3) Certain types of motor passenger immediate service need can be specifically applications as described in Form OP– documented in a narrative supplement ap- 1 (P). pended to Form OP–1 for motor property car- (b) Motor passenger ‘‘public interest’’ riers, Form OP–1MX for Mexican property applications as described in Form OP– carriers, Form OP–1(P) for motor passenger 1 (P). carriers, and Form OP–1(W) for water car- riers. TA applications must be filed with the (c) Intrastate motor passenger appli- Regional Office which has jurisdiction over cations under 49 U.S.C. 13902(b)(3) as the area in which applicant’s headquarters described in Form OP–1, Schedule B. are located. Initial determinations of TA ap- (d) Motor common carrier of house- plications will be made by a Regional Motor hold goods applications, including Carrier Board. Mexican carrier applicants. These ap- plications require a finding that: [59 FR 63728, Dec. 9, 1994, as amended at 60 (1) The applicant is fit, willing, and FR 63981, Dec. 13, 1995; 62 FR 49940, Sept. 24, able to provide the involved transpor- 1997] tation and to comply with all applica- § 365.109 Commission review of the ap- ble statutory and regulatory provi- plication. sions; and (2) The service proposed will serve a (a) ICC staff will review the applica- useful public purpose, responsive to a tion for correctness, completeness, and public demand or need. adequacy of the evidence (the prima (e) Motor contract carrier of house- facie case). hold goods, water contract carrier, (1) Minor errors will be corrected household goods property broker, and without notification to the applicant. household goods freight forwarder ap- (2) Materially incomplete applica- plications. These applications require a tions will be rejected. Applications finding that: that are in substantial compliance (1) The applicant is fit, willing, and with these rules may be accepted. able to provide the involved transpor- (3) All motor carrier applications will tation and to comply with all applica- be reviewed for consistency with the
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Commission’s operational safety fit- (b) If the appeal is successful and the ness policy. Applicants with ‘‘Unsatis- filing is found to be proper, the appli- factory’’ safety fitness ratings from cation shall be deemed to have been DOT will have their applications re- properly filed as of the decision date of jected. the appeal. (4) An employee board of the Com- mission appointed under § 1011.6(g) will § 365.113 Changing the request for au- review completed applications that thority or filing supplementary evi- conform with the Commission’s safety dence after the application is filed. fitness policy and that are accom- (a) Once the application is filed, the panied by evidence of adequate finan- applicant may supplement evidence cial responsibility. only with approval of the Commission. (5) Financial responsibility is indi- (b) Amendments to the application cated by filing within 20 days from the generally are not permitted, but in ap- date an application notice is published propriate instances may be entertained in the ICC Register: at the discretion of the Commission. (i) Form BMC–91 or 91X or BMC 82 sur- ety bond—Bodily injury and property § 365.115 After publication in the ICC damage (motor property and passenger Register. carriers; household goods freight for- (a) Interested persons have 10 days warders that provide pickup or delivery from the date of ICC Register publica- service directly or by using a local de- tion to file protests. See Subpart B of livery service under their control). this part. (ii) Form BMC–84—Surety bond or (b) If no one opposes the application, Form BMC–85—trust fund agreement the grant published in the ICC Register (property brokers of general commod- will become effective by issuance of a ities and household goods). certificate, permit, or license. (iii) Form BMC–34 or BMC 83 surety bond—Cargo liability (motor property § 365.117 Obtaining a copy of the ap- common carriers and household goods plication. freight forwarders). After publication, interested persons (6) Applicants also must submit may request a copy of the application Form BOC–3—designation of legal proc- by contacting the Commission-des- ess agents—within 20 days from the ignated contract agent (as identified in date an application notice is published the ICC Register), Room 2229, Interstate in the ICC Register. Commerce Commission Building. (7) Applicants seeking to conduct op- erations for which tariffs are required § 365.119 Opposed applications. may not commence such operations If the application is opposed, oppos- until tariffs are on file with the Com- ing parties are required to send a copy mission and in effect. of their protest to the applicant. (8) All applications must be com- pleted in English. § 365.121 Filing a reply statement. (b) A summary of the application will (a) If the application is opposed, ap- be published as a preliminary grant of plicant may file a reply statement. authority in the ICC Register to give This statement is due within 20 days notice to the public in case anyone after ICC Register publication. wishes to oppose the application. (b) The reply statement may not con- [59 FR 63728, Dec. 9, 1994, as amended at 60 tain new evidence. It shall only rebut FR 63981, Dec. 13, 1995] or further explain matters previously raised. § 365.111 Appeals to rejections of the (c) The reply statement need not be application. notarized or verified. Applicant under- (a) An applicant has the right to ap- stands that the oath in the application peal rejection of the application. The form applies to all evidence submitted appeal must be filed at the Commission in the application. Separate legal argu- within 10 days of the date of the letter ments by counsel need not be notarized of rejection. or verified.
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§ 365.123 Applicant withdrawal. § 365.207 Withdrawal. If the applicant wishes to withdraw A protestant wishing to withdraw an application, it shall request dismis- from a proceeding shall inform the sal in writing. Commission and applicant in writing.
Subpart B—How To Oppose Subpart C—General Rules Gov- Requests for Authority erning the Application Proc- ess § 365.201 Definitions. A person wishing to oppose a request § 365.301 Applicable rules. for permanent authority files a protest. Generally, all application proceed- A person filing a valid protest becomes ings are governed by the Commission’s a protestant. Rules of Practice at 49 CFR parts 1100– 1105 and 1112–1117, except as designated § 365.203 Time for filing. below. A protest shall be filed (received at the Commission) within 10 days after § 365.303 Contacting another party. notice of the application appears in the When a person wishes to contact a ICC Register. A copy of the protest shall party or serve a pleading or letter on be sent to applicant’s representative at that party, it shall do so through its the same time. Failure timely to file a representative. The phone and FAX protest waives further participation in numbers and address of applicant’s rep- the proceeding. resentative shall be listed in the ICC § 365.205 Contents of the protest. Register. (a) All information upon which the § 365.305 Serving copies of pleadings. protestant plans to rely is put into the protest. (a) An applicant must serve all plead- (b) A protest must be verified, as fol- ings and letters on the Commission and lows: all known participants in the proceed- ing, except that a reply to a motion I, llllllllll, verify under penalty need only be served on the moving of perjury under laws of the United States of party. America, that the information above is true and correct. Further, I certify that I am (b) A protestant need serve only the qualified and authorized to file this protest. Commission and applicant with plead- (See 18 U.S.C. 1001 and 18 U.S.C. 1621 for pen- ings or letters. alties.) (Signature and Date) § 365.307 Replies to motions. (c) A protest not in substantial com- Replies to motions filed under this pliance with applicable statutory part are due within 5 days of the date standards or these rules may be re- the motion is filed at the Commission. jected. § 365.309 FAX filings. (d) Protests must respond directly to the statutory standards for Commis- FAX filings of applications and sup- sion review of the application. As these porting evidence are not permitted. To standards vary for particular types of assist parties in meeting the expedited applications, potential protestants time frames established for protesting should refer to the general criteria ad- an application, however, the Commis- dressed at § 365.107 of this part and may sion will accept FAX filings of protests consult the Commission at (202) 927– and any reply or rebuttal evidence. 7600 for further assistance in develop- FAX filings of these pleadings must be ing their evidence. followed by the original document, plus [59 FR 63728, Dec. 9, 1994. Redesignated at 61 one copy for Commission record- FR 54707, Oct. 21, 1996, as amended at 62 FR keeping purposes. 49940, Sept. 24, 1997]
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Subpart D—Transfer of Operating within a single State is established by Rights Under 49 U.S.C. 10926 a corresponding State certificate. (d) Person. An individual, partner- ship, corporation, company, associa- SOURCE: 53 FR 4852, Feb. 18, 1988, unless otherwise noted. Redesignated at 61 FR 54707, tion, or other form of business, or a Oct. 21, 1996. trustee, receiver, assignee, or personal representative of any of these. § 365.401 Scope of rules. (e) Record holder. The person shown These rules define the procedures on the records of the Commission as that enable motor passenger and prop- the legal owner of the operating rights. erty carriers, water carriers, property (f) Control. A relationship between brokers, and household goods freight persons that includes actual control, forwarders to obtain approval from the legal control, and the power to exercise Interstate Commerce Commission to control, through or by common direc- merge, transfer, or lease their operat- tors, officers, stockholders, a voting ing rights in financial transactions not trust, a holding or investment com- subject to 49 U.S.C. 11343. Transactions pany, or any other means. covered by these rules are governed by (g) Category 1 transfers. Transactions 49 U.S.C. 10321 and 10926. The filing fee in which the person to whom the oper- is set forth at 49 CFR 1002.2(f)(25). ating rights would be transferred is not an ICC carrier and is not affiliated with § 365.403 Definitions. any ICC carrier. For the purposes of this part, the fol- (h) Category 2 transfers. Transactions lowing definitions apply: in which the person to whom the oper- (a) Transfer. Transfers include all ating rights would be transferred is an transactions (i.e., the sale or lease of ICC carrier and/or is affiliated with an interstate operating rights,1 or the ICC carrier. merger of two or more carriers or a § 365.405 Applications. carrier into a noncarrier) subject to 49 U.S.C. 10926, as well as the sale of prop- (a) Procedural requirements. (1) At erty brokers’ licenses under 49 U.S.C. least 10 days before consummation, an 10321. original and two copies of a properly (b) Operating rights. Operating rights completed Form OP–FC–1 and any at- include: tachments (see paragraph (b)(1)(viii) of (1) Certificates and permits issued to this section) must be filed with the Of- motor and water carriers; fice of the Secretary, Applications and (2) Permits issued to household goods Fees Unit, Interstate Commerce Com- freight forwarders; mission, Washington, DC 20423. The (3) Licenses issued to property bro- original must show that an additional kers; and copy has been furnished to the Com- mission’s Regional Director for the Re- (4) Certificates of Registration issued gion(s) in which the applicants’ head- to motor carriers. The term also in- quarters are located. The nonrefund- cludes authority held by virtue of the able filing fee prescribed by 49 CFR gateway elimination regulations pub- 1002.2(f)(25) must accompany the appli- lished in the FEDERAL REGISTER as let- cation. ter-notices. (2) At any time after the expiration (c) Certificate of registration. The evi- dence of a motor carrier’s right to en- of the 10-day waiting period, applicants gage in interstate or foreign commerce may consummate the transaction, sub- ject to the subsequent approval of the application by the Commission, as de- 1 The execution of a chattel mortgage, deed scribed below. The transferee may of trust, or other similar document does not commence operations under the rights constitute a transfer or require the Commis- acquired from the transferor upon its sion’s approval. However, a foreclosure for the purpose of transferring an operating compliance with the Commission’s reg- right to satisfy a judgment or claim against ulations governing insurance, tariffs (if the record holder may not be effected with- applicable), and process agents. See 49 out approval of the Commission. CFR parts 387, subpart C, 1312 and 366,
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respectively. In addition, contract car- in Mexico nor owned or controlled by riers must comply with the Commis- persons of that country. sion’s regulations concerning contracts (2) Category 2 applicants must also at 49 CFR part 1053. In the alternative, submit the following additional infor- applicants may wait until the Commis- mation: sion has issued a decision on their ap- (i) Name(s) of the carrier(s), if any, plication before transferring the oper- with which the transferee is affiliated. ating rights. If the transferee wants (ii) Aggregate revenues of the trans- the transferor’s operating authority to feror, transferee, and their carrier af- be reissued in its name, it should fur- filiates from interstate transportation nish the Commission with a statement sources for a 1-year period ending not executed by both transferor and trans- earlier than 6 months before the date feree indicating that the transaction of the agreement of the parties con- has been consummated. Authority will cerning the transaction. If revenues ex- not be reissued until after the Commis- ceed $2 million, the transfer may be sion has approved the transaction. subject to 49 U.S.C. 14303 rather than (b) Information required. (1) In cat- these rules. egory 1 and category 2 transfers, appli- cants must furnish the following infor- [53 FR 4852, Feb. 18, 1988, as amended at 54 mation: FR 35343, Aug. 25, 1989; 62 FR 49940, Sept. 24, (i) Full name, address, and signatures 1997] of the transferee and transferor. (ii) A copy of that portion of the § 365.407 Notice. transferor’s operating authority in- The Commission will give notice of volved in the transfer proceeding. approved transfer applications through (iii) A short summary of the essential publication in the ICC Register. terms of the transaction. (iv) If relevant, the status of proceed- § 365.409 Commission action and cri- ings for the transfer of State certifi- teria for approval. cate(s) corresponding to the Certifi- A transfer will be approved under cates of Registration being transferred. this section if: (v) A statement as to whether the (a) The transaction is not subject to transfer will or will not significantly 49 U.S.C. 14303; and affect the quality of the human envi- (b) The transaction is consistent with ronment. the public interest; however, (vi) Certification by transferor and (c) If the transferor or transferee has transferee of their current respective an ‘‘Unsatisfactory’’ safety fitness rat- safety ratings by the United States De- ing from DOT, the transfer may be de- partment of Transportation (i.e., satis- nied. If an application is denied, the factory, conditional, unsatisfactory, or Commission will set forth the basis for unrated). its action in a decision or letter notice. (vii) Certification by the transferee If parties with ‘‘Unsatisfactory’’ safety that it has sufficient insurance cov- fitness ratings consummate a trans- erage under 49 U.S.C. 13906 for the serv- action pursuant to the 10-day rule at ice it intends to provide. § 365.405 of this part prior to the notifi- (viii) Information to demonstrate cation of Commission action, they do that the proposed transaction is con- so at their own risk and subject to any sistent with the national transpor- conditions we may impose subse- tation policy and satisfies the criteria quently. Transactions that have been for approval set forth at § 365.409 of this part. (Such information may be ap- consummated but later are denied by pended to the application form and, if the Commission are null and void and provided, would be embraced by the must be rescinded. Similarly, if appli- oath and verification contained on that cations contain false or misleading in- form.) formation, they are void ab initio. (ix) If motor carrier operating rights [53 FR 4852, Feb. 18, 1988, as amended at 56 are being transferred, certification by FR 46735, Sept. 16, 1991; 62 FR 49940, Sept. 24, the transferee that it is not domiciled 1997]
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§ 365.411 Responsive pleadings. (2) A copy of the articles of incorpo- ration and the State certificate reflect- (a) Protests must be filed within 20 ing the incorporation; days after the date of publication of an (3) The name(s) of the owner(s) of the approved transfer application in the stock and the distribution of the ICC Register. Protests received prior to shares; the notice will be rejected. Applicants (4) The names of the officers and di- may respond within 20 days after the rectors of the corporation; and due date of protests. Petitions for re- (5) A statement that there is no consideration of decisions denying ap- change in the ownership, management, plications must be filed within 20 days or control of the business. When this after the date of service of such deci- procedure is being used to transfer op- sions. erating rights from a deceased or inca- (b) Protests and petitions for recon- pacitated spouse to the other spouse, sideration must be filed with the Office documentation that the other spouse of the Secretary, Case Control Branch, has the legal right to effect such Interstate Commerce Commission, change must be included with the re- Washington, DC 20423, and be served on quest. The fee for filing a name change appropriate parties. request is in 49 CFR 1002.2(f)(11). § 365.413 Procedures for changing the [53 FR 4852, Feb. 18, 1988, as amended at 54 name or business form of a motor FR 47364, Nov. 14, 1989; 62 FR 49940, Sept. 24, or water carrier, household goods 1997] freight forwarder, or property broker. PART 366—DESIGNATION OF (a) Scope. These procedures (and not PROCESS AGENT the transfer rules at 49 CFR parts 365, subpart D, 1182, 1183 and 1186) apply in Sec. the following circumstances: 366.1 Applicability. (1) A change in the form of a busi- 366.2 Form of designation. ness, such as the incorporation of a 366.3 Eligible persons. partnership or sole proprietorship; 366.4 Required States. 366.5 Blanket designations. (2) A change in the legal name of a 366.6 Cancellation or change. corporation or partnership or change in the trade name or assumed name of AUTHORITY: 49 U.S.C. 13303, 13304, and 14704; any entity; 49 CFR 1.48. (3) A transfer of operating rights SOURCE: 55 FR 11197, Mar. 27, 1990, unless from a deceased or incapacitated otherwise noted. Redesignated at 61 FR 54707, spouse to the other spouse; Oct. 21, 1996. (4) A reincorporation and merger for § 366.1 Applicability. the purpose of effecting a name change; (5) An amalgamation or consolida- These rules, relating to the filing of tion of a carrier and a noncarrier into designations of persons upon whom a new carrier having a different name court process may be served, govern from either of the predecessor entities; motor carriers and brokers and, as of and the moment of succession, their fidu- (6) A change in the State of incorpo- ciaries (as defined at 49 CFR 387.319(a)). ration accomplished by dissolving the [55 FR 11197, Mar. 27, 1990. Redesignated at 61 corporation in one State and reincor- FR 54707, Oct. 21, 1996; 62 FR 49940, Sept. 24, porating in another State. 1997] (b) Procedures. To accomplish these changes, a letter must be sent to the § 366.2 Form of designation. Office of the Secretary, Applications Designations shall be made on Form and Fees Unit, Interstate Commerce BOC–3, Designation of Agent for Service Commission, Washington, DC 20423. of Process. Only one completed current The envelope should be marked form may be on file. It must include all ‘‘NAME CHANGE’’. The applicant must States for which agent designations are provide: required. One copy must be retained by (1) The docket number(s) and name of the carrier or broker at its principal the carrier requesting the change; place of business.
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§ 366.3 Eligible persons. longer required and may be canceled without making another designation. All persons (as defined at 49 U.S.C. 13102(16)) designated must reside or [55 FR 11197, Mar. 27, 1990. Redesignated at 61 maintain an office in the State for FR 54707, Oct. 21, 1996; 62 FR 49940, Sept. 24, which they are designated. If a State 1997] official is designated, evidence of his willingness to accept service of process PART 367—STANDARDS FOR must be furnished. REGISTRATION WITH STATES [55 FR 11197, Mar. 27, 1990. Redesignated at 61 Sec. FR 54707, Oct. 21, 1996; 62 FR 49940, Sept. 24, 1997] 367.1 Definitions. 367.2 Participation by States. § 366.4 Required States. 367.3 Selection of registration State. 367.4 Requirements for registration. (a) Motor carriers. Every motor car- 367.5 Registration receipts. rier (of property or passengers) shall 367.6 Registration State accounting. make a designation for each State in 367.7 Violations unlawful; criminal pen- which it is authorized to operate and alties and civil sanctions. for each State traversed during such APPENDIX A TO PART 367—UNIFORM APPLICA- operations. Every motor carrier (in- TION FOR SINGLE STATE REGISTRATION FOR cluding private carriers) operating in MOTOR CARRIERS REGISTERED WITH THE SECRETARY OF TRANSPORTATION the United States in the course of transportation between points in a for- AUTHORITY: 49 U.S.C. 13301 and 14504; 49 eign country shall file a designation for CFR 1.48. each State traversed. SOURCE: 58 FR 28933, May 18, 1993, unless (b) Brokers. Every broker shall make otherwise noted. Redesignated at 61 FR 54707, a designation for each State in which Oct. 21, 1996. its offices are located or in which con- tracts will be written. § 367.1 Definitions. (a) The Secretary. The Secretary of [55 FR 11197, Mar. 27, 1990, as amended at 55 Transportation. FR 47338, Nov. 13, 1990] (b) Motor carrier and carrier. A person § 366.5 Blanket designations. authorized to engage in the transpor- tation of passengers or property, as a Where an association or corporation common or contract carrier, in inter- has filed with the Commission a list of state or foreign commerce, under the process agents for each State, motor provisions of 49 U.S.C. 13902. carriers may make the required des- (c) Motor vehicle. A self-propelled or ignations by using the following state- motor driven vehicle operated by a ment: motor carrier in interstate or foreign Those persons named in the list of process commerce under authority issued by agents on file with the Interstate Commerce the Secretary. Commission by lllllllllllllll (d) Principal place of business. A single llllllllllllllllllllllll location that serves as a motor car- rier’s headquarters and where it main- (Name of association or corporation) and any tains or can make available its oper- subsequently filed revisions thereof, for the ational records. States in which this carrier is or may be au- thorized to operate, including States tra- (e) State. A State of the United States versed during such operations, except those or the District of Columbia. States for which individual designations are [58 FR 28933, May 18, 1993. Redesignated at 61 named. FR 54707, Oct. 21, 1996, as amended at 62 FR 15420, Apr. 1, 1997] § 366.6 Cancellation or change. A designation may be canceled or § 367.2 Participation by States. changed only by a new designation ex- (a) A State is eligible to participate cept that, where a carrier or broker as a registration State and to receive ceases to be subject to § 366.4 in whole fee revenue only if, as of January 1, or in part for 1 year, designation is no 1991, it charged or collected a fee for a
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vehicle identification stamp or a num- thority, only a motor carrier holding a ber pursuant to the provisions of the certificate or permit issued by the Sec- predecessor to this part. retary under 49 U.S.C. 13902 shall be re- (b) An eligible State that intends ei- quired to register under these stand- ther to commence or to cease partici- ards. pating in the registration program (b) A motor carrier operating in must publish notice of its intention by interstate or foreign commerce in one the 1st day of July of the year preced- or more participating States under a ing the registration year in which it certificate or permit issued by the Sec- will commence or cease participating. retary shall be required to register an- nually with a single registration State, § 367.3 Selection of registration State. and such registration shall be deemed (a) Each motor carrier required to to satisfy the registration require- register and pay filing fees must select ments of all participating States. a single participating State as its reg- (1) The registration year will be the istration State. The carrier must select calendar year. the State in which it maintains its (2) A carrier must file its annual reg- principal place of business, if such istration application between the 1st State is a participating State. A car- day of August and the 30th day of No- rier that maintains its principal place vember of the year preceding the reg- of business outside of a participating istration year. A carrier that intends State must select the State in which it to commence operating during the cur- will operate the largest number of rent registration year may register at motor vehicles during the next reg- any time, but it must do so before it istration year. In the event a carrier commences operating. will operate the same largest number (3) The registration application must of vehicles in more than one State, it be in the form appended to this part must select one of those States. and must contain the information and (b) A carrier may not change its reg- be accompanied by the fees specified in istration State unless it changes its paragraph (c) of this section. There will principal place of business or its reg- be no prorating of fees to account for istration State ceases participating in partial year operations. the program, in which case the carrier (4) A carrier that has changed its reg- must select a registration State for the istration State since its last filing next registration year under the stand- must identify the registration State ards of paragraph (a) of this section. with which it previously filed. (c) A carrier must give notice of its (c) A motor carrier must file, or selection to the State commission of cause to be filed, the following with its its selected registration State, and, the registration State: State commission of its prior registra- (1) Copies of its certificates and/or tion State, within 30 days after it has permits. A carrier must supplement its made its selection. If a carrier changes filing by submitting copies of any new its principal place of business during operating authorities as they are the annual registration period specified issued. Once a carrier has submitted in § 367.4(b)(2), the carrier may continue copies of its authorities, it may there- to use its prior registration State, if after satisfy the filing requirement by any, for the next registration year. certifying that the copies are on file. A (d) A carrier must give notice of its carrier may, with the permission of its selection to its insurer or insurers as registration State, submit a summary soon as practicable after it has made of its operating authorities in lieu of its selection. copies. A carrier granted emergency [58 FR 28933, May 18, 1993. Redesignated at 61 temporary authority or temporary au- FR 54707, Oct. 21, 1996, as amended at 62 FR thority having a duration of 120 days or 15420, Apr. 1, 1997] less is not required to file evidence of such authority, but it must otherwise § 367.4 Requirements for registration. comply with the requirements of this (a) Except as provided in paragraph section; (c)(1) of this section with regard to a (2) A copy of its proof of public liabil- carrier operating under temporary au- ity security submitted to and accepted
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by the Secretary under 49 CFR part 387, (f) A motor carrier must submit to subpart C or a copy of an order of the its insurer or insurers a copy of the Secretary approving a public liability supporting information, including any self-insurance application or other pub- supplemental information, filed with lic liability security or agreement its registration State under paragraphs under the provisions of that part. A (c)(4) and (e) of this section. carrier must supplement its filings as (g) The charging or collection of any necessary to ensure that current infor- fee that is not in accordance with the mation is on file. Once a carrier has fee system established above is deemed submitted, or caused to be submitted, a a burden on interstate commerce. This copy of its proof or order of the Sec- includes fees for the registration or fil- retary, it may thereafter satisfy the ing of evidence of insurance whether filing requirement by certifying that it assessed directly upon the carrier or has done so and that its security, self- indirectly upon the insurance provider insurance, or agreement remains in ef- or other party who seeks reimburse- fect; ment from the carrier. (3) A copy of its designation of an (h) To the extent any State registra- agent or agents for service of process tion requirement imposes obligations submitted to and accepted by the Sec- in excess of those specified in this part, retary under 49 CFR part 366. A carrier the requirement is an unreasonable must supplement its filings as nec- burden on transportation within the essary to ensure that current informa- Secretary’s jurisdiction under 49 U.S.C. tion is on file. Once a carrier has sub- 13501. mitted a copy of its designation, it [58 FR 28933, May 18, 1993. Redesignated at 61 may thereafter satisfy the filing re- FR 54707, Oct. 21, 1996, as amended at 62 FR quirement by certifying that its des- 15420, Apr. 1, 1997] ignation is on file; and (4) A fee for the filing of proof of in- § 367.5 Registration receipts. surance. In support of such fee, the car- (a) On compliance by a motor carrier rier must submit the following infor- with the annual or supplemental reg- mation: istration requirements of § 367.4, the (i) The number of motor vehicles it registration State must issue the car- intends to operate in each participat- rier a receipt reflecting that the car- ing State during the next registration rier has filed the required proof of in- year; surance and paid fees in accordance (ii) The per vehicle fee each pertinent with the requirements of that section. participating State charges, which fee The registration State also must issue must equal the fee, not to exceed $10, a number of official copies of the re- that such State collected or charged as ceipt equal to the number of motor ve- of November 15, 1991; hicles for which fees have been paid. (iii) The total fee due each partici- (1) The receipt and official copies pating State; and must contain only information identi- (iv) The total of all fees specified in fying the carrier and specifying the paragraph (c)(4)(iii) of this section. States for which fees were paid. Sup- (d) Consistent with its obligations plemental receipts and official copies under paragraph (c)(2) of this section, a need contain only information relating carrier must cause to be timely filed to their underlying supplemental reg- with its registration State copies of istrations. any notices of cancellation or of any (b) Receipts and official copies issued replacement certificates of insurance, pursuant to a filing made during the surety bonds, or other security filed annual registration period specified in with the Secretary under 49 CFR part § 367.4(b)(2) must be issued within 30 387, subpart C. days of filing of a fully acceptable reg- (e) A carrier must make such supple- istration application. All other re- mental filings at any time during the ceipts and official copies must be registration year as may be necessary issued by the 30th day following the to specify additional vehicles and/or date of filing of a fully acceptable sup- States of operation and to pay addi- plemental registration application. All tional fees. receipts and official copies shall expire
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at midnight on the 31st day of Decem- mitted to each participating State ber of the registration year for which with respect to each motor carrier reg- they were issued. istrant. A participating State must re- (c) A carrier is permitted to operate tain such records for a minimum of 3 its motor vehicles only in those par- years. ticipating States with respect to which (c) A participating State must keep it has paid appropriate fees, as indi- records pertaining to each of the motor cated on the receipts and official cop- carriers for which it acts as a registra- ies. It may not operate more motor ve- tion State. The records must, at a min- hicles in a participating State than the imum, include copies of annual and number for which it has paid fees. supplemental registration applications (d) A motor carrier may not copy or containing the information required by alter a receipt or an official copy of a § 367.4(c). A registration State must re- receipt. tain all such records for a minimum of (e) A motor carrier must maintain in 3 years. each of its motor vehicles an official copy of its receipt indicating that it [58 FR 28933, May 18, 1993. Redesignated at 61 FR 54707, Oct. 21, 1996, as amended at 62 FR has filed the required proof of insur- 15420, Apr. 1, 1997] ance and paid appropriate fees for each State in which it operates. § 367.7 Violations unlawful; criminal (f) A motor carrier may transfer its penalties and civil sanctions. official copies of its receipts from vehi- Any violation of the provisions of cles taken out of service to their re- these standards is unlawful. Nothing in placement vehicles. these standards shall be construed to (g) The driver of a motor vehicle prevent a State from imposing crimi- must present an official copy of a re- nal penalties or civil sanctions upon ceipt for inspection by any authorized any person or organization violating government personnel on reasonable any provision of them. demand. (h) No registration State shall re- APPENDIX A TO PART 367—UNIFORM AP- quire decals, stamps, cab cards, or any PLICATION FOR SINGLE STATE REG- other means of registering or identify- ISTRATION FOR MOTOR CARRIERS ing specific vehicles operated by a REGISTERED WITH THE SECRETARY motor carrier. OF TRANSPORTATION [60 FR 30012, June 7, 1995. Redesignated at 61 Motor Carrier Identification Numbers: FR 54707, Oct. 21, 1996, as amended at 62 FR llllllllllllll 15420, Apr. 1, 1997] FHWA MC No.(s.) US DOT No. lllllllllllllllll § 367.6 Registration State accounting. Applicant (Identical to name on FHWA (a) A participating State must, on or order): before the last day of each month, allo- Name: llllllllllllllllllll cate and remit to each other partici- D/B/A llllllllllllllllllll pating State the appropriate portion of Principal Place of Business Address: 1 the fee revenue registrants submitted Street llllllllllllllllllll during the preceding month. Each re- City lllllllllllllllllllll mittance must be accompanied by a State llllllllllllllllllll supporting statement identifying reg- Zip lllllllllllllllllllll istrants and specifying the number of Mailing Address if Different From Business motor vehicles for which each reg- Address Above: istrant submitted fees. A participating Street llllllllllllllllllll State must submit a report of ‘‘no ac- City lllllllllllllllllllll tivity’’ to any other participating State llllllllllllllllllll State for which it collected no fees dur- Zip lllllllllllllllllllll ing any month. Type of Registration: (b) A participating State must main- tain records of fee revenue received 1 A principal place of business is a single lo- from and remitted to each other par- cation that serves as a motor carrier’s head- ticipating State. Such records must quarters and where it maintains or can make specify the fees received from and re- available its operational records.
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[ ] New Carrier Registration— The motor car- rity, and the motor carrier will file, or rier has not previously registered. cause to be filed, a copy of proof of public [ ] Annual Registration— The motor carrier liability security with this application in is renewing its annual registration. the registration State. [ ] Supplemental Registration— The motor Hazardous Materials: (Check one) carrier is adding additional vehicles or [ ] The applicant will not haul hazardous States of travel after its annual registra- materials in any quantity. tion. [ ] The applicant will haul hazardous mate- [ ] New Registration State Selection— The rials that require the following limits in motor carrier has changed its principal place of business or its prior registration accordance with Title 49 CFR 387.303: State has left the registration program. (Check one) The prior registration State was [ ] Public Liability and Property Damage llllllllll. Insurance of $1 million. [ ] Additional States not registered in prior [ ] Public Liability and Property Damage years. List Insurance of $5 million. llllllllllllllllllllllll Process Agents: llllllllllllllllllllllll [ ] FHWA Form No. BOC–3 or blanket des- ignation attached for new registration. Type of Motor Carrier: (Check one) [ ] FHWA Form No. BOC–3 or blanket des- [ ] Individual [ ] Partnership [ ] Cor- ignation attached reflecting changes of poration If corporation, give State in which incor- designation of process agents. porated:llllllllll [ ] No change from prior year registration. List names of partners or officers: Certification: Name: llllllllllllllllllll I, the undersigned, under penalty for false Title: llllllllllllllllllll statement, certify that the above informa- tion is true and correct and that I am au- llllllllllllllllllll Name: thorized to execute and file this document on Title: llllllllllllllllllll behalf of the applicant. (Penalty provisions Name: llllllllllllllllllll subject to the laws of the registration Title: llllllllllllllllllll State.) Type of FHWA Registered Authority: Name (Printed) lllllllllllllll Permanent Certificate or Permit [ ] Tem- Signature llllllllllllllllll porary Authority (TA) [ ] Emergency Title lllllllllllllllllllll Temporary Authority (ETA) [ ] Telephone Number lllllllllllll FHWA Certificate(s) or Permit(s): [ ] FHWA Authority Order(s) attached for Date lllllllllllllllllllll initial registration. [58 FR 28933, May 18, 1993. Redesignated at 61 [ ] FHWA Authority Order(s) attached for FR 54707, Oct. 21, 1996, as amended at 62 FR additional grants received. 15420, Apr. 1, 1997] [ ] No change from prior year registration. Proof of Public Liability Security: [ ] The applicant is filing, or causing to be PART 368—APPLICATIONS FOR filed, a copy of its proof of public liabil- CERTIFICATES OF REGISTRATION ity security submitted to and accepted by the FHWA under 49 CFR part 387, sub- BY FOREIGN MOTOR CARRIERS part C. AND FOREIGN MOTOR PRIVATE [ ] The applicant has filed, or caused to be CARRIERS UNDER 49 U.S.C. filed, a copy of its proof of public liabil- 13902(c) ity security submitted to and accepted by the FHWA under 49 CFR part 387, sub- part C, and the security remains in ef- Sec. fect. 368.1 Controlling legislation. FHWA Approved Self-Insurance or Other Secu- 368.2 Definitions. rities: 368.3 Procedures used generally. [ ] FHWA Insurance order attached for new 368.4 Information on Form OP–2. carrier registration. (Check one when 368.5 Where to send the application. completing for annual registration.) 368.6 Review of the application. [ ] The FHWA Order approving the self-in- 368.7 Appeals. surance plan or other security is still in AUTHORITY: 49 U.S.C. 13301 and 13902; 49 full force and effect, and the carrier is in CFR 1.48. full compliance with all conditions im- posed by the FHWA Order. SOURCE: 50 FR 20773, May 20, 1985, unless [ ] The motor carrier is no longer approved otherwise noted. Redesignated at 61 FR 54707, under a self-insurance plan or other secu- Oct. 21, 1996.
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§ 368.1 Controlling legislation. rier described in (c) (1) and (2) of this section). (a) This part governs applications (d) Exempt items. Commodities de- filed under 49 U.S.C. 13902(c). Under scribed in detail at or transported this section certain foreign motor car- under 49 U.S.C. 13506(a) (4), (5), (6), (11), riers and motor private carriers must (12), (13), and (15). hold a certificate of registration to (e) Interstate transportation. Transpor- provide certain interstate transpor- tation described at 49 U.S.C. 13501, and tation services otherwise outside the transportation in the United States registration jurisdiction of the Sec- otherwise exempt from the Secretary’s retary. Neither a foreign motor carrier jurisdiction under 49 U.S.C. 13506(b)(1). nor a foreign motor private carrier may provide interstate transportation (f) Fit, willing and able. Safety fitness of property unless the Secretary has and proof of minimum financial re- issued the carrier a certificate of reg- sponsibility as defined in 49 U.S.C. istration. The service allowable under 13902(a). a certificate of registration is de- (g) Motor vehicle taxes. Taxes imposed scribed in 49 U.S.C. 13902(c)(4). under 26 U.S.C. 4481. (h) Most recent taxable period. Same as (b) This part applies only to carriers defined in 26 U.S.C. 4482(c). of a contiguous foreign country with respect to which a moratorium is in ef- [50 FR 20773, May 20, 1985, as amended at 54 fect under 49 U.S.C. 13902(c)(4). FR 42959, Oct. 19, 1989; 62 FR 15421, Apr. 1, 1997] [62 FR 15420, Apr. 1, 1997] § 368.3 Procedures used generally. § 368.2 Definitions. (a) All applicants must file a com- (a) The Act. The ICC Termination Act pleted Form OP–2. All required infor- of 1995. mation must be submitted in English (b) Foreign motor carrier. A person on the Form OP–2. The application will transporting the goods of others for be decided based on the submitted hire (including a motor carrier of prop- Form OP–2 and any attachments. No- erty): tice of the authority sought will not be (1) Which does not hold a registration published in either the FEDERAL REG- issued under 49 U.S.C. 13902(a); ISTER or the Federal Highway Adminis- (2) Which is domiciled in any contig- tration’s Office of Motor Carriers Reg- uous foreign country, or is owned or ister. Protests or comments will not be controlled by persons of any contig- allowed. There will be no oral hearings. uous foreign country; and (b) Under the statute, the carriers (3) In the case of a person which is covered must have a copy of a valid not a motor carrier of property, which certificate of registration in any vehi- provides interstate transportation of cle providing transportation within the property under an agreement or con- scope of the statute. tract with a motor carrier of property (c) Form OP–2 may be obtained at (except a motor carrier described in any of the FHWA Regional Offices or (b)(2) of this section). by contacting the FHWA’s Office of (c) Foreign motor private carrier. A per- Motor Carriers Section of Licensing. son transporting its own goods (includ- [50 FR 20773, May 20, 1985, as amended at 54 ing a motor private carrier): FR 42959, Oct. 19, 1989; 62 FR 15421, Apr. 1, (1) Which is domiciled in any contig- 1997] uous foreign country; (2) Which is owned or controlled by § 368.4 Information on Form OP–2. persons of any contiguous foreign (a) Applicants must furnish all infor- country; and mation required on Form OP–2 by com- (3) In the case of a person which is pleting all spaces on the form and pro- not a motor private carrier which pro- viding any necessary attachments. vided interstate transportation of prop- Failure to do so will result in rejection erty by motor vehicle under an agree- of the application. ment or contract entered into with a (b) Notarization of the application is person (other than a motor private car- not required; however, applicants are
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subject to applicable Federal penalties Highway Administration will issue a for filing false information. notice stating that a certificate of reg- istration will be issued upon such com- [50 FR 20773, May 20, 1985] pliance. No certificate of registration § 368.5 Where to send the application. shall be issued prior to compliance. The original and one copy of the ap- [50 FR 20773, May 20, 1985, as amended at 50 plication shall be filed with the FR 40030, Oct. 1, 1985; 54 FR 52035, Dec. 20, FHWA’s Regional Office that has juris- 1989; 55 FR 47338, Nov. 13, 1990; 62 FR 15421, diction over applicant’s point of domi- Apr. 1, 1997] cile (the instructions to the application § 368.7 Appeals. provide more specific information), or at such other location as the Secretary A decision disposing of an application may designate in special cir- subject to this part is a final action of cumstances. A check or money order the Federal Highway Administration. for the amount of the filing fee set Review of such an action on appeal is forth at 49 CFR 1002.2(f)(1), payable to governed by the FHWA’s appeal regula- the Federal Highway Administration’s tions in 49 CFR part 386. Office of Motor Carriers in United [62 FR 15421, Apr. 1, 1997] States dollars, must be submitted. [62 FR 15421, Apr. 1, 1997] PART 370—PRINCIPLES AND PRAC- TICES FOR THE INVESTIGATION § 368.6 Review of the application. AND VOLUNTARY DISPOSITION (a) Federal Highway Administration OF LOSS AND DAMAGE CLAIMS staff will review the application for AND PROCESSING SALVAGE correctness, completeness, and ade- quacy of the evidence. Sec. (1) Minor errors will be corrected 370.1 Applicability of regulations. without notification to the applicant. 370.3 Filing of claims. (2) Materially incomplete applica- 370.5 Acknowledgment of claims. tions will be rejected. 370.7 Investigation of claims. 370.9 Disposition of claims. (b) Compliance will be determined 370.11 Processing of salvage. solely on the basis of the application and the safety fitness of the applicant. AUTHORITY: 49 U.S.C. 13301 and 14706; 49 An employee review board will decide CFR 1.48. whether the authority sought falls SOURCE: 62 FR 32042, June 12, 1997, unless under the Act, and whether and to otherwise noted. what extent the evidence warrants a grant of the authority. § 370.1 Applicability of regulations. (1) If the authority sought does not The regulations set forth in this part require a certificate of registration, or shall govern the processing of claims if the evidence does not warrant a for loss, damage, injury, or delay to grant of the authority sought, the em- property transported or accepted for ployee review board will deny the ap- transportation, in interstate or foreign plication in whole or in part. In the commerce, by each motor carrier, case of a full or partial denial of an ap- water carrier, and freight forwarder plication, the Federal Highway Admin- (hereinafter called carrier), subject to istration will inform the applicant by 49 U.S.C. subtitle IV, part B. letter setting forth the reasons for the denial. § 370.3 Filing of claims. (2) If the employee board grants all (a) Compliance with regulations. A or part of the application, the Federal claim for loss or damage to baggage or Highway Administration will issue a for loss, damage, injury, or delay to certificate of registration authorizing cargo, shall not be voluntarily paid by specified operations provided that ap- a carrier unless filed, as provided in plicant has demonstrated compliance paragraph (b) of this section, with the with 49 CFR 366 (designation of process receiving or delivering carrier, or car- agent). If applicant has not complied rier issuing the bill of lading, receipt, with this requirement, the Federal ticket, or baggage check, or carrier on
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whose line the alleged loss, damage, in- ing for a specified or determinable jury, or delay occurred, within the amount of money shall have been filed specified time limits applicable thereto in accordance with the provisions of and as otherwise may be required by paragraph (b) of this section. law, the terms of the bill of lading or (e) Other claims. If investigation of a other contract of carriage, and all tar- claim develops that one or more other iff provisions applicable thereto. carriers has been presented with a (b) Minimum filing requirements. A similar claim on the same shipment, written or electronic communication the carrier investigating such claim (when agreed to by the carrier and shall communicate with each such shipper or receiver involved) from a other carrier and, prior to any agree- claimant, filed with a proper carrier ment entered into between or among within the time limits specified in the them as to the proper disposition of bill of lading or contract of carriage or such claim or claims, shall notify all transportation and: claimants of the receipt of conflicting (1) Containing facts sufficient to or overlapping claims and shall require identify the baggage or shipment (or further substantiation, on the part of shipments) of property, each claimant of his/her title to the (2) Asserting liability for alleged property involved or his/her right with loss, damage, injury, or delay, and respect to such claim. (3) Making claim for the payment of a specified or determinable amount of § 370.5 Acknowledgment of claims. money, shall be considered as suffi- (a) Each carrier shall, upon receipt in cient compliance with the provisions writing or by electronic transmission for filing claims embraced in the bill of of a proper claim in the manner and lading or other contract of carriage; form described in the regulations in Provided, however, That where claims the past, acknowledge the receipt of are electronically handled, procedures such claim in writing or electronically are established to ensure reasonable to the claimant within 30 days after carrier access to supporting docu- the date of its receipt by the carrier ments. unless the carrier shall have paid or de- (c) Documents not constituting claims. clined such claim in writing or elec- Bad order reports, appraisal reports of tronically within 30 days of the receipt damage, notations of shortage or dam- thereof. The carrier shall indicate in age, or both, on freight bills, delivery its acknowledgment to the claimant receipts, or other documents, or inspec- what, if any, additional documentary tion reports issued by carriers or their evidence or other pertinent informa- inspection agencies, whether the ex- tion may be required by it further to tent of loss or damage is indicated in process the claim as its preliminary ex- dollars and cents or otherwise, shall, amination of the claim, as filed, may standing alone, not be considered by have revealed. carriers as sufficient to comply with (b) The carrier shall at the time each the minimum claim filing require- claim is received create a separate file ments specified in paragraph (b) of this and assign thereto a successive claim section. file number and note that number on (d) Claims filed for uncertain amounts. all documents filed in support of the Whenever a claim is presented against claim and all records and correspond- a proper carrier for an uncertain ence with respect to the claim, includ- amount, such as ‘‘$100 more or less,’’ ing the acknowledgment of receipt. At the carrier against whom such claim is the time such claim is received the car- filed shall determine the condition of rier shall cause the date of receipt to the baggage or shipment involved at be recorded on the face of the claim the time of delivery by it, if it was de- document, and the date of receipt shall livered, and shall ascertain as nearly as also appear in the carrier’s acknowl- possible the extent, if any, of the loss edgment of receipt to the claimant. or damage for which it may be respon- The carrier shall also cause the claim sible. It shall not, however, voluntarily file number to be noted on the shipping pay a claim under such circumstances order, if in its possession, and the de- unless and until a formal claim in writ- livery receipt, if any, covering such
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shipment, unless the carrier has estab- supporting documents are retained by lished an orderly and consistent inter- the carriers for possible FHWA inspec- nal procedure for assuring: tion. (1) That all information contained in (c) Verification of loss. When an as- shipping orders, delivery receipts, tally serted claim for loss of an entire pack- sheets, and all other pertinent records age or an entire shipment cannot be made with respect to the transpor- otherwise authenticated upon inves- tation of the shipment on which claim tigation, the carrier shall obtain from is made, is available for examination the consignee of the shipment involved upon receipt of a claim; a certified statement in writing that (2) That all such records and docu- the property for which the claim is ments (or true and complete reproduc- filed has not been received from any tions thereof) are in fact examined in other source. the course of the investigation of the claim (and an appropriate record is § 370.9 Disposition of claims. made that such examination has in (a) Each carrier subject to 49 U.S.C. fact taken place); and subtitle IV, part B which receives a (3) That such procedures prevent the written or electronically transmitted duplicate or otherwise unlawful pay- claim for loss or damage to baggage or ment of claims. for loss, damage, injury, or delay to property transported shall pay, decline, § 370.7 Investigation of claims. or make a firm compromise settlement (a) Prompt investigation required. Each offer in writing or electronically to the claim filed against a carrier in the claimant within 120 days after receipt manner prescribed in this part shall be of the claim by the carrier; Provided, promptly and thoroughly investigated however, That, if the claim cannot be if investigation has not already been processed and disposed of within 120 made prior to receipt of the claim. days after the receipt thereof, the car- (b) Supporting documents. When a nec- rier shall at that time and at the expi- essary part of an investigation, each ration of each succeeding 60-day period claim shall be supported by the origi- while the claim remains pending, ad- nal bill of lading, evidence of the vise the claimant in writing or elec- freight charges, if any, and either the tronically of the status of the claim original invoice, a photographic copy and the reason for the delay in making of the original invoice, or an exact final disposition thereof and it shall re- copy thereof or any extract made tain a copy of such advice to the claim- therefrom, certified by the claimant to ant in its claim file thereon. be true and correct with respect to the (b) When settling a claim for loss or property and value involved in the damage, a common carrier by motor claim; or certification of prices or val- vehicle of household goods as defined ues, with trade or other discounts, al- in § 375.1(b)(1) of this chapter shall use lowance, or deductions, of any nature the replacement costs of the lost or whatsoever and the terms thereof, or damaged item as a base to apply a de- depreciation reflected thereon; Pro- preciation factor to arrive at the cur- vided, however, That where property in- rent actual value of the lost or dam- volved in a claim has not been invoiced aged item: Provided, That where an to the consignee shown on the bill of item cannot be replaced or no suitable lading or where an invoice does not replacement is obtainable, the proper show price or value, or where the prop- measure of damages shall be the origi- erty involved has been sold, or where nal costs, augmented by a factor de- the property has been transferred at rived from a consumer price index, and bookkeeping values only, the carrier adjusted downward by a factor depre- shall, before voluntarily paying a ciation over average useful life. claim, require the claimant to estab- lish the destination value in the quan- § 370.11 Processing of salvage. tity, shipped, transported, or involved; (a) Whenever baggage or material, Provided, further, That when supporting goods, or other property transported by documents are determined to be a nec- a carrier subject to the provisions in essary part of an investigation, the this part is damaged or alleged to be
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damaged and is, as a consequence AUTHORITY: 49 U.S.C. 13301 and 13501; 49 thereof, not delivered or is rejected or CFR 1.48. refused upon tender thereof to the SOURCE: 45 FR 68942, Oct. 17, 1980, unless owner, consignee, or person entitled to otherwise noted. Redesignated at 61 FR 54707, receive such property, the carrier, after Oct. 21, 1996. giving due notice, whenever prac- ticable to do so, to the owner and other § 371.1 Applicability. parties that may have an interest This part applies, to the extent pro- therein, and unless advised to the con- vided therein, to all brokers of trans- trary after giving such notice, shall un- portation by motor vehicle as defined dertake to sell or dispose of such prop- in § 371.2. erty directly or by the employment of a competent salvage agent. The carrier [32 FR 20034, Dec. 20, 1967, as amended at 62 shall only dispose of the property in a FR 15421, Apr. 1, 1997] manner that will fairly and equally § 371.2 Definitions. protect the best interests of all persons having an interest therein. The carrier (a) Broker means a person who, for shall make an itemized record suffi- compensation, arranges, or offers to ar- cient to identify the property involved range, the transportation of property so as to be able to correlate it to the by an authorized motor carrier. Motor shipment or transportation involved, carriers, or persons who are employees and claim, if any, filed thereon. The or bona fide agents of carriers, are not carrier also shall assign to each lot of brokers within the meaning of this sec- such property a successive lot number tion when they arrange or offer to ar- and note that lot number on its record range the transportation of shipments of shipment and claim, if any claim is which they are authorized to transport filed thereon. and which they have accepted and le- (b) Whenever disposition of salvage gally bound themselves to transport. material or goods shall be made di- (b) Bona fide agents are persons who rectly to an agent or employee of a car- are part of the normal organization of rier or through a salvage agent or com- a motor carrier and perform duties pany in which the carrier or one or under the carrier’s directions pursuant more of its directors, officers, or man- to a preexisting agreement which pro- agers has any interest, financial or vides for a continuing relationship, otherwise, that carrier’s salvage precluding the exercise of discretion on records shall fully reflect the particu- the part of the agent in allocating traf- lars of each such transaction or rela- fic between the carrier and others. tionship, or both, as the case may be. (c) Brokerage or brokerage service is (c) Upon receipt of a claim on a ship- the arranging of transportation or the ment on which salvage has been proc- physical movement of a motor vehicle essed in the manner prescribed in this or of property. It can be performed on section, the carrier shall record in its behalf of a motor carrier, consignor, or claim file thereon the lot number as- consignee. signed, the amount of money recov- (d) Non-brokerage service is all other ered, if any, from the disposition of service performed by a broker on behalf such property, and the date of trans- of a motor carrier, consignor, or con- mittal of such money to the person or signee. persons lawfully entitled to receive the same. § 371.3 Records to be kept by brokers. (a) A broker shall keep a record of PART 371—BROKERS OF PROPERTY each transaction. For purposes of this section, brokers may keep master lists Sec. of consignors and the address and reg- 371.1 Applicability. istration number of the carrier, rather 371.2 Definitions. than repeating this information for 371.3 Records to be kept by brokers. each transaction. The record shall 371.7 Misrepresentation. 371.9 Rebating and compensation. show: 371.10 Duties and obligations of brokers. (1) The name and address of the con- 371.13 Accounting. signor;
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(2) The name, address, and registra- advertising items given for pro- tion number of the originating motor motional purposes. carrier; (3) The bill of lading or freight bill § 371.10 Duties and obligations of bro- number; kers. (4) The amount of compensation re- Where the broker acts on behalf of a ceived by the broker for the brokerage person bound by law or the FHWA reg- service performed and the name of the ulation as to the transmittal of bills or payer; payments, the broker must also abide (5) A description of any non-broker- by the law or regulations which apply age service performed in connection to that person. with each shipment or other activity, the amount of compensation received [45 FR 68943, Oct. 17, 1980, as amended at 62 FR 15421, Apr. 1, 1997] for the service, and the name of the payer; and § 371.13 Accounting. (6) The amount of any freight charges collected by the broker and the date of Each broker who engages in any payment to the carrier. other business shall maintain accounts (b) Brokers shall keep the records re- so that the revenues and expenses re- quired by this section for a period of lating to the brokerage portion of its three years. business are segregated from its other (c) Each party to a brokered trans- activities. Expenses that are common action has the right to review the shall be allocated on an equitable record of the transaction required to be basis; however, the broker must be pre- kept by these rules. pared to explain the basis for the allo- cation. [45 FR 68942, Oct. 17, 1980. Redesignated at 61 FR 54707, Oct. 21, 1996, as amended at 62 FR [45 FR 68943, Oct. 17, 1980] 15421, Apr. 1, 1997] PART 372—EXEMPTIONS, COM- § 371.7 Misrepresentation. MERCIAL ZONES, AND TERMINAL (a) A broker shall not perform or AREAS offer to perform any brokerage service (including advertising), in any name Subpart A—Exemptions other than that in which its registra- tion is issued. Sec. (b) A broker shall not, directly or in- 372.101 Casual, occasional, or reciprocal directly, represent its operations to be transportation of passengers for com- pensation when such transportation is that of a carrier. Any advertising shall sold or arranged by anyone for com- show the broker status of the oper- pensation. ation. 372.103 Motor vehicles employed solely in [45 FR 68942, Oct. 17, 1980. Redesignated at 61 transporting school children and teach- FR 54707, Oct. 21, 1996, as amended at 62 FR ers to or from school. 15421, Apr. 1, 1997] 372.107 Definitions. 372.109 Computation of tonnage allowable in § 371.9 Rebating and compensation. nonfarm-non-member transportation. 372.111 Nonmember transportation limita- (a) A broker shall not charge or re- tion and record keeping. ceive compensation from a motor car- 372.113 [Reserved] rier for brokerage service where: 372.115 Commodities that are not exempt (1) The broker owns or has a material under 49 U.S.C. 13506(a)(6). beneficial interest in the shipment or 372.117 Motor transportation of passengers incidental to transportation by aircraft. (2) The broker is able to exercise con- trol over the shipment because the Subpart B—Commercial Zones broker owns the shipper, the shipper owns the broker, or there is common 372.201 Albany, NY. ownership of the two. 372.203 Beaumont, TX. 372.205 Charleston, SC. (b) A broker shall not give or offer to 372.207 Charleston, WV. give anything of value to any shipper, 372.209 Lake Charles, LA. consignor or consignee (or their offi- 372.211 Pittsburgh, PA. cers or employees) except inexpensive 372.213 Pueblo, CO.
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372.215 Ravenswood, WV. pensation or as a regular occupation or 372.217 Seattle, WA. business. 372.219 Washington, DC. [32 FR 20036, Dec. 20, 1967. Redesignated at 61 372.221 Twin Cities. FR 54708, Oct. 21, 1996, as amended at 62 FR 372.223 Consolidated governments. 15421, Apr. 1, 1997] 372.225 Lexington-Fayette Urban County, KY. § 372.103 Motor vehicles employed 372.227 Syracuse, NY. solely in transporting school chil- 372.229 Spokane, WA. dren and teachers to or from 372.231 Tacoma, WA. school. 372.233 Chicago, IL. The exemption set forth in 49 U.S.C. 372.235 New York, NY. 13506(a)(1) shall not be construed as 372.237 Cameron, Hidalgo, Starr, and being inapplicable to motor vehicles Willacy Counties, TX. being used at the time of operation in 372.239 Definitions. the transportation of schoolchildren 372.241 Commercial zones determined gen- and teachers to or from school, even erally, with exceptions. though such motor vehicles are em- 372.243 Controlling distances and population ployed at other times in transportation data. beyond the scope of the exemption. Subpart C—Terminal Areas [36 FR 9022, May 18, 1971, as amended at 62 FR 15421, Apr. 1, 1997] 372.300 Distances and population data. 372.301 Terminal areas of motor carriers and § 372.107 Definitions. freight forwarders at municipalities As used in the regulations in this served. part, the following terms shall have 372.303 Terminal areas of motor carriers and the meaning shown: household goods freight forwarders at (a) Cooperative association. The term unincorporated communities served. ‘‘cooperative association’’ means an as- AUTHORITY: 49 U.S.C. 13504 and 13506; 49 sociation which conforms to the follow- CFR 1.48. ing definition in the Agricultural Mar- keting Act, approved June 15, 1929, as Subpart A—Exemptions amended (12 U.S.C. 1141j): As used in this Act, the term cooperative SOURCE: 32 FR 20036, Dec. 20, 1967, unless association means any association in which otherwise noted. Redesignated at 61 FR 54708, farmers act together in processing, preparing Oct. 21, 1996. for market, handling, and/or marketing the farm products of persons so engaged, and § 372.101 Casual, occasional, or recip- also means any association in which farmers rocal transportation of passengers act together in purchasing, testing, grading, processing, distributing, and/or furnishing for compensation when such trans- farm supplies and/or farm business services. portation is sold or arranged by Provided, however, That such associations anyone for compensation. are operated for the mutual benefit of the The partial exemption from regula- members thereof as such producers or pur- tion under the provisions of 49 U.S.C. chasers and conform to one or both of the following requirements: subtitle IV, part B of the casual, occa- First. That no member of the association sional, and reciprocal transportation of is allowed more than one vote because of the passengers by motor vehicle in inter- amount of stock or membership capital he state or foreign commerce for com- may own therein; and pensation as provided in 49 U.S.C. Second. That the association does not pay dividends on stock or membership capital in 13506(b) be, and it is hereby, removed excess of 8 per centum per annum. to the extent necessary to make appli- And in any case to the following: cable all provisions of 49 U.S.C. subtitle Third. That the association shall not deal IV, part B to such transportation when in farm products, farm supplies and farm sold or offered for sale, or provided or business services with or for nonmembers in procured or furnished or arranged for, an amount greater in value than the total amount of such business transacted by it by any person who sells, offers for sale, with or for members. All business transacted provides, furnishes, contracts, or ar- by any cooperative association for or on be- ranges for such transportation for com- half of the United States or any agency or
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instrumentality thereof shall be disregarded ciation or federation of cooperative as- in determining the volume of member and sociations for Federal income tax re- nonmember business transacted by such as- porting purposes. sociation. [43 FR 2397, Jan. 17, 1978, as amended at 45 Associations which do not conform to FR 45524, July 3, 1980; 47 FR 13353, Mar. 30, such definition are not eligible to oper- 1982; 47 FR 15142, Apr. 8, 1982] ate under the partial exemption of 49 U.S.C. 10526(a)(5). § 372.109 Computation of tonnage al- (b) Federation of cooperative associa- lowable in nonfarm-non-member tions. The term ‘‘federation of coopera- transportation. tive associations’’ means a federation Interstate transportation performed composed of either two or more cooper- by a cooperative association or federa- ative associations, or one or more tion of cooperative associations for farmers, which federation possesses no nonmembers who are not farmers, co- greater powers or purposes than a co- operative associations, or federations operative association as defined in of associations or the United States paragraph (a) of this section. Federa- Government for compensation, (except tions of cooperative associations which transportation otherwise exempt under do not conform to such definition are subchapter II, chapter 105, subtitle IV not eligible to operate under the par- of title 49 of the United States Code) tial exemption of 49 U.S.C. 10526(a)(5). shall be limited to that which is inci- (c) Member. The term ‘‘member’’ dental to its primary transportation means any farmer or cooperative asso- operation and necessary for its effec- ciation which has consented to be, has tive performance. It shall in no event been accepted as, and is a member in exceed 25 percent of its total interstate good standing in accordance with the transportation services in any fiscal constitution, bylaws, or rules of the co- year, measured in terms of tonnage. A operative association or federation of cooperative association or federation cooperative associations. of cooperative associations may trans- (d) Farmer. The term ‘‘farmer’’ means port its own property, its members’ any individual, partnership, corpora- property, property of other farmers and tion, or other business entity to the ex- the property of other cooperatives or tent engaged in farming operations ei- federations in accordance with existing ther as a producer of agricultural com- law, except where the provisions of modities or as a farm owner. § 372.111 may be applicable to the limit (e) Interstate transportation. The term on member/nonmember transportation. ‘‘interstate transportation’’ means (a) The phrase ‘‘incidental to its pri- transportation by motor vehicle in mary transportation operation and interstate or foreign commerce subject necessary for its effective perform- to the Commission’s jurisdiction as set ance’’ means that the interstate trans- forth in 49 U.S.C. 10521. portation of the cooperative associa- (f) Member transportation. The term tion or federation of cooperation asso- ‘‘member transportation’’ means trans- ciation for nonmembers as described portation performed by a cooperative above is performed with the same association or federation of coopera- trucks or tractors employed in a prior tive associations for itself or for its or subsequent trip in the primary members, but does not include trans- transportation operation of the cooper- portation performed in furtherance of ative association or federation, that it the nonfarm business of such members. is not economically feasible to operate (g) Nonmember transportation. The the trucks or tractors empty on return term ‘‘nonmember transportation’’ trips (outbound trips in cases where means transportation performed by a the primary transportation operation cooperative association or federation is inbound to the association or federa- of cooperative associations other than tion), and that the additional income member transportation as defined in obtained from such transportation is paragraph (f) of this section. necessary to make the primary trans- (h) Fiscal year. The term ‘‘fiscal portation operation financially prac- year’’ means the annual accounting pe- ticable. Transportation for nonmem- riod adopted by the cooperative asso- bers as described above performed by a
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cooperative or federation through the tion of cooperative associations to ob- use of trucks or tractors trip-leased for tain equipment to perform transpor- one-way movements with the coopera- tation under 49 U.S.C. 13506(a)(5), tive association or federation acting as (9) Whether the transportation per- leasee, is not incidental and necessary; formed is: (b) The base tonnage to which the 25- (i) Member transportation, percent limitation is applied is all ton- (ii) Nonmember transportation for nage of all kinds transported by the co- nonmembers who are farmers, coopera- operative association or federation of tive associations, or federations there- cooperative associations in interstate of, or foreign commerce, whether for (iii) Other nonmember transpor- itself, its members or nonmembers, for tation, and if of class (iii), how the or on behalf of the United States or transportation was incidental and nec- any agency or instrumentality thereof, essary as defined in § 372.109(a). and that performed within the exemp- [43 FR 2397, Jan. 17, 1978, as amended at 45 tion provided by 49 U.S.C. 10526(a)(5). FR 45524, July 3, 1980; 62 FR 38036, July 16, [43 FR 2397, Jan. 17, 1978, as amended at 43 1997; 62 FR 49940, Sept. 24, 1997] FR 21894, May 22, 1978; 45 FR 45524, July 3, 1980; 62 FR 49940, Sept. 24, 1997] § 372.113 [Reserved]
§ 372.111 Nonmember transportation § 372.115 Commodities that are not ex- limitation and record keeping. empt under 49 U.S.C. 13506(a)(6). (a) Overall limitation of nonmember 49 U.S.C. 13506(a)(6) provides an ex- transportation. No cooperative associa- emption from regulation for motor ve- tion or federation of cooperative asso- hicles used in carrying ordinary live- ciations may engage in nonmember stock, fish, and unmanufactured agri- interstate transportation for com- cultural commodities. Certain specific pensation in any fiscal year which, commodities have been statutorily de- measured in terms of tonnage, exceeds termined to be non-exempt. Adminis- its total interstate member transpor- trative Ruling No. 133, which is repro- tation in such fiscal year. duced below, is a list of those commod- (b) Records of interstate transportation ities that are non-exempt by statute.
when nonmember transportation is per- ADMINISTRATIVE RULING NO. 133 formed. Any cooperative association or federation of cooperative associations LIST OF COMMODITIES THAT ARE NOT EXEMPT performing interstate transportation BY STATUTE UNDER 49 U.S.C. 13506(A)(6) for nonmembers shall prepare and re- Animal fats tain for a period of at least two years Butter written records of all interstate trans- Canned fruits and vegetables portation performed for members and Carnauba wax as imported in slabs or chunks nonmembers. These records shall con- Cattle, slaughtered tain: Charcoal Cheese (1) The date of the shipment, Coal (2) The names and addresses of the Cocoa beans consignor and consignee, Coffee, beans, roasted, or instant (3) The origin and destination of the Copra meal shipment, Cotton yarn (4) A description of the articles in the Cottonseed cake or meal shipment, Diatomaceous earth (5) The weight or volume of the ship- Dinners, frozen ment, Feeds: (6) A description of the equipment Alfalfa meal used either by unit number or license Alfalfa pellets number and, in the event this equip- Beet pulp ment is nonowned, the name and ad- Bran shorts Copra meal dress of its owners and drivers, Corn gluten (7) The total charges collected, Distilled corn grain residues, with or with- (8) A copy of all leases executed by out solubles added the cooperative association or federa- Fish meal
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Hominy feed Soybean Middlings Meat and meat products, fresh, frozen or Pelletized ground refuse screenings canned Wheat bran Milk and Cream: Wheat shorts Fertilizer, commercial Chocolate Condensed Fish: Sterilized in hermetically sealed cans Canned or salted as a treatment for pre- Molasses serving Cooked or partially cooked fish or shrimp, Nuts (including peanuts): frozen or unfrozen Peanut meal Hermetically sealed in containers as a Roasted or boiled treatment for preserving Oil, mint Oil from fishes Oil, extracted from vegetables, grain, seed, fish Preserved, or treated for preserving, such or other commodity as smoked, salted, pickled, spiced, corned Pelts or kippered Pies, frozen Flagstone Pigeons, racing Flaxseed meal Pulp, beet Flour Pulp, sugar cane Forest products: Rock (except natural crushed, vesicular rock to be used for decorative purposes) Resin products, such as turpentine Rubber, crude, in bales Fruits and Berries: Rubber, latex, natural, liquid, from which water Bananas, fresh, dried, dehydrated, or fro- has been extracted and to which ammonia zen has been added Canned Sand Frozen Seeds: Hulls of oranges after juice extractions Oil extracted from seeds Juice, fruit, plain or concentrated Pies, frozen Skins, animal Preserved, such as jam Soil, potting Purees, strawberry and other, frozen Soil, top Soup, frozen Grains: Sugar Oils extracted from grain Sugar cane pulp Popcorn, popped Sugar raw Rice, precooked Syrup, cane Wheat germ Syrup, maple Gravel Tea Hair, hog or other animal, product of slaughter Tobacco: of animal Cigars and cigarettes Hay, sweetened with 3 percent molasses by Homogenized weight Smoking Hemp fiber Hides, green and salted Top Soil Insecticides Trees: Limestone, agricultural Sawed into lumber Livestock: Vegetables: Monkeys Candied sweet potatoes, frozen Race horses Canned Show horses Cooked Zoo animals French fried potatoes Lumber, rough sawed or planed Oil, extracted from vegetables Maple syrup Soup, frozen Meal: Soybean meal Wool imported from a foreign country Alfalfa Wool tops and noils Copra Wool waste (carded, spun, woven, or knitted) Cottonseed Wool yarn Fish Flaxseed Note 1: Under 49 U.S.C. 13506(a)(6)(D), any Linseed listed fish or shellfish product that is not in- Peanut tended for human consumption is exempt.
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Note 2: Under 49 U.S.C. 13506(a)(6)(E), any individually determined with respect listed livestock feed, poultry feed, agricul- to any particular airport or city served tural seeds, or plants that are transported to by an airport, and whether there a site of agricultural production or to a busi- ness enterprise engaged in the sale to agri- should be established therefor appro- cultural producers of goods used in agricul- priate boundaries differing in extent tural production is exempt from this defined in paragraph (a)(2) of this section. [53 FR 17707, May 18, 1988, as amended at 62 FR 15421, Apr. 1, 1997] (d) Exempt zones and operations—(1) Dulles and Baltimore-Washington Inter- § 372.117 Motor transportation of pas- national Airports. The transportation by sengers incidental to transportation motor vehicle, in interstate or foreign by aircraft. commerce, of passengers, having an (a) Passengers having an immediately immediately prior or subsequent move- prior or subsequent movement by air. The ment by air, between Dulles Inter- transportation of passengers by motor national Airport, near Chantilly, Va., vehicle is transportation incidental to and Baltimore-Washington Inter- transportation by aircraft provided (1) national Airport, near Baltimore, Md., that it is confined to the transpor- is partially exempt from regulation tation of passengers who have had or under 49 U.S.C. 13506(a)(8)(A). will have an immediately prior or im- (2) Savannah, Ga., Airport. The trans- mediately subsequent movement by air portation by motor vehicle, in inter- and (2) that the zone within which state or foreign commerce, of pas- motor transportation is incidental to sengers, having an immediately prior transportation by aircraft, except as it or subsequent movement by air, be- may be individually determined as pro- tween Savannah, Ga., Airport and all vided in section (c) herein, shall not ex- points on Hilton Head Island, SC, is ceed in size the area encompassed by a partially exempt from regulation under 25-mile radius of the boundary of the 49 U.S.C. 13506(a)(8)(A). airport at which the passengers arrive (3) Chicago O’Hare International Air- or depart and by the boundaries of the port (Chicago, Ill.). The transportation commercial zones (as defined by the by motor vehicle, in interstate or for- Secretary) of any municipalities any eign commerce, of passengers, having part of whose commercial zones falls an immediately prior or subsequent within the 25-mile radius of the perti- movement by air, between O’Hare nent airport. International Airport, at Chicago, Ill., (b) Substituted motor-for-air transpor- on the one hand, and, on the other, tation due to emergency conditions. points in Indiana on and north of U.S. Transportation of passengers by motor Highway 30 and on and west of Indiana vehicle is transportation incidental to Highway 49, is partially exempt from transportation by aircraft if it con- regulation under 49 U.S.C. stitutes substituted motor-for-air serv- 13506(a)(8)(A). ice performed at the expense of the air carrier in emergency situations arising [32 FR 20036, Dec. 20, 1967, as amended at 37 from the inability of the air carrier to FR 5252, Mar. 11, 1972; 42 FR 10003, Feb. 18, 1977; 42 FR 15705; Mar. 23, 1977; 62 FR 15421, perform air transportation due to ad- Apr. 1, 1997] verse weather conditions, equipment failure, or other causes beyond the con- trol of the air carrier. Subpart B—Commercial Zones (c) Individual determination of exempt zones. Upon its own motion or upon pe- SOURCE: 41 FR 56653, Dec. 29, 1976, unless tition filed by any interested person, otherwise noted. Redesignated at 61 FR 54708, the Secretary may in an appropriate Oct. 21, 1996. proceeding, determine whether the area within which the transportation § 372.201 Albany, NY. by motor vehicle of passengers having The zone adjacent to, and commer- an immediately prior or subsequent cially a part of Albany, N.Y., within movement by air must be performed, in which transportation by motor vehicle, order to come within the provisions of in interstate or foreign commerce, not paragraph (a) of this section, should be under common control, management,
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or arrangement for a continuous car- (d) All of any municipality any part riage or shipment to or from a point of which is within the limits of the beyond such zone, is partially exempt combined areas defined in paragraphs from regulations under 49 U.S.C. (b) and (c) of this section, and 13506(b)(1) includes and is comprised of (e) All of any municipality wholly all points as follows: surrounded, or so surrounded except for (a) The municipality of Albany, N.Y., a water boundary, by the municipality itself. of Beaumont or by any other munici- (b) All points within a line drawn pality included under the terms of eight miles beyond the municipal lim- paragraph (d) of this section. its of Albany. (c) All points in that area more than [41 FR 56653, Dec. 29, 1976, as amended at 62 eight miles beyond the municipal lim- FR 15422, Apr. 1, 1997] its of Albany bounded by a line as fol- lows: Beginning at that point on the § 372.205 Charleston, S.C. western boundary of Cohoes, N.Y., The zone adjacent to, and commer- where it crosses the line described in cially a part of Charleston, S.C., within paragraph (b) of this section, thence which transportation by motor vehicle along the western and northern bound- in interstate or foreign commerce, not ary of Cohoes to the Mohawk River under common control, management, thence along such river to the northern or arrangement for a continuous car- boundary of the Town of Waterford riage or shipment to or from a point thence along the northern and eastern beyond such zone, is partially exempt boundaries of the Town of Waterford to from regulation under 49 U.S.C. the northern boundary of the City of 13506(b)(1) includes and is comprised of Troy (all of which city is included all points as follows: under the next provision). (a) The municipality of Charleston, (d) All of any municipality any part S.C., itself; of which is within the limits of the (b) All points within a line drawn 6 combined areas defined in paragraphs miles beyond the municipal limits of (b) and (c) of this section, and Charleston; (e) All of any municipality wholly (c) Those points in Charleston Coun- surrounded, or so surrounded except for ty, S.C., which are not within the areas a water boundary, by the municipality described in paragraph (b) of this sec- of Albany or any other municipality tion; and those points in Berkley Coun- included under the terms of paragraph ty, S.C., which are not within the areas (d) of this section. described in paragraph (b) of this sec- [41 FR 56653, Dec. 29, 1976, as amended at 62 tion, and which are west of South Caro- FR 15422, Apr. 1, 1997] lina Highway 41; and all points in Dor- chester County, SC. § 372.203 Beaumont, TX. (d) All of any municipality any part The zone adjacent to, and commer- of which is within the limits of the cially a part of Beaumont, Tex., within combined areas defined in paragraphs which transportation by motor vehicle (b) and (c) of this section, and in interstate or foreign commerce, not (e) All of any municipality wholly under common control, management, surrounded, or so surrounded except for or arrangement for a continuous car- a water boundary, by the municipality riage or shipment to or from a point of Charleston or by any other munici- beyond such zone, is partially exempt pality included under the terms of from regulation under 49 U.S.C. paragraph (d) of this section. 13506(b)(1) includes and is comprised of all points as follows: [41 FR 56653, Dec. 29, 1976, as amended at 46 (a) The municipality of Beaumont, FR 28658, May 28, 1981; 62 FR 15422, Apr. 1, Tex., itself; 1997] (b) All points within a line drawn 8 miles beyond the municipal limits of § 372.207 Charleston, WV. Beaumont; The zone adjacent to, and commer- (c) All points in Jefferson County and cially a part of Charleston, W. Va., Orange County, Tex.; within which transportation by motor
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vehicle in interstate or foreign com- (e) All of any municipality wholly merce, not under common control, surrounded, or so surrounded except for management, or arrangement for a a water boundary, by the municipality continuous carriage or shipment to or of Lake Charles or by any other mu- from a point beyond such zone, is par- nicipality included under the terms of tially exempt from regulation under 49 paragraph (d) of this section. U.S.C. 13506(b)(1) includes and is com- prised of all points as follows: [41 FR 56653, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997] (a) The municipality of Charleston, W. Va., itself; § 372.211 Pittsburgh, PA. (b) All points within a line drawn 6 miles beyond the municipal limits of The zone adjacent to, and commer- Charleston; cially a part of Pittsburgh within (c) Those points in Kanawha County, which transportation by motor vehicle W. Va., which are not within the area in interstate or foreign commerce, not described in paragraph (b) of this sec- under common control, management, tion; and those points in Putnam Coun- or arrangement for a continuous car- ty, W. Va., south of West Virginia riage or shipment to or from a point Highway 34; beyond such zone, is partially exempt from regulation under 49 U.S.C. (d) All of any municipality any part 13506(b)(1) includes and is comprised of of which is within the limits of the all points as follows: combined areas defined in paragraphs (b) and (c) of this section, and (a) The municipality of Pittsburgh, (e) All of any municipality wholly Pa., itself; surrounded, or so surrounded except for (b) All points within a line drawn 15 a water boundary, by the municipality miles beyond the municipal limits of of Charleston or by any other munici- Pittsburgh; pality included under the terms of (c) Those points in Allegheny Coun- paragraph (d) of this section. ty, Pa., which are not within the area described in paragraph (b) of this sec- [41 FR 56653, Dec. 29, 1976, as amended at 62 tion; FR 15422, Apr. 1, 1997] (d) All of any municipality any part § 372.209 Lake Charles, LA. of which is within the limits of the combined areas defined in paragraphs The zone adjacent to, and commer- (b) and (c) of this section, and cially a part of Lake Charles, La., (e) All of any municipality wholly within which transportation by motor surrounded, or so surrounded except for vehicle in interstate or foreign com- a water boundary, by the municipality merce, not under common control, of Pittsburgh by any other municipal- management, or arrangement for a ity included under the terms of para- continuous carriage or shipment to or graph (d) of this section. from a point beyond such zone, is par- tially exempt from regulation under 49 [41 FR 56654, Dec. 29, 1976, as amended at 62 U.S.C. 13506(b)(1) includes and is com- FR 15422, Apr. 1, 1997] prised of all points as follows: (a) The municipality of Lake Charles, § 372.213 Pueblo, CO. La., itself; The zone adjacent to, and commer- (b) All points within a line drawn 6 cially a part of Pueblo, Colo., within miles beyond the municipal limits of which transportation by motor vehicle Lake Charles; in interstate or foreign commerce, not (c) Those points in Calcasieu Parish, under common control, management, La., which are not within the area de- or arrangement for a continuous car- scribed in paragraph (b) of this section; riage or shipment to or from a point and which are east of Louisiana High- beyond such zone, is partially exempt way 27 (western section); from regulations under 49 U.S.C. (d) All of any municipality any part 13506(b)(1) includes and is comprised of of which is within the limits of the all points as follows: combined areas defined in paragraphs (a) The municipality of Pueblo, Colo., (b) and (c) of this section, and itself;
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(b) All points within a line drawn 6 under common control, management, miles beyond the municipal limits of or arrangement for a continuous car- Pueblo; riage or shipment to or from a point (c) Those points in Pueblo County, beyond such zone, is partially exempt Colo., which are not within the area de- from regulation under 49 U.S.C. scribed in paragraph (b) of this section; 13506(b)(1) includes and is comprised of (d) All of any municipality any part all points as follows: of which is within the limits of the (a) The municipality of Seattle, combined areas defined in paragraphs Wash., itself; (b) and (c) of this section, and (b) All points within a line drawn 15 (e) All of any municipality wholly miles beyond the municipal limits of surrounded, or so surrounded except for Seattle; a water boundary, by the municipality (c) Those points in King County, included under the terms of paragraph Wash., which are not within the area (d) of this section. described in paragraph (b) of this sec- tion, and which are west of a line be- [41 FR 56654, Dec. 29, 1976, as amended at 62 ginning at the intersection of the line FR 15422, Apr. 1, 1997] described in paragraph (b) of this sec- § 372.215 Ravenswood, WV. tion and Washington Highway 18, thence northerly along Washington The zone adjacent to, and commer- Highway 18 to junction of Interstate cially a part of Ravenswood, W. Va., Highway 90, thence westerly along within which transportation by motor Interstate Highway 90 to junction vehicle in interstate or foreign com- Washington Highway 203, thence north- merce, not under common control, erly along Washington Highway 203 to management, or arrangement for a the King County line; and those points continuous carriage or shipment to or in Snohomish County, Wash., which from a point beyond such zone, is par- are not within the area described in tially exempt from regulation under 49 paragraph (b) of this section and which U.S.C. 13506(b)(1) includes and is com- are west of Washington Highway 9; and prised of all points as follows: those points in Kitsap County, Wash., (a) The municipality of Ravenswood, which are not within the area described W. Va., itself; in paragraph (b) of this section lying (b) All points within a line drawn 4 within the area bounded by a line be- miles beyond the municipal limits of ginning at the intersection of the line Ravenswood; described in paragraph (b) of this sec- (c) Those points in Jackson County, tion and Washington Highway 3 to the W. Va., which are not within the area boundary of Olympic View Industrial described in paragraph (b) of this sec- Park/Bremerton-Kitsap County Air- tion, and which are north of U.S. High- port, thence westerly, southerly, eas- way 33; terly, and northerly along the bound- (d) All of any municipality any part ary of Olympic View Industrial Park/ of which is within the limits of the Bremerton-Kitsap County Airport to combined areas defined in paragraphs its juncture with Washington Highway (b) and (c) of this section, and 3 to its intersection with the line de- (e) All of any municipality wholly scribed in paragraph (b) of this section. surrounded, or so surrounded except for (d) All of any municipality any part a water boundary, by the municipality of which is within the limits of the of Ravenswood or by any other munici- combined areas defined in paragraphs pality included under the terms of (b) and (c) of this section, and paragraph (d) of this section. (e) All of any municipality wholly [41 FR 56654, Dec. 29, 1976, as amended at 62 surrounded, or so surrounded except for FR 15422, Apr. 1, 1997] a water boundary, by the municipality of Seattle or by any other municipality § 372.217 Seattle, WA. included under the terms of paragraph The zone adjacent to, and commer- (d) of this section. cially a part of Seattle, Wash., within [41 FR 56654, Dec. 29, 1976, as amended at 46 which transportation by motor vehicle FR 25314, May 6, 1981; 62 FR 15422, Apr. 1, in interstate or foreign commerce, not 1997]
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§ 372.219 Washington, DC (8) Minneapolis-St. Paul, Minn. The zone adjacent to, and commer- (9) St. Louis, Mo.-East St. Louis, Ill. (10) Texarkana, Ark.-Tex. cially a part of Washington, D.C., with- (11) Texhoma, Tex.-Okla. in which transportation by motor vehi- (12) Union City, Ind.-Ohio. cle in interstate or foreign commerce, not under common control, manage- [41 FR 56654, Dec. 29, 1976, as amended at 62 ment, or arrangement for a continuous FR 15422, Apr. 1, 1997] carriage or shipment to or from a point beyond such zone, is partially exempt § 372.223 Consolidated governments. from regulation under 49 U.S.C. The zone adjacent to, and commer- 13506(b)(1) includes and is comprised of cially a part of a consolidated govern- all points as follows: ment within which transportation by (a) The municipality of Washington, motor vehicle, in interstate or foreign D.C., itself; commerce, not under common control, (b) All points within a line drawn 15 management, or arrangement for a miles beyond the municipal limits of continuous carriage or shipment to or Washington, DC from a point beyond the zone, is par- (c) All points in Fairfax and Loudoun tially exempt from regulation under 49 Counties, VA, and all points in Prince U.S.C. 13506(b)(1) includes and is com- William County, VA, including the prised of all points as follows: City of Manassas, VA, and the City of (a) All points within the boundaries Manassas Park, VA. of the consolidated government. (d) All of any municipality any part (b) All points beyond the boundaries of which is within the limits of the of the consolidated government which combined areas defined in paragraphs were at any time within the commer- (b) and (c) of this section, and cial zone of the formerly independent (e) All of any municipality wholly core municipality. surrounded, or so surrounded except for (c) When the present population of a water boundary, by the municipality the formerly independent core munici- of Washington, D.C., or by any other pality is identifiable, all points beyond municipality included under the terms the boundaries of the consolidated gov- of paragraph (d) of this section. ernment which are within the territory determined by the most recent popu- [41 FR 56654, Dec. 29, 1976, as amended at 46 FR 56424, Nov. 17, 1981; 62 FR 15422, Apr. 1, lation-mileage formula measured from 1997] the limits of the formerly independent core municipality. § 372.221 Twin Cities. (d) All of any municipality wholly For the purpose of determining com- surrounded, or so surrounded except for mercial zones, utilizing the general a water boundary, by the consolidated population-mileage formula as set government or by any other municipal- forth in § 372.241, each of the following ity included under the terms of para- combinations of cities shall be consid- graphs (a), (b), or (c) of this section. ered as a single municipality: [41 FR 56654, Dec. 29, 1976, as amended at 62 (a) Having a population equal to the FR 15422, Apr. 1, 1997] sum of their combined populations, and (b) Having boundaries comprised of § 372.225 Lexington-Fayette Urban their combined corporate limits, with County, KY. the common portion thereof dis- The zone adjacent to and commer- regarded: cially a part of Lexington-Fayette (1) Bluefield, Va.-W. Va. Urban County, Ky., within which trans- (2) Bristol, Va.-Tenn. portation by motor vehicle, in inter- (3) Davenport, Iowa, and Rock Island state or foreign commerce, not under a and Moline, Ill. common control, management, or ar- (4) Delmar, Del-Md. rangement for a continuous carriage or (5) Harrison, Ohio-West Harrison, shipment to or from a point beyond the Ind. zone, is partially exempt from regula- (6) Junction City, Ark.-La. tion under 49 U.S.C. 13506(b)(1) includes (7) Kansas City, Mo.-Kansas City, and is comprised of all points as fol- Kans. lows:
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(a) Lexington-Fayette Urban County, (d) All of any municipality any part Ky., itself. of which is within the limits of the (b) All other municipalities and unin- combined area defined in (b) and (c) of corporated areas within 5 miles of the this section, and intersection of U.S. Highway 27 (e) All of any municipality wholly (Nicholasville Road) with the corporate surrounded, or so surrounded except for boundary line between Jessamine a water boundary, by the municipality County, Ky., and Lexington-Fayette of Syracuse or any other municipality Urban County, Ky. included under the terms of (d) of this section. [39 FR 18769, May 30, 1974. Redesignated at 41 FR 56655, Dec. 29, 1976. Further redesignated [42 FR 44816, Sept. 7, 1977. Redesignated at 55 at 55 FR 42198, Oct. 18, 1990, as amended at 62 FR 42198, Oct. 18, 1990, as amended at 62 FR FR 15422, Apr. 1, 1997] 15422, Apr. 1, 1997] § 372.229 Spokane, WA. § 372.227 Syracuse, NY. The zone adjacent to, and commer- The zone adjacent to, and commer- cially a part of Spokane, WA, within cially a part of Syracuse, N.Y., within which transportation by motor vehicle, which transportation by motor vehicle, in interstate or foreign commerce, not in interstate or foreign commerce, not under control, management, or ar- under common control, management, rangement for shipment to or from or arrangement for shipment to or points beyond such zone, is partially from points beyond such zone, is par- exempt from regulation under 49 U.S.C. tially exempt from regulation under 49 13506(b)(1) includes and is comprised of U.S.C. 13506(b)(1) includes and is com- all points as follows: prised of all points as follows: (a) The municipality of Spokane, (a) The municipality of Syracuse, WA, itself, N.Y., itself; (b) All points within a line drawn 8 (b) All points within a line drawn 10 miles beyond the municipal limits of miles beyond the municipal limits of Spokane; Syracuse; (c) All points within that area more (c) Those points in the towns of Van than 8 miles beyond the municipal lim- Buren and Lysander, Onondaga County, its of Spokane bounded by a line as fol- N.Y., which are not within the area de- lows: From the intersection of the line scribed in paragraph (b) of this section, described in (b) of this section and U.S. but which are within an area bounded Highway 2, thence westerly along U.S. by a line beginning at the intersection Highway 2 to junction Brooks Road, of new New York Highway 48 with the thence southerly along Brooks Road to line described in (b) of this sectio, junction Hallett Road, thence easterly thence northwesterly along new New along Hallett Road to its intersection York Highway 48 to junction New York with the line described in (b) of this Highway 370, thence westerly along section; New York Highway 370 to junction (d) All of any municipality any part Emerick Road, thence northerly along of which is within the limits of the Emerick Road to junction Dunham combined areas in (b) and (c) of this Road, thence northerly along Dunham section; and road to junction New York Highway (e) All of any municipality wholly 192, thence easterly along New York surrounded, or so surrounded except for Highway 192 to junction new New York a water boundary, by the municipality Highway 48, thence northerly along of Spokane or any other municipality new New York Highway 48 to junction included under the terms of (d) of this New York Highway 213, thence easterly section. along New York Highway 213 to junc- [45 FR 62085, Sept. 18, 1980. Redesignated and tion New York Highway 213A, thence amended at 55 FR 42198, Oct. 18, 1990; 62 FR easterly along New York Highway 213A 15422, Apr. 1, 1997] to junction New York Highway 37, thence southerly along New York High- § 372.231 Tacoma, WA. way 37 to its intersection with the line The zone adjacent to, and commer- in (b) above; cially a part of Tacoma, WA, within
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which transportation by motor vehicle, (e) All of any municipality wholly in interstate or foreign commerce, not surrounded, or so surrounded except for under common control, management, a water boundary, by the municipality or arrangement for shipment to or included under the terms of paragraph from points beyond such zone, is par- (d) of this section. tially exempt from regulation under 49 U.S.C. 13506(b)(1) of the Interstate Com- [46 FR 11286, Feb. 6, 1981. Redesignated at 55 FR 42198, Oct. 18, 1990, as amended at 62 FR merce Act, includes and is comprised of 15422, Apr. 1, 1997] all points as follows: (a) The municipality of Tacoma, WA, § 372.235 New York, NY. itself; (b) All points within a line drawn 8 The zone adjacent to, and commer- miles beyond the municipal limits of cially a part of, New York, NY, within Tacoma; which transportation by motor vehicle, in interstate or foreign commerce, not (c) Those points in Pierce County, under common control, management, WA, which are not within the area de- scribed in paragraph (b) of this section, or arrangement for shipment to or but which are on Washington Highway from points beyond such zone is par- 162 beginning at its intersection with tially exempt from regulation under 49 the line described in paragraph (b) of U.S.C. 13506(b)(1), includes and is com- this section, extending to and includ- prised of all points as follows: ing Orting, WA, and all points within (a) The municipality of New York, the Orting commercial zone. NY, itself; (d) All of any municipality any part (b) All points within a line drawn 20 of which is within the limits of the miles beyond the municipal limits of combined area defined in (b) and (c) of New York, NY; this section, and (c) All points in Morris County, NJ; (e) All of any municipality wholly (d) All of any municipality any part surrounded, or so surrounded except for of which is within the limits of the a water boundary, by the municipality combined areas defined in paragraphs of Tacoma or any other municipality (b) and (c); and included under the terms of (d) of this (e) All of any municipality wholly section. surrounded, or so surrounded except by a water boundary, by the municipality [45 FR 66460, Oct. 7, 1980. Redesignated at 55 FR 42198, Oct. 18, 1990, as amended at 62 FR of New York or by any other munici- 15422, Apr. 1, 1997] pality included under the terms of paragraph (d) of this section. § 372.233 Chicago, IL. [50 FR 34478, Aug. 26, 1985. Redesignated at 55 The zone adjacent to, and commer- FR 42198, Oct. 18, 1990, as amended at 62 FR cially a part of Chicago, IL, within 15422, Apr. 1, 1997] which transportation by motor vehicle, in interstate or foreign commerce, not § 372.237 Cameron, Hidalgo, Starr, and under common control, management, Willacy Counties, TX. or arrangement for a shipment to or (a) Transportation within a zone from such zone, is partially exempt comprised of Cameron, Hidalgo, Starr, from regulation under 49 U.S.C. and Willacy Counties, TX, by motor 13506(b)(1), includes and is comprised of carriers of property, in interstate or all points as follows: foreign commerce, not under common (a) The municipality of Chicago, IL, control, management, or arrangement itself; for shipment to or from points beyond (b) All points within a line drawn 20 such zone, is partially exempt from miles beyond the municipal limits of regulation under 49 U.S.C. 13506(b)(1). Chicago; (b) To the extent that commercial (c) All points in Lake County, IL. zones of municipalities within the four (d) All of any municipality any part counties (as determined under § 372.241) of which is within the limits of the extend beyond the boundaries of this combined area defined in paragraphs four-county zone, the areas of such (b) and (c) of this section, and commercial zones shall be considered
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to be part of the zone and partially ex- porated areas within 3 miles of its cor- empt from regulation under 49 U.S.C. porate limits and all of any other mu- 13506(b)(1). nicipality any part of which is within 3 [51 FR 1815, Jan. 15, 1986. Redesignated at 55 miles of the corporate limits of the FR 42198, Oct. 18, 1990, as amended at 62 FR base municipality, 15422, Apr. 1, 1997] (2) When the base municipality has a population of 2,500 but less than 25,000 § 372.239 Definitions. all unincorporated areas within 4 miles For the purposes of this part, the fol- of its corporate limits and all of any lowing terms are defined: other municipality any part of which is (a) Municipality means any city, within 4 miles of the corporate limits town, village, or borough which has of the base municipality. been created by special legislative act (3) When the base municipality has a or which has been, otherwise, individ- population of 25,000 but less than ually incorporated or chartered pursu- 100,000 all unincorporated areas within ant to general State laws, or which is 6 miles of its corporate limits and all of recognized as such, under the Constitu- any other municipality any part of tion or by the laws of the State in which is within 6 miles of the corporate which located, and which has a local limits of the base municipality, and government. It does not include a town (4) When the base municipality has a of the township or New England type. (b) Contiguous municipalities means population of 100,000 but less than municipalities, as defined in paragraph 200,000 all unincorporated areas within (a) of this section, which have at some 8 miles of its corporate limits and all point a common municipal or cor- of any other municipality any part of porate boundary. which is within 8 miles of the corporate (c) Unincorporated area means any limits of the base municipality. area not within the corporate or mu- (5) When the base municipality has a nicipal boundaries of any municipality population of 200,000 but less than as defined in paragraph (a) of this sec- 500,000 all unincorporated areas within tion. 10 miles of its corporate limits and all of any other municipality any part of [32 FR 20048, Dec. 20, 1967] which is within 10 miles of the cor- § 372.241 Commercial zones deter- porate limits of the base municipality. mined generally, with exceptions. (6) When the base municipality has a The commercial zone of each munici- population of 500,000 but less than 1 pality in the United States, with the million, all unincorporated areas with- exceptions indicated in the note at the in 15 miles of its corporate limits and end of this section, within which the all of any other municipality any part transportation of passengers or prop- of which is within 15 miles of the cor- erty, in interstate or foreign com- porate limits of the base municipality. merce, when not under a common con- (7) When the base municipality has a trol, management, or arrangement for population of 1 million or more, all un- a continuous carriage or shipment to incorporated areas within 20 miles of or from a point without such zone, is its corporate limits and all of any exempt from all provisions of 49 U.S.C. other municipality any part of which is subtitle IV, part B shall be deemed to within 20 miles of the corporate limits consist of: of the base municipality, and (a) The municipality itself, herein- (d) All municipalities wholly sur- after called the base municipality; rounded, or so surrounded except for a (b) All municipalities which are con- water boundary, by the base municipal- tiguous to the base municipality; ity, by any municipality contiguous (c) All other municipalities and all unincorporated areas within the United thereto, or by any municipality adja- States which are adjacent to the base cent thereto which is included in the municipality as follows: commercial zone of such base munici- (1) When the base municipality has a pality under the provisions of para- population less than 2,500 all unincor- graph (c) of this section.
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NOTE: Except: Municipalities the commer- provisions of 49 U.S.C. subtitle IV, part cial zones of which have been or are here- B consists of and includes all points or after individually or specially determined. places which are: [32 FR 20048, Dec. 20, 1967, as amended at 34 (a) Within the commercial zone, as FR 9870, June 26, 1969; 34 FR 15482, Oct. 4, defined by the Secretary, of that mu- 1969; 41 FR 56655, Dec. 29, 1976; 62 FR 15422, nicipality, and Apr. 1, 1997] (b) Not beyond the limits of the oper- ating authority of such motor carrier § 372.243 Controlling distances and population data. of property or freight forwarder. In the application of § 372.241: [62 FR 15422, Apr. 1, 1997] (a) Air-line distances or mileages about corporate limits of municipali- § 372.303 Terminal areas of motor car- ties shall be used. riers and household goods freight (b) The population of any municipal- forwarders at unincorporated com- munities served. ity shall be deemed to be the highest figure shown for that municipality in The terminal areas within the mean- any decennial census since (and includ- ing of 49 U.S.C. 13503 of any motor car- ing) the 1940 decennial census. rier of property or freight forwarder (c) Contraction of municipal bound- subject to 49 U.S.C. subtitle IV, part B, aries will not alter the size of commer- at any unincorporated community hav- cial zones. ing a post office of the same name [32 FR 20040, Dec. 20, 1967, as amended at 37 which is authorized to be served by FR 15701, Aug. 4, 1972; 50 FR 10233, Mar. 14, such motor carrier of property or 1985; 62 FR 15422, Apr. 1, 1997] motor carrier of passengers in the transportation of express or freight for- Subpart C—Terminal Areas warder, within which transportation by motor vehicle in the performance of SOURCE: 32 FR 20049, Dec. 20, 1967, unless transfer, collection, or delivery serv- otherwise noted. Redesignated at 61 FR 54708, ices may be performed by, or for, such Oct. 21, 1996. motor carrier of property or freight forwarder without compliance with the § 372.300 Distances and population provisions of 49 U.S.C. subtitle IV, part data. B, consists of: In the application of this subpart, (a) All points in the United States distances and population data shall be which are located within the limits of determined in the same manner as pro- the operating authority of the motor vided in 49 CFR 372.243. See also defini- carrier of property or freight forwarder tions in 49 CFR 372.239. involved, and within 3 miles of the post [62 FR 15422, Apr. 1, 1997] office at such authorized unincor- porated point if it has a population less § 372.301 Terminal areas of motor car- than 2,500, within 4 miles if it has a riers and freight forwarders at mu- population of 2,500 but less than 25,000, nicipalities served. or within 6 miles if it has a population The terminal area within the mean- of 25,000 or more; ing of 49 U.S.C. 13503 of any motor car- (b) All of any municipality any part rier of property or freight forwarder of which is included under paragraph subject to 49 U.S.C. subtitle IV, part B (a) of this section; and at any municipality authorized to be served by such motor carrier of prop- (c) Any municipality wholly sur- erty or motor carrier of passengers in rounded by any municipality included the transportation of express or freight under paragaph (b) of this section, or forwarder, within which transportation so wholly surrounded except for a by motor carrier in the performance of water boundary. transfer, collection, or delivery serv- [32 FR 20049, Dec. 20, 1967, as amended at 41 ices may be performed by, or for, such FR 56655, Dec. 29, 1976; 51 FR 44297, Dec. 9, motor carrier of property or freight 1986; 62 FR 15423, Apr. 1, 1997] forwarder without compliance with the
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PART 373—RECEIPTS AND BILLS (5) Description of freight. (6) Weight, volume, or measurement Subpart A—Motor Carrier Receipts and Bills of freight (if applicable to the rating of the freight). Sec. (7) Exact rate(s) assessed. 373.101 Motor Carrier bills of lading. (8) Total charges due, including the 373.103 Expense bills. nature and amount of any charges for 373.105 Low value packages. special service and the points at which Subpart B—Freight Forwarders; Bills of such service was rendered. Lading (9) Route of movement and name of each carrier participating in the trans- 373.201 Bills of lading for freight forwarders. portation. AUTHORITY: 49 U.S.C. 13301 and 14706; 49 (10) Transfer point(s) through which CFR 1.48. shipment moved. (11) Address where remittance must Subpart A—Motor Carrier Receipts be made or address of bill issuer’s prin- and Bills cipal place of business. The shipper or receiver owing the charges shall be given the original SOURCE: 55 FR 11198, Mar. 27, 1990, unless freight or expense bill and the carrier otherwise noted. Redesignated at 61 FR 54708, Oct. 21, 1996. shall keep a copy as prescribed at 49 CFR part 379. If the bill is electroni- § 373.101 Motor Carrier bills of lading. cally transmitted (when agreed to by the carrier and payor), a receipted copy Every motor common carrier shall shall be given to the payor upon pay- issue a receipt or bill of lading for ment. property tendered for transportation in (b) Charter service. Every motor pas- interstate or foreign commerce con- senger common carrier providing char- taining the following information: ter service shall issue an expense bill (a) Names of consignor and con- containing the following information: signee. (1) Serial number, consisting of one (b) Origin and destination points. of a series of consecutive numbers as- (c) Number of packages. signed in advance and imprinted on the (d) Description of freight. bill. (e) Weight, volume, or measurement (2) Name of carrier. of freight (if applicable to the rating of (3) Names of payor and organization, the freight). if any, for which transportation is per- The carrier shall keep a record of this formed. information as prescribed in 49 CFR (4) Date(s) transportation was per- part 379. formed. [55 FR 11198, Mar. 27, 1990, as amended at 56 (5) Origin, destination, and general FR 30874, July 8, 1991; 62 FR 15423, Apr. 1, routing of trip. 1997] (6) Identification and seating capac- ity of each vehicle used. § 373.103 Expense bills. (7) Number of persons transported. (a) Property. Every motor common (8) Mileage upon which charges are carrier shall issue a freight or expense based, including any deadhead mileage, bill for each shipment transported con- separately noted. taining the following information: (9) Applicable rates per mile, hour, (1) Names of consignor and consignee day, or other unit. (except on a reconsigned shipment, not (10) Itemized charges for transpor- the name of the original consignor). tation, including special services and (2) Date of shipment. fees. (3) Origin and destination points (ex- (11) Total charges assessed and col- cept on a reconsigned shipment, not lected. the original shipping point unless the The carrier shall keep a copy of all ex- final consignee pays the charges from pense bills issued for the period pre- that point). scribed at 49 CFR part 379. If any ex- (4) Number of packages. pense bill is spoiled, voided, or unused
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for any reason, a copy or written PART 374—PASSENGER CARRIER record of its disposition shall be re- REGULATIONS tained for a like period. [55 FR 11198, Mar. 27, 1990, as amended at 59 Subpart A—Discrimination in Operations of FR 2303, Jan. 14, 1994; 61 FR 19860, May 3, Interstate Motor Common Carriers of 1996; 62 FR 15423, Apr. 1, 1997] Passengers
§ 373.105 Low value packages. Sec. 374.101 Discrimination prohibited. The carrier and shipper may elect to 374.103 Notice to be printed on tickets. waive the above provisions and use a 374.105 Discrimination in terminal facili- more streamlined recordkeeping or ties. documentation system for distribution 374.107 Notice to be posted at terminal fa- cilities. of ‘‘low value’’ packages. This includes 374.109 Carriers not relieved of existing obli- the option of shipping such packages gations. under the provisions of 49 U.S.C. 374.111 Reports of interference with regula- 14706(c). The shipper is responsible ulti- tions. mately for determining which pack- 374.113 Definitions. ages should be designated as low value. Subpart B—Limitation of Smoking on A useful guideline for this determina- Interstate Passenger Carrier Vehicles tion is an invoice value less than or equal to the costs of preparing a loss or 374.201 Prohibition against smoking on damage claim. interstate passenger-carrying motor ve- hicles. [55 FR 11198, Mar. 27, 1990. Redesignated at 61 FR 54708, Oct. 21, 1996, as amended at 62 FR Subpart C—Adequacy of Intercity Motor 15423, Apr. 1, 1997] Common Carrier Passenger Service 374.301 Applicability. Subpart B—Freight Forwarders; 374.303 Definitions. Bills of Lading 374.305 Ticketing and information. 374.307 Baggage service. § 373.201 Bills of lading for freight for- 374.309 Terminal facilities. warders. 374.311 Service responsibility. 374.313 Equipment. Every household goods freight for- 374.315 Transportation of passengers with warder (HHGFF) shall issue the shipper disabilities. through bills of lading, covering trans- 374.317 Identification—bus and driver. portation from origin to ultimate des- 374.319 Relief from provisions. tination, on each shipment for which it Subpart D—Notice of and Procedures for arranges transportation in interstate Baggage Excess Value Declaration commerce. Where a motor common carrier receives freight at the origin 374.401 Minimum permissible limitations and issues a receipt therefor on its for baggage liability. form with a notation showing the 374.403 Notice of passenger’s ability to de- clare excess value on baggage. HHGFF’s name, the HHGFF, upon re- 374.405 Baggage excess value declaration ceiving the shipment at the ‘‘on line’’ procedures. or consolidating station, shall issue a through bill of lading on its form as of Subpart E—Incidental Charter Rights the date the carrier receives the ship- 374.501 Applicability. ment. 374.503 Authority. [55 FR 11201, Mar. 27, 1990. Redesignated at 61 374.505 Exceptions. FR 54708, Oct. 21, 1996.] AUTHORITY: 49 U.S.C. 13301 and 14101; 49 CFR 1.48.
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Subpart A—Discrimination in Op- provide, maintain arrangements for, erations of Interstate Motor utilize, make available, adhere to any Common Carriers of Pas- understanding for the availability of, or follow any practice which includes sengers the availability of, any terminal facili- ties which are so operated, arranged, or SOURCE: 36 FR 1338, Jan. 28, 1971, unless maintained as to involve any separa- otherwise noted. Redesignated at 61 FR 54709, tion of any portion thereof, or in the Oct. 21, 1996. use thereof on the basis of race, color, § 374.101 Discrimination prohibited. creed, or national origin. No motor common carrier of pas- [36 FR 1338, Jan. 28, 1971. Redesignated at 61 sengers subject to 49 U.S.C. subtitle IV, FR 54709, Oct. 21, 1996, as amended at 62 FR part B shall operate a motor vehicle in 15423, Apr. 1, 1997] interstate or foreign commerce on which the seating of passengers is § 374.107 Notice to be posted at termi- nal facilities. based upon race, color, creed, or na- tional origin. No motor common carrier of pas- sengers subject to 49 U.S.C. subtitle IV, [36 FR 1338, Jan. 28, 1971. Redesignated at 61 part B shall in the operation of vehi- FR 54709, Oct. 21, 1996, as amended at 62 FR 15423, Apr. 1, 1997] cles in interstate or foreign commerce utilize any terminal facility in which § 374.103 Notice to be printed on tick- there is not conspicuously displayed ets. and maintained so as to be readily visi- Every motor common carrier of pas- ble to the public a plainly legible sign sengers subject to 49 U.S.C. subtitle IV, or placard containing the full text of part B shall cause to be printed on these regulations. Such sign or placard every ticket sold by it for transpor- shall be captioned: ‘‘Public Notice: tation on any vehicle operated in inter- Regulations Applicable to Vehicles and state or foreign commerce a plainly Terminal Facilities of Interstate Motor legible notice as follows: ‘‘Seating Common Carriers of Passengers, by aboard vehicles operated in interstate order of the Secretary, U.S. Depart- or foreign commerce is without regard ment of Transportation.’’ to race, color, creed, or national ori- [36 FR 1338, Jan. 28, 1971. Redesignated at 61 gin.’’ FR 54709, Oct. 21, 1996, as amended at 62 FR 15423, Apr. 1, 1997] NOTE: The following interpretation of the provisions of § 374.103 (formerly § 1055.2) ap- pears at 27 FR 230, Jan. 9, 1962: § 374.109 Carriers not relieved of exist- The words, ‘‘Seating aboard vehicles oper- ing obligations. ated in interstate or foreign commerce is Nothing in this regulation shall be without regard to race, color, creed, or na- construed to relieve any interstate tional origin’’, should appear on the face of motor common carrier of passengers every ticket coming within the purview of subject to 49 U.S.C. subtitle IV, part B the section. If the ticket is in parts or con- sists of additional elements, such as coupons, of any of its obligations under 49 U.S.C. identification stubs, or checks, it shall be subtitle IV, part B or its certificate(s) sufficient for the purposes of § 374.103 that of public convenience and necessity. the notice appear only once on the ticket [36 FR 1338, Jan. 28, 1971. Redesignated at 61 and be placed on the face of that portion of FR 54709, Oct. 21, 1996, as amended at 62 FR the ticket which is held by the passenger. 15423, Apr. 1, 1997] [36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996, as amended at 62 FR § 374.111 Reports of interference with 15423, Apr. 1, 1997] regulations. Every motor common carrier of pas- § 374.105 Discrimination in terminal sengers subject to 49 U.S.C. subtitle IV, facilities. part B operating vehicles in interstate No motor common carrier of pas- or foreign commerce shall report to the sengers subject to 49 U.S.C. subtitle IV, Secretary, within fifteen (15) days of part B shall in the operation of vehi- its occurrence, any interference by any cles in interstate or foreign commerce person, municipality, county, parish,
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State, or body politic with its observ- the posting of signs in all vehicles ance of the requirements of these regu- transporting passengers in letters in lations in this part. Such report shall sharp color contrast to the back- include a statement of the action that ground, and of such size, shape, and such carrier may have taken to elimi- color as to be readily legible. Such nate any such interference. signs and symbols shall be kept and maintained in such a manner as to re- [36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996, as amended at 62 FR main legible and shall indicate that 15423, Apr. 1, 1997] smoking is prohibited by Federal regu- lation. § 374.113 Definitions. (c) The provisions of paragraph (a) of For the purpose of these regulations this section shall not apply to charter the following terms and phrases are de- operations as defined in § 374.503 of this fined: part. (a) Terminal facilities. As used in these [56 FR 1745, Jan. 17, 1991. Redesignated at 61 regulations the term ‘‘terminal facili- FR 54709, Oct. 21, 1996, as amended at 62 FR ties’’ means all facilities, including 15423, Apr. 1, 1997] waiting room, rest room, eating, drink- ing, and ticket sales facilities which a Subpart C—Adequacy of Intercity motor common carrier makes available Motor Common Carrier Pas- to passengers of a motor vehicle oper- senger Service ated in interstate or foreign commerce as a regular part of their transpor- tation. SOURCE: 55 FR 11199, Mar. 27, 1990, unless otherwise noted. Redesignated at 61 FR 54709, (b) Separation. As used in § 374.105, the Oct. 21, 1996. term ‘‘separation’’ includes, among other things, the display of any sign in- § 374.301 Applicability. dicating that any portion of the termi- These rules govern only motor pas- nal facilities are separated, allocated, senger common carriers conducting restricted, provided, available, used, or regular-route operations. otherwise distinguished on the basis of race, color, creed, or national origin. § 374.303 Definitions. [36 FR 1338, Jan. 28, 1971. Redesignated at 61 (a) Carrier means a motor passenger FR 54709, Oct. 21, 1996, as amended at 62 FR common carriers. 15423, Apr. 1, 1997] (b) Bus means a passenger-carrying vehicle, regardless of design or seating Subpart B—Limitation of Smoking capacity, used in a carrier’s authorized on Interstate Passenger Car- operations. rier Vehicles (c) Facility means any structure pro- vided by or for a carrier at or near § 374.201 Prohibition against smoking which buses pick up or discharge pas- on interstate passenger-carrying sengers. motor vehicles. (d) Terminal means a facility operated (a) All motor common carriers of pas- or used by a carrier chiefly to furnish sengers subject to 49 U.S.C. subtitle IV, passengers transportation services and part B, shall prohibit smoking (includ- accommodations. ing the carrying of lit cigars, ciga- (e) Station means a facility, other rettes, and pipes) on vehicles trans- than a terminal, operated by or for a porting passengers in scheduled or spe- carrier to accommodate passengers. cial service in interstate commerce. (f) Service means passenger transpor- (b) Each carrier shall take such ac- tation by bus between authorized tion as is necessary to ensure that points or over authorized routes. smoking by passengers, drivers, and (g) Commuter service, notwithstanding other employees is not permitted in 49 CFR 1312.1(b)(33), means passenger violation of this section. This shall in- transportation wholly between points clude making appropriate announce- not more than 100 airline miles apart ments to passengers, the posting of the and not involving through-bus, con- international no-smoking symbol, and necting, or interline services to or from
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points beyond 100 airline miles. The the form of preprinted tickets, for all usual characteristics of commuter checked services baggage. service include reduced fare, multiple- (2)(i) If baggage checking service is ride, and commutation tickets, and not provided at the side of the bus, all peak morning and evening operations. baggage checked at a baggage checking (h) Baggage means property a pas- counter at least 30 minutes but not senger takes with him for his personal more than 1 hour before departure use or convenience. shall be transported on the same sched- (i) Restroom means a room in a bus or ule as the ticketed passenger. terminal equipped with a toilet, wash- (ii) If baggage checking service is bowl, soap or a reasonable alternative, mirror, wastebasket, and toilet paper. provided at the side of the bus, pas- sengers checking baggage at the bag- § 374.305 Ticketing and information. gage checking counter less than 30 (a) Information service. (1) During minutes before the scheduled departure business hours at each terminal or sta- shall be notified that their baggage tion, information shall be provided as may not travel on the same schedule. to schedules, tickets, fares, baggage, Such baggage must then be placed on and other carrier services. the next available bus to its destina- (2) Carrier agents and personnel who tion. All baggage checked at the side of sell or offer to sell tickets, or who pro- the bus during boarding, or at alter- vide information concerning tickets native locations provided for such pur- and carrier services, shall be com- pose, shall be transported on the same petent and adequately informed. schedule as the ticketed passenger. (b) Telephone information service. (b) Baggage security. All checked bag- Every facility where tickets are sold gage shall be placed in a secure or at- shall provide telephonic information to tended area prohibited to the public. the traveling public, including current Baggage being readied for loading shall bus schedules and fare information, not be left unattended. when open for ticket sales. (c) Baggage liability. (1) No carrier (c) Schedules. Printed, regular-route may totally exempt its liability for ar- schedules shall be provided to the trav- ticles offered as checked baggage, un- eling public at all facilities where tick- ets for such services are sold. Each less those articles have been exempted schedule shall show the points along by the Secretary. (Other liability is the carrier’s route(s) where facilities subject to subpart D of this part). A no- are located or where the bus trips tice listing exempted articles shall be originate or terminate, and each sched- prominently posted at every location ule shall indicate the arrival or depar- where baggage is accepted for check- ture time for each such point. ing. (d) Ticket refunds. Each carrier shall (2) Carriers may refuse to accept as refund unused tickets upon request, checked baggage and, if unknowingly consistent with its governing tariff, at accepted, may disclaim liability for each place where tickets are sold, with- loss or damage to the following arti- in 30 days after the request. cles: (e) Announcements. No scheduled bus (i) Articles whose transportation as (except in commuter service) shall de- checked baggage is prohibited by law part from a terminal or station until a or regulation; public announcement of the departure (ii) Fragile or perishable articles, ar- and boarding point has been given. The ticles whose dimensions exceed the size announcement shall be given at least 5 limitations in the carrier’s tariff, re- minutes before the initial departure and before departures from points ceptacles with articles attached or pro- where the bus is scheduled to stop for truding, guns, and materials that have more than 5 minutes. a disagreeable odor; (iii) Money; and § 374.307 Baggage service. (iv) Those other articles that the (a) Checking procedures. (1) Carriers Secretary exempts upon petition by shall issue receipts, which may be in the carrier.
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(3) Carriers need not offer excess a claim must be resolved by a firm value coverage on articles of extraor- offer of settlement or by a written ex- dinary value (including, but not lim- planation of denial of the claim. ited to, negotiable instruments, papers, [55 FR 11199, Mar. 27, 1990. Redesignated at 61 manuscripts, irreplaceable publica- FR 54709, Oct. 21, 1996, as amended at 62 FR tions, documents, jewelry, and watch- 15423, Apr. 1, 1997] es). (d) Express shipments. Passengers and § 374.309 Terminal facilities. their baggage always take precedence (a) Passenger security. All terminals over express shipments. and stations must provide adequate se- (e) Baggage at destination. All checked curity for passengers and their attend- baggage shall be made available to the ants and be regularly patrolled. passenger within a reasonable time, not to exceed 30 minutes, after arrival (b) Outside facilities. At terminals and at the passenger’s destination. If not, stations that are closed when buses are the carrier shall deliver the baggage to scheduled to arrive or depart, there the passenger’s local address at the shall be available, to the extent pos- carrier’s expense. sible, a public telephone, outside light- ing, posted schedule information, over- (f) Lost or delayed baggage. (1) Checked baggage that cannot be lo- head shelter, information on local ac- cated within 1 hour after the arrival of commodations, and telephone numbers the bus upon which it was supposed to for local taxi service and police. be transported shall be designated as (c) Maintenance. Terminals shall be lost. The carrier shall notify the pas- clean. senger at that time and furnish him § 374.311 Service responsibility. with an appropriate tracing form. (2) Every carrier shall make avail- (a) Schedules. Carriers shall establish able at each ticket window and bag- schedules that can be reasonably met, gage counter a single form suitable including connections at junction both for tracing and for filing claims points, to serve adequately all author- for lost or misplaced baggage. The ized points. form shall be prepared in duplicate and (b) Continuity of service. No carrier signed by the passenger and carrier shall change an existing regular-route representative. The carrier or its agent schedule without first filing a written shall receive the signed original, with notice with the FHWA’s Regional Of- any necessary documentation and addi- fice(s). The carrier shall display con- tional information, and the claim spicuously a copy of such notice in check, for which a receipt shall be each facility and on each bus affected. given. The passenger shall retain the Such notice shall be displayed for a duplicate copy. reasonable time before it becomes ef- (3) The carrier shall make immediate fective and shall contain the carrier’s and diligent efforts to recover lost bag- name, a description of the proposed gage. schedule change, the effective date (4) A passenger may fill out a tracing thereof, the reasons for the change, the form for lost unchecked baggage. The availability of alternate service, and carrier shall forward recovered un- the name and address of the carrier checked baggage to the terminal or representative passengers may contact. station nearest the address shown on (c) Trip interruptions. A carrier shall the tracing form and shall notify the mitigate, to the extent possible, any passenger that the baggage will be held passenger inconvenience it causes by on a will-call basis. disrupting travel plans. (g) Settlement of claims. Notwithstand- (d) Seating and reservations. A carrier ing 49 CFR 370.9, if lost checked bag- shall provide sufficient buses to meet gage cannot be located within 15 days, passengers’ normal travel demands, in- the carrier shall immediately process cluding ordinary weekend and usual the matter as a claim. The date on seasonal or holiday demand. Pas- which the carrier or its agent received sengers (except commuters) shall be the tracing form shall be considered guaranteed, to the extent possible, pas- the first day of a 60-day period in which sage and seating.
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(e) Inspection of rest stops. Each car- bus affected, a notice of the filing of rier shall inspect periodically all rest any petition. The notice shall contain stops it uses to ensure that they are the carrier’s name and address, a con- clean. cise description of and reasons for the [55 FR 11199, Mar. 27, 1990. Redesignated at 61 relief sought, and a statement that any FR 54709, Oct. 21, 1996, as amended at 62 FR interested person may file written 15423, Apr. 1, 1997] comments with the Federal Highway Administration (with one copy mailed § 374.313 Equipment. to the carrier) on or before a specific (a) Temperature control. A carrier date that is at least 30 days later than shall maintain a reasonable tempera- the date the notice is posted. ture on each bus (except in commuter service). [55 FR 11199, Mar. 27, 1990. Redesignated at 61 (b) Restrooms. Each bus (except in FR 54709, Oct. 21, 1996, as amended at 62 FR 15423, Apr. 1, 1997] commuter service) seating more than 14 passengers (not including the driver) shall have a clean, regularly main- Subpart D—Notice of and Proce- tained restroom, free of offensive odor. dures for Baggage Excess A bus may be operated without a rest- Value Declaration room if it makes reasonable rest stops. (c) Bus servicing. Each bus shall be SOURCE: 40 FR 1249, Jan. 7, 1975, unless oth- kept clean, with all required items in erwise noted. Redesignated at 61 FR 54709, good working order. Oct. 21, 1996.
§ 374.315 Transportation of passengers § 374.401 Minimum permissible limita- with disabilities. tions for baggage liability. Service provided by a carrier to pas- (a) Motor common carriers of pas- sengers with disabilities is governed by sengers and baggage subject to 49 the provisions of 42 U.S.C. 11201 et seq., U.S.C. 13501 may not publish tariff pro- and regulations promulgated there- under by the Secretary of Transpor- visions limiting their liability for loss tation (49 CFR parts 27, 37, and 38) and or damage to baggage checked by a the Attorney General (28 CFR part 36), passenger transported in regular route incorporating the guidelines estab- or special operations unless: lished by the Architectural and Trans- (1) The amount for which liability is portation Barriers Compliance Board limited is $250 or greater per adult fare, (36 CFR part 1191). and (2) The provisions permit the pas- [57 FR 35764, Aug. 11, 1992] senger, for an additional charge, to de- § 374.317 Identification—bus and driv- clare a value in excess of the limited er. amount, and allow the passenger to re- Each bus and driver providing service cover the increased amount (but not shall be identified in a manner visible higher than the actual value) in event to passengers. The driver may be iden- of loss or damage. The carriers may tified by name or company number. publish a maximum value for which they will be liable, but that maximum § 374.319 Relief from provisions. value may not be less than $1,000. Ap- (a) Petitions. Where compliance with propriate identification must be at- any rule would impose an undue burden tached securely by the passenger to on a carrier, it may petition the Fed- each item of baggage checked, indicat- eral Highway Administration either to ing in a clear and legible manner the treat it as though it were conducting a name and address to which the baggage commuter service or to waive the rule. should be forwarded if lost and subse- The request for relief must be justified quently recovered. Identification tags by appropriate verified statements. shall be made immediately available (b) Notice to the public. The carrier by the carriers to passengers upon re- shall display conspicuously, for at least quest. 30 days, in each facility and on each
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(3) Carriers need not offer excess provisions, and (4) placed in a position value coverage on articles listed in at each boarding point or waiting area § 374.307(c)(3). used by the carrier at facilities main- (49 U.S.C. 10321, 5 U.S.C. 553) tained by the carrier or its agents, suf- ficiently conspicuous to apprise each [46 FR 22899, Apr. 22, 1981, as amended at 47 boarding passenger of the provisions of FR 21840, May 20, 1982; 62 FR 15423, Apr. 1, the said notice. 1997] [40 FR 1249, Jan. 7, 1975, as amended at 62 FR § 374.403 Notice of passenger’s ability 15423, Apr. 1, 1997] to declare excess value on baggage. (a) All motor common carriers of pas- § 374.405 Baggage excess value dec- sengers and baggage subject to 49 laration procedures. U.S.C. subtitle IV, part B, which pro- All motor common carriers of pas- vide in their tariffs for the declaration sengers and baggage subject to 49 of baggage in excess of a free baggage U.S.C. subtitle IV, part B, which pro- allowance limitation, shall provide vide in their tariffs for the declaration clear and adequate notice to the public of baggage value in excess of a free of the opportunity to declare such ex- baggage allowance limitation, shall cess value on baggage. provide for the declaration of excess (b) The notice referred to in para- value on baggage at any time or place graph (a) of this section shall be in where provision is made for baggage large and clear print, and shall state as checking, including (a) at a baggage follows: checking counter until 15 minutes be- fore scheduled boarding time, and (b) NOTICE—BAGGAGE LIABILITY at the side of the bus or at a baggage This motor carrier is not liable for loss or checking counter in reasonable prox- damage to properly identified baggage in an imity to the boarding area during ll amount exceeding $ . If a passenger de- boarding at a terminal or any author- sires additional coverage for the value of his baggage he may, upon checking his baggage, ized service point. declare that his baggage has a value in ex- [40 FR 1249, Jan. 7, 1975, as amended at 62 FR cess of the above limitation and pay a charge 15423, Apr. 1, 1997] as follows:
IDENTIFY YOUR BAGGAGE Subpart E—Incidental Charter Under FHWA regulations, all baggage must Rights be properly identified. Luggage tags should indicate clearly the name and address to AUTHORITY: 5 U.S.C. 553 and 559 and 49 which lost baggage should be forwarded. Free U.S.C. 10321, 10922, and 10932. luggage tags are available at all ticket win- SOURCE: 54 FR 46619, Nov. 6, 1989, unless dows and baggage counters. otherwise noted. Redesignated at 61 FR 54709, Oct. 21, 1996. The statement of charges for excess value declaration shall be clear, and § 374.501 Applicability. any other pertinent provisions may be added at the bottom in clear and The regulations in this part apply to readable print. incidental charter rights authorized (c) The notice referred to in para- under 49 U.S.C. 13506 [49 U.S.C. graphs (a) and (b) of this section shall 10932(c)]. These regulations do not be (1) placed in a position near the apply to interpreting authority con- ticket seller, sufficiently conspicuous tained in a certificate to transport pas- to apprise the public of its provisions, sengers in special and/or charter oper- (2) placed on a form to be attached to ations. each ticket issued (and the ticket sell- [54 FR 46619, Nov. 6, 1989. Redesignated at 61 er shall, where possible, provide oral FR 54709, Oct. 21, 1996, as amended at 62 FR notice to each ticket purchaser to read 15423, Apr. 1, 1997] the form attached to the ticket), (3) placed in a position at or near any lo- § 374.503 Authority. cation where baggage may be checked, Motor carriers transporting pas- sufficiently conspicuous to apprise sengers, in interstate or foreign com- each passenger checking baggage of its merce, over regular routes authorized
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in a certificate issued as a result of an PART 375—TRANSPORTATION OF application filed before January 2, 1967, HOUSEHOLD GOODS IN INTER- may transport special or chartered par- STATE OR FOREIGN COMMERCE ties, in interstate or foreign commerce, between any points and places in the Sec. United States (including Alaska and 375.1 Applicability and definitions. Hawaii). The term ‘‘special or char- 375.2 Information for shippers. tered party’’ means a group of pas- 375.3 Estimates of charges. 375.4 Final charges on shipments subject to sengers who, with a common purpose minimum weight or volume provisions. and under a single contract, and at a 375.5 Order for service. fixed charge for the vehicle in accord- 375.6 Receipt or bill of lading. ance with the carrier’s tariff, have ac- 375.7 Determination of weights. quired the exclusive use of a passenger- 375.8 Reasonable dispatch. 375.9 Notification of charges. carrying motor vehicle to travel to- 375.10 Signed receipt for shipment-release gether as a group to a specified des- prohibited. tination or for a particular itinerary. 375.11 Selling of insurance to shippers. 375.12 Liability of carriers. § 374.505 Exceptions. 375.13 Complaint and inquiry handling. 375.14 Agency agreements. (a) Incidental charter rights do not 375.15 Collection of freight charges on authorize the transportation of pas- household goods shipments involving loss sengers to whom the carrier has sold or destruction in transit. individual tickets or with whom the 375.16 Collection of freight charges on ship- ments transported on more than one ve- carrier has made separate and individ- hicle. ual transportation arrangements. 375.17 Advertising by motor common car- (b) Service provided under incidental riers of household goods. charter rights may not be operated be- 375.18 Preparation and filing of annual per- tween the same points or over the same formance report. 375.19 Use of charge card plans. route so frequently as to constitute a regular-route service. AUTHORITY: 5 U.S.C. 553; 49 U.S.C. 13301 and (c) Passenger transportation within 14104; 49 CFR 1.48. the Washington Metropolitan Area SOURCE: 46 FR 16218, Mar. 11, 1981, unless Transit District (as defined in the otherwise noted. Redesignated at 61 FR 54707, Oct. 21, 1996. Washington Metropolitan Area Trans- portation Regulation Compact, Pub. L. § 375.1 Applicability and definitions. No. 86–794, 74 Stat. 1031 (1960), as (a) The regulations in this part are amended by Pub. L. No. 87–767, 76 Stat. applicable to the operations of motor (1962) is not authorized by these regula- carriers engaged in the transportation tions, but is subject to the jurisdiction of household goods as defined in para- and regulations of the Washington graph (b)(1) of this section in interstate Metropolitan Area Transportation or foreign commerce. Commission. (b) Definitions. As used in this part: (d) A private or public recipient of (1) Household Goods. The term governmental assistance (within the ‘‘household goods’’ means personal ef- meaning of 49 U.S.C. 13902(b)(8)) may fects and property used or to be used in provide service under incidental char- a dwelling when a part of the equip- ter rights only for special or chartered ment or supply of such dwelling and parties originating in the area in which such other similar property as the the private or public recipient provides Commission may provide by regula- regularly scheduled mass transpor- tion; except that this definition shall not be construed to include property tation services under the specific quali- moving from a factory or store except fying certificate that confers its inci- such property as a householder has dental charter rights. purchased with intent to use in his [54 FR 46619, Nov. 6, 1989. Redesignated at 61 dwelling and which is transported at FR 54709, Oct. 21, 1996, as amended at 62 FR the request of, and the transportation 15423, Apr. 1, 1997] charges paid to the carrier by the householder. The regulations under
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this part do not apply to the transpor- whose property is transported under tation of property transportable under the terms and conditions of a govern- 49 U.S.C. 10102(10) (B) and (C). ment bill of lading issued by any de- (2) Reasonable dispatch. The term partment or agency of the federal gov- ‘‘reasonable dispatch’’ means the per- ernment to the carrier responsible for formance of transportation, excluding the transportation of the shipment. transportation provided under tariff (8) Other terms. Where any other provisions requiring guaranteed service terms used in the regulations in this dates, on the dates or during the period part are defined in 49 U.S.C. 10102, such of time agreed upon by the carrier and definitions shall be controlling. Where the shipper and shown on the Order For terms are used in this part which are Service/Bill of Lading, Provided, That neither defined herein nor in 49 U.S.C. the defenses of force majeure as con- 10102, they shall have the ordinary strued by the courts shall not be denied practical meaning of such terms. the carrier. [46 FR 16218, Mar. 11, 1981; 46 FR 22594, Apr. (3) Advertisement. The term ‘‘adver- 20, 1981] tisement’’ means any communication to the public in connection with an § 375.2 Information for shippers. offer or sale of any interstate or for- (a) Prior to the execution of an order eign transportation service, but shall for service of a shipment of household not be construed to include a listing of goods, as defined in § 375.1(b)(1), every a carrier name, address, and telephone motor common carrier holding out to number in a telephone directory or perform the service shall cause to be similar publication. furnished to the prospective individual (4) Certified Scales. As used in this shipper the following publications. part, a certified scale is any scale de- (1) Publication OCE–100, Your Rights signed for weighing motor vehicles, in- and Responsibilities When You Move. cluding trailers or semi-trailers not at- (2) A concise, easy-to-read, accurate tached to a tractor, and certified by an summary of any dispute settlement authorized scale inspection and licens- program in which the carrier partici- ing authority. A certified scale may pates, as provided in 49 U.S.C. 14708 and also be a platform or warehouse type approved by the Commission. scale properly inspected and certified. (3) A copy of Form OCE–101, Annual (5) Individual Shipper. As used in this Performance Report, most recently filed part, ‘‘individual shipper’’ refers to any with the Commission, as prescribed in person who is the consignor or con- § 375.18, if the carrier is required to signee of a household goods shipment complete part B of that form. and is identified as such in the bill of (4) A written description of the cus- lading contract and owns the goods tomer complaint and inquiry handling being transported. procedures established and maintained (6) Commercial Shipper. As used in this by the carrier. Included in this descrip- part, ‘‘commercial shipper’’ refers to tion shall be a telephone number which (a) any person, excluding the federal the shipper may use to communicate government, who is named as the con- with the carrier, accompanied by a signor and/or consignee in a bill of lad- clear and concise statement concerning ing contract who is not the owner of who shall pay for such calls. the goods being transported but who (b) General Requirements: (1) The text assumes the responsibility for payment and format of the publication shall not of the transportation and other tariff be changed without the written ap- charges for the account of the bene- proval of the Director, Office of Com- ficial owner of the goods, normally an pliance and Enforcement, Interstate employee of the consignor and/or con- Commerce Commission. signee; or, (b) a freight forwarder which (2) The Director, Office of Compli- tenders a shipment to a carrier in fur- ance and Enforcement, Interstate Com- therance of authorized or exempt merce Commission, shall, within 30 freight forwarder operations. days following the effective date of a (7) Government Bill of Lading Shipper. decision of the Interstate Commerce As used in this part, ‘‘government bill Commission changing any rule or regu- of lading shipper’’ refers to any person lation published at 49 CFR part 375,
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cause to be published in the FEDERAL nished without charge and in writing REGISTER a notice of amendment to to the shipper or other person respon- Publication OCE–100 reflecting such sible for payment of the freight charges change or changes. and a copy of each such estimate must (3) The dimensions of the publication be retained by the carrier as an adden- shall be optional, Provided, however, dum to the bill of lading. All such esti- The product of multiplying the length mates shall have clearly indicated on by the width shall be not less than 36 the face thereof that the estimate is square inches. not binding on the carrier and that the (4) The color and design of the front charges shown are the approximate and back cover of the publication shall charges which will be assessed for the be optional. Provided, the only words services identified in the estimate. printed or appearing on the front cover Non-binding estimates must clearly de- shall be ‘‘Your Rights and Responsibil- scribe the shipment and all services to ities When You Move.’’ be provided. [46 FR 16218, Mar. 11, 1981; 46 FR 22594, Apr. (c) Estimated charges required to be en- 20, 1981, as amended at 59 FR 2305, Jan. 14, tered on the order for service and bill of 1994; 59 FR 34392, July 5, 1994; 62 FR 49940, lading. Motor common carriers furnish- 49941, Sept. 24, 1997] ing non-binding estimates shall enter the estimated charges on the order for § 375.3 Estimates of charges. service, if an order for service is re- (a) Binding estimates. Motor common quired, and on the bill of lading. carriers engaged in the transportation (d) Maximum charges required to be of household goods as defined in paid at time of delivery on collect on de- § 375.1(b)(1) may provide in their tariffs livery shipments subject to non-binding for the preparation and furnishing to estimates of approximate costs. At time of shippers of binding estimates of the delivery of a collect on delivery ship- costs which the shippers will be re- ment, except when such shipment is de- quired to pay for the services included livered to a warehouse for storage at in the estimates. Binding estimates the request of the shipper, on which a must be furnished in writing to the non-binding estimate of the approxi- shipper or other person responsible for mate costs has been furnished by the payment of the freight charges and a carrier under the provisions of para- copy of each such estimate must be re- graph (b), the shipper may request de- tained by the carrier as an addendum livery of the shipment upon payment, to the bill of lading. All such estimates in a form acceptable to the carrier, of shall have clearly indicated on its face an amount not exceeding 110 percent of that the estimate is binding on the car- the estimated charges. The carrier rier and that the charges shown are the charges which will be assessed for the shall, upon request of the shipper, re- services identified in the estimate. linquish possession of the shipment Binding estimates must clearly de- upon payment of not more than 110 scribe the shipment and all services to percent of the estimated charges and be provided. shall defer demand for the payment of (b) Non-binding estimates. Motor com- the balance of any remaining charges mon carriers engaged in the transpor- for a period of 30 days following the tation of household goods as defined in date of delivery. § 375.1(b)(1) may provide estimates of [46 FR 16218, Mar. 11, 1981. Redesignated at 61 the approximate costs which will be as- FR 54707, Oct. 21, 1996; 62 FR 49941, Sept. 24, sessed for the transportation of such 1997] shipments. Non-binding estimates shall be reasonably accurate. Estimates of § 375.4 Final charges on shipments approximate costs shall not be binding subject to minimum weight or vol- on the carriers providing such esti- ume provisions. mates. The final charges on shipments (a) Motor common carriers engaged moved on non-binding estimates shall in the transportation of household be those appearing in the carriers’ tar- goods, as defined in § 375.1(b)(1), provid- iffs applicable to the transportation. ing service for individual shippers on Non-binding estimates must be fur- rates based on the transportation of a
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minimum weight or volume, must indi- obtain possession of the shipment or, cate on the order for service the mini- the amount of charges required to be mum weight or volume-based rates, paid based on a binding estimate and and the the minimum charges applica- the terms of payment under that esti- ble to the shipment. mate. (b) Failure to comply with the re- (9) Whether the shipper requests noti- quirements of paragraph (a) shall re- fication of the charges prior to delivery quire, and the governing tariff shall and the telephone number or address at contain, a rule providing that the final which such communications will be re- charges relating to such a shipment be ceived. computed based on the actual weight (10) Signatures required. The order for or volume of the shipment. service shall be signed by the shipper [46 FR 16218, Mar. 11, 1981. Redesignated at 61 who is ordering the service, and by the FR 54707, Oct. 21, 1996; 62 FR 49941, Sept. 24, carrier or its agent. A copy of the order 1997] for service shall be dated and furnished the shipper at the time it is executed. § 375.5 Order for service. (b) Amendments to an order for service. (a) Order for service required. Every Prior to loading an order for service motor common carrier shall, prior to may be amended by agreement of both the receipt of a shipment of household parties. goods as defined in § 375.1(b)(1) to be moved for an individual shipper, pre- [46 FR 16219, Mar. 11, 1981; 46 FR 22594, Apr. 20, 1981, as amended at 62 FR 49941, Sept. 24, pare an order for service which con- 1997] tains the following mimunum informa- tion: § 375.6 Receipt or bill of lading. (1) Name and address and ICC docket number of carrier who is responsible (a) Issuance of a receipt or bill of lad- for performing the service. ing. Every motor common carrier en- (2) Shipper’s name, address and, if gaged in the transportation of house- available, telephone number. hold goods as defined in § 375.1(b)(1) (3) Name, address and telephone num- shall issue a receipt or bill of lading. ber of the delivering carrier’s office or The bill of lading shall contain the agent located at or nearest to the des- minimum information required by tination of the shipment. § 375.6(b) and the terms and conditions (4) A telephone number at which the of the contract. The carrier shall fur- shipper/consignee may contact the car- nish a complete copy of the bill of lad- rier or its designated agent. ing to the shipper prior to the com- (5) Agreed pickup date and agreed de- mencement of the loading of a ship- livery date, or the agreed period or pe- ment. riods of time within which pickup, de- (b) Minimum information required on a livery, or the entire move, will be ac- receipt or bill of lading. Whenever a re- complished. If the shipment is to be ceipt or bill of lading is issued in com- transported on a guaranteed service pliance with paragraph (a), the carrier basis, the guaranteed dates or periods shall cause to be included therein the of time for pickup, transportation and following minimum information: delivery and any penalty or per diem (1) The name and address of the requirements of the agreement shall be motor carrier issuing the receipt or bill entered under this item. of lading. (6) Complete description of any spe- (2) The names and addresses of any cial or accessorial services ordered; and other motor carriers, when known, minimum weight or volume charges which will participate, through inter- applicable to the shipment. line, in the transportation of the ship- (7) Any identification or registration ment. number assigned the shipment by the (3) The name, address and telephone carrier. number of the office of the carrier that (8) Amount of estimated non-binding should be contacted in relation to the charges; method of payment of total transportation of shipments. charges; and, maximum amount re- (4) When the transportation is to be quired to be paid at time of delivery to performed on a collect on delivery
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basis, the name, address and, if fur- § 375.7 Determination of weights. nished, the telephone number of a per- (a) Every motor common carrier son to whom notification provided for transporting household goods on a non- in § 375.9(b) shall be given. binding estimate shall determine the (5) When the transportation is to be weight of each shipment transported performed for an individual shipper, prior to the assessment of any charges and except when the transportation is dependent on the shipment weight. Ex- to be performed subject to tariff provi- cept as otherwise provided herein the sions providing for guaranteed service weight shall be obtained on a scale dates, the agreed date or period of time meeting the definition of a certified for pickup of the shipment and the scale as provided in § 375.1(b)(4). agreed date or period of time for the (1) Weighing procedure. Except as oth- delivery of the shipment. The agreed erwise provided herein the weight of dates or periods of time for pickup and each shipment shall be obtained by de- delivery entered on the receipt or bill termining the difference between the of lading shall conform to the agreed tare weight of the vehicle on which the dates or periods of time for pickup and shipment is to be loaded prior to the delivery entered on the order for serv- loading and the gross weight of the ice or a proper amendment to the order same vehicle after the shipment is for service. loaded; or, the gross weight of the vehi- (6) When the transportation is to be cle with the shipment loaded and the performed subject to tariff provisions tare weight of the same vehicle after providing for guaranteed pickup, trans- the shipment is unloaded. portation and delivery service, the (2) At the time of both weighings the dates for pickup and delivery and any vehicle shall have installed or loaded penalty or per diem entitlements due all pads, dollies, handtrucks, ramps the shipper under the agreement. and other equipment required in the (7) The actual date of pickup. transportation of such shipments. Nei- (8) The company or carrier identifica- ther the driver nor any other persons tion number of the vehicle on which shall be on the vehicle at the time of the shipment is loaded. either weighing. (9) The terms and conditions for pay- (3) The fuel tanks on the vehicle shall ment of the total charges including no- be full at the time of each weighing or, tice of any minimum charges. in the alternative, no fuel may be (10) When the transportation is to be added between the two weighings when performed on a collect on delivery the tare weighing is the first weighing basis and if a pre-move estimate of the performed. charges is provided to the shipper, the (4) The trailer of a tractor-trailer ve- maximum amount required to be paid hicle combination may be detached at the time of delivery to obtain deliv- from the tractor and the trailer ery of the shipment. weighed separately at each weighing (11) The required released rates valu- providing the length of the scale plat- ation statement. form is adequate to accommodate and (12) Evidence of any insurance cov- support the entire trailer at one time. erage sold to or procured for the ship- (5) Shipments weighing 1,000 pounds per, including the amount of the pre- or less may be weighed on a certified mium for such insurance. platform or warehouse scale prior to (c) Copy of receipt or bill of lading to loading for transportation or subse- accompany shipment. A copy of the re- quent to unloading. ceipt or bill of lading shall accompany (6) The net weight of shipments a shipment at all times while in the transported in containers shall be the possession of a carrier. When the ship- difference between the tare weight of ment is loaded on a vehicle for trans- the container, including all pads, portation the receipt or bill of lading blocking and bracing used or to be used shall be in possession of the driver re- in the transportation of the shipment sponsible for the shipment. and the gross weight of the container [46 FR 16219, Mar. 11, 1981; 46 FR 22594, Apr. with the shipment loaded therein. 20, 1981, as amended at 50 FR 37534, Sept. 16, (7) The shipper or any other person 1985; 62 FR 49941, Sept. 24, 1997] responsible for the payment of the
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freight charges shall have the right to § 375.8 Reasonable dispatch. observe all weighings of the shipment. (a) Unless accepted for transpor- The carrier must advise the shipper or tation on the basis of guaranteed pick- any other person entitled to observe up and delivery dates: the weighings of the time and specific (1) Reasonable dispatch required. Each location where each weighing will be motor common carrier accepting ship- performed and must give that person a ments of household goods as defined in reasonable opportunity to be present to § 375.1(b)(1) for transportation for the observe the weighings. Waiver by a account of individual shippers shall shipper of the right to observe any cause such shipments to be transported weighing or reweighing is permitted with reasonable dispatch as defined in and does not affect any rights of the § 375.1(b)(2). shipper under these regulations or oth- (2) Notification of delay in providing erwise. service with reasonable dispatch. When- (b) Weight tickets. The carrier shall ever a carrier is unable to perform ei- obtain a separate weight ticket for ther or both the pickup and delivery of each weighing required under this sec- a shipment on the dates or during the tion except when both weighings are periods of time specified in the order performed on the same scale, one for service, the carrier shall notify the weight ticket may be used to record shipper by telephone, telegram or in both weighings. Every weight ticket person, at the carrier’s expense, of the must be signed by the person perform- delay. Such notification shall be given ing the weighing and must contain the as soon as it becomes apparent to the following minimum information: carrier that it will be unable to provide the service in compliance with the (1) The complete name and location terms of the order for service. of the scale. (3) Carrier notification of delay. At the (2) The date of each weighing. time of notification of delay the car- (3) Identification of the weight en- rier shall advise the shipper of the tries thereon as being the tare, gross dates or periods of time that pickup and/or net weights. and/or delivery can be made, which (4) The company or carrier identifica- considers the needs of the shipper. If tion of the vehicle. the notification of delay occurs prior (5) The last name of the shipper as it to the pickup of the shipment, the appears on the Bill of Lading. amendment shall be in writing as re- (6) The carrier’s shipment registra- quired by § 375.5(b). If the notification tion or Bill of Lading number. of delay occurs subsequent to the pick- (7) The original weight ticket or tick- up of the shipment, the carrier rep- ets relating to the determination of the resentative notifying the shipper of the weight of a shipment must be retained delay shall prepare a written record of by the carrier as part of the file on the the date, time and manner of notifica- shipment. All freight bills presented to tion and the amended date or period of collect any shipment charges depend- time for delivery by the carrier which record shall be retained by the carrier ent on the weight transported must be as part of its file on the shipment and accompanied by true copies of all a true copy thereof shall be furnished, weight tickets obtained in the deter- by first class mail or in person, to the mination of the shipment weight. shipper. (c) Reweighing of shipments. Before (b) Tendering for delivery. Except upon the actual commencement of the un- the request or concurrence of the ship- loading of a shipment weighed at origin per, a shipment being transported for and after the shipper is informed of the an individual shipper shall not be ten- billing weight and total charges, the dered for delivery prior to the agreed shipper may request a reweigh. The delivery date or period of time speci- charges shall be based on the reweigh fied on the bill of lading: Provided, That weight. whenever a carrier is able to tender [46 FR 16218, Mar. 11, 1981. Redesignated at 61 such a shipment for final delivery more FR 54707, Oct. 21, 1996; 62 FR 49941, Sept. 24, than 24 hours prior to such specified 1997] date or the first day of such specified
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period of time, and the shipper has not ment on which the charges have been requested or concurred in such early estimated and the maximum amount delivery, the carrier may, at its option, required to be paid at time of delivery place the shipment in storage for its is 110 percent of the estimated charges. own account and at its own expense in a warehouse located in proximity to § 375.10 Signed receipt for shipment- the destination of the shipment. When- release prohibited. ever a carrier shall exercise such op- A shipping document to be signed by tion it shall immediately notify the the consignee at time of delivery shall shipper of the name and address of the not contain any language which pur- warehouse in which the shipment has ports to release or discharge the car- been placed, and shall make and keep a rier or its agents from liability, but record of such notification as a part of may contain a statement that the its record of shipment. The carrier’s re- property has been received in apparent sponsibility for the shipment under the good condition except as noted on the terms and conditions of the bill of lad- shipping documents. ing and its responsibility for the charges for redelivery, handling and § 375.11 Selling of insurance to ship- storage thereof shall continue until pers. final delivery: Provided, that the car- (a) When a shipment is released for rier’s responsibility under the bill of transportation at a value not exceeding lading shall not extend beyond the 60 cents per pound per article, and the agreed delivery date or the first day of shipper does not declare a valuation of the period within which delivery was to $1.25 or more per pound and pay or have been accomplished as specified in agree to pay the carrier for assuming the bill of lading. liability for the shipment equal to the [46 FR 16220, Mar. 11, 1981; 46 FR 22594, Apr. declared value, any common carrier of 20, 1981, as amended at 62 FR 49941, Sept. 24, household goods as defined in 1997] § 375.1(b)(1), or any employee, agent, or representative thereof, may sell, or § 375.9 Notification of charges. offer to sell or procure for any shipper, (a) Whenever an individual shipper of any kind of insurance, under any type a shipment being transported on a col- of policy, covering loss or damage in lect on delivery basis specifically re- excess of the specified carrier liability quests notification of the actual weight to a shipment or shipments of house- or volume and charges on a shipment, hold goods to be transported in inter- and supplies the carrier with an ad- state or foreign commerce by such car- dress or telephone number at which the rier; Provided, that the shipper is issued communication will be received, the a policy or other appropriate evidence carrier shall comply with such request of the insurance purchased, and a copy upon determining the actual weight thereof be furnished to the shipper at and charges. Such notification shall be the time the insurance is sold or pro- made by telephone, telegram, or in per- cured. Carrier issued policies shall be son. written in plain English and shall (b) Whenever a shipper requests noti- clearly specify the nature and extent of fication of the weight or volume and coverage. Failure to issue a policy or charges on a shipment as provided in other appropriate evidence of insur- paragraph (a), the notification must be ance purchased shall subject the car- received by the shipper, at least one rier to full liability for any claims to full 24-hour day, excluding Saturdays, recover for loss or damage attributed Sundays and legal holidays, prior to to the carrier. any tender of the shipment for deliv- (b) Any carrier offering or selling or ery. The 24-hour notification require- procuring insurance as provided in ment shall not apply on a shipment to paragraph (a) of this section shall pro- be backweighed or on a shipment vide in its tariff for the provision of which, with the agreement of the ship- such service. The tariff shall also pro- per, is to be picked up and delivered vide for the base transportation charge within a time period encompassing two to include assumption by the carrier consecutive week days, or on a ship- for full liability for the value of the
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shipment in the event a policy or other goods holding goods for storage-in- appropriate evidence of the insurance transit (S.I.T.) shall, no less than 10 purchased by the shipper is not issued days prior to the expiration of either to the shipper at the time of purchase. the specified period of time during [46 FR 16218, Mar. 11, 1981. Redesignated at 61 which the goods are to be held in such FR 54707, Oct. 21, 1996, as amended at 62 FR storage or the maximum period of time 49941, Sept. 24, 1997] provided in the carrier’s tariff for stor- age-in-transit, notify the shipper in § 375.12 Liability of carriers. writing (1) of the date of conversion to (a) Liability restricted. Except as pro- permanent storage, (2) of the existence vided in § 375.11(a), common carriers by of a nine-month period subsequent to motor vehicle of household goods as de- the date of conversion to permanent fined in § 375.1(b)(1) shall not assume storage during which shipper may file any liability in excess of that for which claims against the carrier for loss and/ they are legally liable under their law- or damage which occurred to the goods ful bills of lading and published tariffs. in transit or during the S.I.T. period, (b) Limitations of liability. A common and, (3) of the fact that on the date of carrier by motor vehicle of household conversion, the liability of the carrier goods shall be liable for loss of or dam- shall terminate and the property shall age to any articles caused by it while be subject to the rules, regulations, being transported or while being held and charges of the warehouseman. No- for storage-in-transit, including inci- tification shall be by certified mail, re- dental pickup or delivery, and includ- turn receipt requested. A common car- ing liability for loss or damage to any rier by motor vehicle of household article or appliance resulting from the goods holding goods for storage-in- servicing of such article or appliance transit for a period of time less than 10 by a third person engaged by the car- days shall, no less than one day prior rier to perform such service, to the ex- to the expiration of the specified time tent provided in the outstanding re- during which the goods are to be held leased rates order; except that the car- in such storage, give notification to rier may exempt its liability in the fol- the shipper of the information specified lowing instances: in paragraph (d) (1), (2), and (3) and (1) No liability need be assumed for maintain a record thereof as part of its perishable articles included in the ship- record of the shipment. Failure or re- ment without the knowledge of the fusal of a carrier to notify the shipper carrier; and a carrier accepting for in accordance with the foregoing shall shipment perishable articles may im- automatically effect a continuance of pose reasonable conditions necessary carrier liability pursuant to the appli- to insure the safe transportation of cable tariff provisions with respect to such commodities. S.I.T., until the end of the day follow- (2) When a shipment is released to a ing the date upon which notice is value greater than sixty cents (60¢) per given. pound, per article, liability for loss or damage may be limited to $100 per [46 FR 16218, Mar. 11, 1981, as amended at 55 pound, per article (based upon the ac- FR 18729, May 9, 1990; 55 FR 30235, July 25, tual article weight), for any article in- 1990; 62 FR 49941, Sept. 24, 1997] cluded in the shipment that exceeds $100 per pound, per article in value, un- § 375.13 Complaint and inquiry han- less the shipper specifically notifies dling. the carrier in writing that an identified (a) Motor common carriers engaged article or articles with a value greater in the transportation of household than $100 per pound will be included in goods as defined in § 375.1(a) shall es- the shipment. In such case, the shipper tablish and maintain a procedure for will be entitled to full recovery up to responding to complaints and inquiries the declared value of the article or ar- from shippers for which such transpor- ticles, not to exceed the declared value tation is provided. The procedure shall of the entire shipment. include a means whereby shippers may (c) Storage-in-transit. A common car- communicate with the principal office rier by motor vehicle of household of the carrier by telephone.
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(b) The carrier shall retain and make § 375.15 Collection of freight charges part of the file relating to a shipment on household goods shipments in- a written record of all complaints and volving loss or destruction in tran- inquiries received from a shipper by sit. any means of communication. (a) No motor common carrier of household goods in interstate or for- [46 FR 16218, Mar. 11, 1981. Redesignated at 61 FR 54707, Oct. 21, 1996; 62 FR 49941, Sept. 24, eign commerce shall collect, or shall 1997] require a shipper thereof to pay, any published freight charges (including § 375.14 Agency agreements. any charges for accessorial or terminal services) when that shipment is totally (a) Household Goods Agents are de- lost or destroyed in transit. The provi- fined as follows: sions of this subsection shall apply (1) Prime agents are defined as all only to the transportation of household agents who are permitted or required goods as defined in § 375.1(b)(1) of these under the terms of any agreement or rules. Notwithstanding any other pro- arrangement with a principal carrier to visions of this subsection, a carrier provide any transportation service for shall collect, and the shipper shall be or on behalf of the principal carrier, in- required to pay, any specific valuation cluding the selling of or arranging for charge that may be due. This sub- any transportation service, and who section shall not be applicable to the perform such services on other than an extent that any such loss or destruc- emergency or temporary basis. tion is due to the act or omission of the (2) Military agents are defined as all shipper. agents who are permitted or required (b) In the event that any portion, but under the terms of any agreement or less than all, of a shipment of house- arrangement with a principal carrier to hold goods is lost or destroyed in tran- provide origin and/or destination serv- sit, a motor common carrier of house- ices only on shipments transported on hold goods in interstate or foreign Government bills of lading issued by commerce shall, at the time it disposes the Department of Defense, and who of claims for loss, damage, or injury to perform such services on other than an the articles in the shipment as pro- emergency or temporary basis. vided in part 370 of this chapter, refund (3) Temporary agents are defined as that portion of its published freight all agents who are permitted or re- charges (including any charges for ac- quired under the terms of any agree- cessorial or terminal services) cor- ment or arrangement with a principal responding to that portion of the ship- carrier to provide origin and/or des- ment which is lost or destroyed in tination services on behalf of the prin- transit. To calculate the charges appli- cipal carrier, excluding the selling of cable to the shipment as delivered, the or arranging for any transportation carrier shall multiply the percentage service, and who perform such services corresponding to the portion of the on an emergency or temporary basis. shipment delivered by the total (b) Agreements between principal charges (including accessorial and ter- carriers and their prime or military minal charges) applicable to the ship- agents must be reduced to writing and ment tendered by the shipper. If the signed by the principal and the re- charges computed in the manner set tained agent, and copies of any such forth above exceed the charges other- wise applicable to the shipment as de- agreements must be in the files of the livered, the lesser of those charges principal carrier for a period of not less shall apply. The provisions of this than 24 months following the date of paragraph shall apply only to the termination of each agreement. transportation of household goods as [46 FR 16222, Mar. 11, 1981; 46 FR 22594, Apr. defined in § 375.1(b)(1) of these rules. 20, 1981] Notwithstanding any other provisions
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of this paragraph, a carrier shall col- the shipment being delivered. The total lect, and the shipper shall be required charges assessed by the carrier for the to pay, that proportion of any charges transportation of the separate portions for accessorial or terminal services of the shipment shall not exceed the rendered which corresponds to the pro- charges due for the entire shipment. portion of the shipment not lost or de- (b) In the event of the loss or destruc- stroyed in transit and any specific tion of any part of a shipment being valuation charge that may be due. The transported on more than one vehicle, provisions of this paragraph shall not the collection of charges as provided in be applicable to the extent that any paragraph (a) of this section shall also such loss or destruction is due to the be in conformity with the requirements act or omission of the shipper. Carriers of § 375.15. shall determine, at their own expense, the proportion of the shipment not lost [46 FR 16218, Mar. 11, 1981. Redesignated at 61 FR 54707, Oct. 21, 1996; 62 FR 49941, Sept. 24, or destroyed in transit. 1997] (c) The rights provided by this sec- tion are in addition to, and not in lieu § 375.17 Advertising by motor common of, any other rights which the shipper carriers of household goods. may have with respect to a shipment of (a) Every motor common carrier en- household goods which is lost or de- gaged in the transportation of house- stroyed, or partially lost or destroyed, hold goods in interstate or foreign in transit, whether or not that shipper commerce, including any carriers pro- has exercised the rights provided in viding any accessorial service inciden- paragraphs (a) and (b) of this section. tal to or part of such interstate or for- [46 FR 16218, Mar. 11, 1981, as amended at 54 eign transportation, shall include, and FR 36981, Sept. 6, 1989; 62 FR 49941, Sept. 24, shall require each of its agents to in- 1997] clude, in every advertisement as de- fined in § 375.1(b)(3), the name or trade § 375.16 Collection of freight charges on shipments transported on more name of the motor carrier under whose than one vehicle. operating authority the advertised service will originate, and the certifi- (a) Whenever a collect on delivery cate or docket number assigned to such shipment of household goods, as de- operating authority by the Interstate fined in § 375.1(b)(1), is transported on Commerce Commission. more than one vehicle the carrier de- (b) Such certificate or docket number livering such split or divided shipment shall be in the following form in every shall observe the requirements of para- advertisement: ‘‘I.C.C. No.lll’’ but graphs (a)(1), (2) or (3) of this section in shall not include any sub numbers the collection of the charges. which may have been assigned. (1) At the option of the carrier, the collection of the charges attributable (c) No motor common carrier en- to the transportation of the portion of gaged in the transportation of house- the shipment transported on each vehi- hold goods, as defined in § 375.1(b)(1), or cle may be deferred until all portions any agent or other representative of of the shipment are delivered; or, such a carrier, shall publish or cause to (2) Providing that the charges for the be published or use any advertisement entire shipment have been determined, as defined in § 375.1(b)(3), which is false, the carrier may collect at the time of misleading or deceptive. delivery of any portion of the shipment [46 FR 16218, Mar. 11, 1981. Redesignated at 61 that percentage of the charges rep- FR 54707, Oct. 21, 1996; 62 FR 49941, Sept. 24, resented by the portion of the ship- 1997] ment tendered for delivery; or, (3) In the event that the charges due § 375.18 Preparation and filing of an- the carrier for the transportation of nual performance report. the entire shipment cannot reasonably (a) Filing requirement. Each motor be determined at the time any portion common carrier for household goods as of the shipment is tendered for deliv- defined in § 375.1(b) that delivers inter- ery, the carrier shall determine and state shipments to individual C.O.D. collect the charges for the portion of shippers, during any calendar year
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shall, on or before March 31 of the fol- 6. Number of C.O.D. shipments lowing year, file with the Office of where the charges were based Compliance and Enforcement, Inter- on other than a written binding state Commerce Commission, Washing- or non-binding estimate ...... lllll ton, DC 20423–0001, a report of the serv- 7. Total of Lines 4, 5, and 6 (NOTE: Total should equal the ice performed during the report year. shipment count reported in The report shall be submitted on Form part A, Line 1) ...... lllll OCE–101, and its accuracy must be veri- 8. Percentage of shipments deliv- fied by an official of the carrier. All ered where the final charges ex- carriers must complete part A of Form ceeded the initial written bind- OCE–101, and those carriers transport- ing estimate ...... lllll ing 100 or more shipments also must 9. Percentage of shipments deliv- complete part B. ered where the final charges ex- ceeded the initial written non- (b) Prescribed Annual Performance binding estimate by 10% or Report Form OCE–101. more ...... lllll 10. Percentage of shipments that INTERSTATE COMMERCE COMMISSION were picked up after the last OFFICE OF COMPLIANCE AND ENFORCEMENT date for pickup listed on the order for service or bill of lad- ANNUAL PERFORMANCE REPORT FOR YEAR ing ...... lllll ENDED DECEMBER 31, 19l 11. Percentage of shipments that were delivered after the last lllllllllllllll Carrier’s Name date of delivery specified on the Carrier’s Address llllllllllllll order for service or bill of lad- ICC Number lllllllllllllllll ing ...... lllll 12. Percentage of shipments de- PART A livered where there was a claim During the year, the total number of filed (in excess of $200) for prop- household goods shipments (1st proviso) de- erty damage or loss ...... lllll livered for each type of shipper was: 13. Percentage of shipments de- 1. C.O.D. shipments delivered livered where there was a claim under your common carrier au- filed (in excess of $200) for dam- thority (excluding all Govern- ages resulting from late pickup lllll ment, Freight Forwarder, and or delivery ...... Interline shipments) ...... lllll 14. Average number of days re- quired to settle a claim (in ex- 2. All other 1st proviso shipments lllll (including all Government, cess of $200) ...... Freight Forwarder, and Inter- 15. Percentage of claims (in ex- line shipments) ...... lllll cess of $200) that were resolved through the use of an arbitra- 3. Total of Lines 1 and 2 (NOTE: tion program ...... lllll Total must agree with total 1st 16. Percentage of claims (in ex- proviso shipments reported in cess of $200) that were resolved your ICC Annual Report, after the carrier received a Schedule 600, Line 7, Column d, legal notice of a lawsuit filed if you are required to file that by the shipper ...... lllll report) ...... lllll CARRIER’S OATH (MUST BE COMPLETED BY A PART B CARRIER OFFICIAL) Complete part B only if the C.O.D. deliv- I, (name and title of company official), verify ered shipments reported in part A, Line 1, under penalty of perjury, under the laws of equals or exceeds 100 shipments. The ques- the United States of America, that all infor- tions and answers below deal only with the mation supplied on this form or relative to shipments reported in part A, Line 1. the data contained in the form is, to the best 4. Number of C.O.D. shipments of my knowledge and belief, true, correct and where the order for service was complete, based on all the information re- based upon a written binding es- quired to be included therein, of which I have timate (included are so-called any knowledge, and these representations hybrid estimates such as Guar- are made in good faith. Further, I certify anteed Price and Price Protec- that I am qualified and authorized to certify tion) ...... lllll the accuracy of the data. I know that willful 5. Number of C.O.D. shipments misstatements or omission of material facts where the charges were based constitutes Federal crime violations punish- on a written non-binding estimate lllll able under 18 U.S.C. 1001 by imprisonment up 646
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to 5 years and fines up to $10,000 for each of- Part A, Line 1, did not equal or exceed 100 fense. shipments. If completion of Part B is not re- llllllllllllllllllllllll quired, sign the Certification and return the form to the Interstate Commerce Commis- Signature sion. llllllllllllllllllllllll Line 4: Report only those C.O.D. shipments Title where the order for service was signed llllllllllllllllllllllll after the receipt of a written binding esti- mate. Include in this computation all so- Date called hybrid estimates (e.g., Guaranteed (c) Instructions for Preparation of Price and Price Protection options). Annual Performance Report, Form Line 5: Report the total number of C.O.D. shipments where the order for service was OCE–101. signed after the receipt of a written non- INSTRUCTIONS FOR PREPARATION binding estimate. In the case of non-bind- ing estimates, the actual charges are de- General Instructions termined after the shipment has been picked up and weighed. 1. Data for completion of Form OCE–101 Line 6: Report only those C.O.D. shipments may be obtained by random sampling provid- where there was no requirement for the ing that in every instance, the universe sam- preparation of a binding or non-binding pled is all shipments delivered under your written estimate by the carrier. As with common carrier authority (excluding Gov- non-binding estimates, the charges here ernment, Freight forwarder, and Interline are determined after the shipment has traffic) during the report year or all claims been picked up and weighed. arising out of the transportation of those Line 7: Sum of Lines 4, 5, and 6. The number shipments that were received or settled, as of shipments reported on Line 7 should be appropriate, during the report year. the same as those reported in Part A, Line 2. When random sampling is used, the min- 1. imum sample size in every instance shall be 400 shipments or claims, as appropriate, in COMPUTATION OF PERCENTAGES OR AVERAGES replicates of 100 shipments or claims each. All samples must conform to standard devi- You must determine the number of ship- ation with a 95% confidence level. ments falling into each of the categories de- 3. Carriers submitting Form OCE–101 shall scribed in Lines 8 and 9, respectively, and di- retain and make available for review by an vide these shipments by the number of ship- authorized Commission employee all work- ments reported on Lines 4 and 5, respec- ing papers, notes, and other files relating to tively. the preparation of each report for a period of You must determine the number of ship- not less than 24 months following the date of ments falling into each of the categories de- filing such a report. scribed in Lines 10 through 16 and divide 4. The data in Form OCE–101 must be veri- these shipments by the number of shipments fied by a sworn statement signed by an offi- reported on Line 7. (Exception: Line 13 is an cial of the company. average, not a percentage.) Line 8: Compute the percentage of those SPECIFIC INSTRUCTIONS shipments delivered where the final Part A charges exceeded the written estimate ini- tially provided to the shipper because of Line 1: Only report those 1st proviso C.O.D. changes agreed to by the carrier and ship- shipments moved under your common car- per in commodities transported and serv- rier authority after excluding all Govern- ices provided. ment, Freight forwarder and Interline traf- Line 9: Compute the percentage of those fic. shipments delivered under a non-binding Line 2: Report all other 1st proviso ship- written estimate where the final charges ments, including those moving under con- exceeded the written estimate provided to tract carriage provisions and all Govern- the shipper by 10% or more. The 10% figure ment, Freight forwarder and Interline traf- is used because every C.O.D. shipper is re- fic. quired to have available 110% of the esti- Line 3: Sum lines 1 and 2. The total should mate at the time of delivery. agree with total 1st proviso shipments re- Line 10: Compute the percentage of those ported in your ICC Annual Report, Sched- shipments where the actual pickup date ule 600, Line 7, Column d, if you are re- occurred after the last date for pickup quired to file that report. promised on the order for service or bill of lading. Part B Line 11: Compute the percentage of those It is not necessary to complete Part B if shipments where the actual delivery date the total of C.O.D. shipments reported on occurred after the last date for delivery
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promised on the order for service or bill of the charge card plans participated in lading. by the carrier. Line 12: Compute the percentage of those shipments where there was a claim filed [46 FR 16218, Mar. 11, 1981. Redesignated at 61 within 60 days of the actual date of deliv- FR 54707, Oct. 21, 1996; 62 FR 49941, Sept. 24, ery to the residence. Only count those 1997] claims where the dollar value of the amount claimed by the shipper exceeded $200 and resulted from property damaged PART 376—LEASE AND or lost. This excludes claims for late INTERCHANGE OF VEHICLES pickups and deliveries which are reported on line 13. Subpart A—General Applicability and Line 13: Compute the percentage of those Definitions shipments where there was a claim filed within 60 days of the actual date of deliv- Sec. ery to the residence. Only count those 376.1 Applicability. claims where the dollar value of the 376.2 Definitions. amount claimed by the shipper exceeded $200 and resulted from a late pickup or de- Subpart B—Leasing Regulations livery. Late pickups and deliveries are de- fined in Instructions 10 and 11. 376.11 General leasing requirements. Line 14: Enter the average number of days 376.12 Written lease requirements. required to pay, decline, or make a firm compromise offer of settlement of all Subpart C—Exemptions for the Leasing claims exceeding $200 during the report Regulations year. For the purpose of this report, a claim shall be considered to be a ‘‘claim 376.21 General exemptions. filed’’ if it meets the criteria set forth in 376.22 Exemption for private carrier leasing Lines 11 and 12, and shall be considered as and leasing between authorized carriers. paid, declined, or compromised on the date 376.26 Exemption for leases between author- on which a written offer is mailed or deliv- ized carriers and their agents. ered in person to a claimant. Line 15: Compute the percentage of the Subpart D—Interchange Regulations claims exceeding $200 arising out of the transportation of shipments which were re- 376.31 Interchange of equipment. solved during the report year through the use of a dispute resolution or arbitration Subpart E—Private Carriers and Shippers procedure maintained or participated in by the carrier. 376.42 Lease of equipment by regulated car- Line 16: Compute the percentage of the riers. claims exceeding $200 arising out of the transportation of shipments which were re- AUTHORITY: 49 U.S.C. 13301 and 14102; 49 solved during the report year as a result of CFR 1.48. legal notice of suit to recover being filed SOURCE: 44 FR 4681, Jan. 23, 1979, unless by the shipper. otherwise noted. Redesignated at 61 FR 54707, [59 FR 2305, Jan. 14, 1994, as amended at 59 Oct. 21, 1996. FR 34392, July 5, 1994; 62 FR 49941, Sept. 24, 1997] Subpart A—General Applicability § 375.19 Use of charge card plans. and Definitions Motor common carriers of household § 376.1 Applicability. goods, as defined in 49 CFR 375.1(b)(1), may provide in their tariffs for the ac- The regulations in this part apply to ceptance of charge cards for the pay- the following actions by motor carriers ment of freight charges whenever ship- registered with the Secretary to trans- ments are transported under agree- port property: ments and tariffs requiring payment by (a) The leasing of equipment with cash, certified check or money order. which to perform transportation regu- Payment by charge card shall be con- lated by the Secretary. sidered the same as payment by cash, (b) The leasing of equipment to certified check or money order. Any motor private carrier or shippers. tariff rule or item permitting the ac- (c) The interchange of equipment be- ceptance of charge cards shall identify tween motor common carriers in the
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performance of transportation regu- lease, rent, or bailment, or to further a lated by the Secretary. commercial enterprise. (k) Shipper. A person who sends or re- [44 FR 4681, Jan. 23, 1979. Redesignated at 61 ceives property which is transported in FR 54707, Oct. 21, 1996, as amended at 62 FR 15423, Apr. 1, 1997] interstate or foreign commerce. (l) Escrow fund. Money deposited by § 376.2 Definitions. the lessor with either a third party or the lessee to guarantee performance, to (a) Authorized carrier. A person or per- repay advances, to cover repair ex- sons authorized to engage in the trans- penses, to handle claims, to handle li- portation of property as a motor car- cense and State permit costs, and for rier under the provisions of 49 U.S.C. any other purposes mutually agreed 13901 and 13902. upon by the lessor and lessee. (b) Equipment. A motor vehicle, (m) Detention. The holding by a con- straight truck, tractor, semitrailer, signor or consignee of a trailer, with or full trailer, any combination of these without power unit and driver, beyond and any other type of equipment used the free time allocated for the ship- by authorized carriers in the transpor- ment, under circumstances not attrib- tation of property for hire. utable to the performance of the car- (c) Interchange. The receipt of equip- rier. ment by one motor common carrier of property from another such carrier, at [44 FR 4681, Jan. 23, 1979, as amended at 49 FR 47850, Dec. 7, 1984; 62 FR 15424, Apr. 1, a point which both carriers are author- 1997] ized to serve, with which to continue a through movement. Subpart B—Leasing Regulations (d) Owner. A person (1) to whom title to equipment has been issued, or (2) § 376.11 General leasing requirements. who, without title, has the right to ex- Other than through the interchange clusive use of equipment, or (3) who has of equipment as set forth in § 376.31, lawful possession of equipment reg- and under the exemptions set forth in istered and licensed in any State in the subpart C of these regulations, the au- name of that person. thorized carrier may perform author- (e) Lease. A contract or arrangement ized transportation in equipment it in which the owner grants the use of does not own only under the following equipment, with or without driver, for conditions: a specified period to an authorized car- (a) Lease. There shall be a written rier for use in the regulated transpor- lease granting the use of the equipment tation of property, in exchange for and meeting the requirements con- compensation. tained in § 376.12. (f) Lessor. In a lease, the party grant- (b) Receipts for equipment. Receipts, ing the use of equipment, with or with- specifically identifying the equipment out driver, to another. to be leased and stating the date and (g) Lessee. In a lease, the party ac- time of day possession is transferred, quiring the use of equipment with or shall be given as follows: without driver, from another. (1) When possession of the equipment (h) Sublease. A written contract in is taken by the authorized carrier, it which the lessee grants the use of shall give the owner of the equipment a leased equipment, with or without receipt. The receipt identified in this driver, to another. section may be transmitted by mail, (i) Addendum. A supplement to an ex- telegraph, or other similar means of isting lease which is not effective until communication. signed by the lessor and lessee. (2) When possession of the equipment (j) Private carrier. A person, other by the authorized carrier ends, a re- than a motor carrier, transporting ceipt shall be given in accordance with property by motor vehicle in interstate the terms of the lease agreement if the or foreign commerce when (1) the per- lease agreement requires a receipt. son is the owner, lessee, or bailee of the (3) Authorized representatives of the property being transported; and (2) the carrier and the owner may take posses- property is being transported for sale, sion of leased equipment and give and
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receive the receipts required under this (2) [Reserved] subsection. [44 FR 4681, Jan. 23, 1979, as amended at 49 (c) Identification of equipment. The au- FR 47269, Dec. 3, 1984; 49 FR 47850, Dec. 7, thorized carrier acquiring the use of 1984; 50 FR 24649, June 12, 1985; 51 FR 37406, equipment under this section shall Oct. 22, 1986; 62 FR 15424, Apr. 1, 1997] identify the equipment as being in its service as follows: § 376.12 Written lease requirements. (1) During the period of the lease, the Except as provided in the exemptions carrier shall identify the equipment in set forth in subpart C of this part, the accordance with the FHWA’s require- written lease required under § 376.11(a) ments in 49 CFR part 390 of this chap- shall contain the following provisions. ter (Identification of Vehicles). The required lease provisions shall be (2) Unless a copy of the lease is car- adhered to and performed by the au- ried on the equipment, the authorized thorized carrier. carrier shall keep a statement with the (a) Parties. The lease shall be made equipment during the period of the between the authorized carrier and the lease certifying that the equipment is owner of the equipment. The lease being operated by it. The statement shall be signed by these parties or by shall also specify the name of the their authorized representatives. owner, the date and length of the lease, (b) Duration to be specific. The lease any restrictions in the lease relative to shall specify the time and date or the the commodities to be transported, and circumstances on which the lease be- the address at which the original lease gins and ends. These times or cir- is kept by the authorized carrier. This cumstances shall coincide with the statement shall be prepared by the au- times for the giving of receipts re- thorized carrier or its authorized rep- quired by § 376.11(b). resentative. (c) Exclusive possession and responsibil- (d) Records of equipment. The author- ities. (1) The lease shall provide that ized carrier using equipment leased the authorized carrier lessee shall have under this section shall keep records of exclusive possession, control, and use the equipment as follows: of the equipment for the duration of (1) The authorized carrier shall pre- the lease. The lease shall further pro- pare and keep documents covering each vide that the authorized carrier lessee trip for which the equipment is used in shall assume complete responsibility its service. These documents shall con- for the operation of the equipment for tain the name and address of the owner the duration of the lease. of the equipment, the point of origin, (2) Provision may be made in the the time and date of departure, and the lease for considering the authorized point of final destination. Also, the au- carrier lessee as the owner of the thorized carrier shall carry papers with equipment for the purpose of subleas- the leased equipment during its oper- ing it under these regulations to other ation containing this information and authorized carriers during the lease. identifying the lading and clearly indi- (3) When an authorized carrier of cating that the transportation is under household goods leases equipment for its responsibility. These papers shall be the transportation of household goods, preserved by the authorized carrier as as defined by the Secretary, the parties part of its transportation records. may provide in the lease that the pro- Leases which contain the information visions required by paragraph (c)(1) of required by the provisions in this para- this section apply only during the time graph may be used and retained instead the equipment is operated by or for the of such documents or papers. As to authorized carrier lessee. lease agreements negotiated under a (4) Nothing in the provisions required master lease, this provision is complied by paragraph (c)(1) of this section is in- with by having a copy of a master lease tended to affect whether the lessor or in the unit of equipment in question driver provided by the lessor is an inde- and where the balance of documenta- pendent contractor or an employee of tion called for by this paragraph is in- the authorized carrier lessee. An inde- cluded in the freight documents pre- pendent contractor relationship may pared for the specific movement. exist when a carrier lessee complies
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with 49 U.S.C. 14102 and attendant ad- outside of the lessor’s control, and for ministrative requirements. improperly permitted overdimension (d) Compensation to be specified. The and overweight loads and shall reim- amount to be paid by the authorized burse the lessor for any fines paid by carrier for equipment and driver’s serv- the lessor. If the authorized carrier is ices shall be clearly stated on the face authorized to receive a refund or a of the lease or in an addendum which is credit for base plates purchased by the attached to the lease. Such lease or ad- lessor from, and issued in the name of, dendum shall be delivered to the lessor the authorized carrier, or if the base prior to the commencement of any trip plates are authorized to be sold by the in the service of the authorized carrier. authorized carrier to another lessor the An authorized representative of the authorized carrier shall refund to the lessor may accept these documents. initial lessor on whose behalf the base The amount to be paid may be ex- plate was first obtained a prorated pressed as a percentage of gross reve- share of the amount received. nue, a flat rate per mile, a variable (f) Payment period. The lease shall rate depending on the direction trav- specify that payment to the lessor eled or the type of commodity trans- shall be made within 15 days after sub- ported, or by any other method of com- mission of the necessary delivery docu- pensation mutually agreed upon by the ments and other paperwork concerning parties to the lease. The compensation a trip in the service of the authorized stated on the lease or in the attached carrier. The paperwork required before addendum may apply to equipment and the lessor can receive payment is lim- driver’s services either separately or as ited to log books required by the De- a combined amount. partment of Transportation and those (e) Items specified in lease. The lease shall clearly specify which party is re- documents necessary for the author- sponsible for removing identification ized carrier to secure payment from devices from the equipment upon the the shipper. In addition, the lease may termination of the lease and when and provide that, upon termination of the how these devices, other than those lease agreement, as a condition prece- painted directly on the equipment, will dent to payment, the lessor shall re- be returned to the carrier. The lease move all identification devices of the shall clearly specify the manner in authorized carrier and, except in the which a receipt will be given to the au- case of identification painted directly thorized carrier by the equipment on equipment, return them to the car- owner when the latter retakes posses- rier. If the identification device has sion of the equipment upon termi- been lost or stolen, a letter certifying nation of the lease agreement, if a re- its removal will satisfy this require- ceipt is required at all by the lease. ment. Until this requirement is com- The lease shall clearly specify the re- plied with, the carrier may withhold sponsibility of each party with respect final payment. The authorized carrier to the cost of fuel, fuel taxes, empty may require the submission of addi- mileage, permits of all types, tolls, fer- tional documents by the lessor but not ries, detention and accessorial services, as a prerequisite to payment. Payment base plates and licenses, and any un- to the lessor shall not be made contin- used portions of such items. The lease gent upon submission of a bill of lading shall clearly specify who is responsible to which no exceptions have been for loading and unloading the property taken. The authorized carrier shall not onto and from the motor vehicle, and set time limits for the submission by the compensation, if any, to be paid for the lessor of required delivery docu- this service. Except when the violation ments and other paperwork. results from the acts or omissions of (g) Copies of freight bill or other form of the lessor, the authorized carrier lessee freight documentation. When a lessor’s shall assume the risks and costs of revenue is based on a percentage of the fines for overweight and oversize trail- gross revenue for a shipment, the lease ers when the trailers are pre-loaded, must specify that the authorized car- sealed, or the load is containerized, or rier will give the lessor, before or at when the trailer or lading is otherwise the time of settlement, a copy of the
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rated freight bill or a computer-gen- further specify who is responsible for erated document containing the same providing any other insurance coverage information, or, in the case of contract for the operation of the leased equip- carriers, any other form of documenta- ment, such as bobtail insurance. If the tion actually used for a shipment con- authorized carrier will make a charge taining the same information that back to the lessor for any of this insur- would appear on a rated freight bill. ance, the lease shall specify the When a computer-generated document amount which will be charged-back to is provided, the lease will permit lessor the lessor. to view, during normal business hours, (2) If the lessor purchases any insur- a copy of any actual document under- ance coverage for the operation of the lying the computer-generated docu- leased equipment from or through the ment. Regardless of the method of authorized carrier, the lease shall compensation, the lease must permit specify that the authorized carrier will lessor to examine copies of the car- provide the lessor with a copy of each rier’s tariff or, in the case of contract policy upon the request of the lessor. carriers, other documents from which rates and charges are computed, pro- Also, where the lessor purchases such vided that where rates and charges are insurance in this manner, the lease computed from a contract of a contract shall specify that the authorized car- carrier, only those portions of the con- rier will provide the lessor with a cer- tract containing the same information tificate of insurance for each such pol- that would appear on a rated freight icy. Each certificate of insurance shall bill need be disclosed. The authorized include the name of the insurer, the carrier may delete the names of ship- policy number, the effective dates of pers and consignees shown on the the policy, the amounts and types of freight bill or other form of docu- coverage, the cost to the lessor for mentation. each type of coverage, and the deduct- (h) Charge-back items. The lease shall ible amount for each type of coverage clearly specify all items that may be for which the lessor may be liable. initially paid for by the authorized car- (3) The lease shall clearly specify the rier, but ultimately deducted from the conditions under which deductions for lessor’s compensation at the time of cargo or property damage may be made payment or settlement, together with from the lessor’s settlements. The a recitation as to how the amount of lease shall further specify that the au- each item is to be computed. The lessor thorized carrier must provide the les- shall be afforded copies of those docu- sor with a written explanation and ments which are necessary to deter- itemization of any deductions for cargo mine the validity of the charge. or property damage made from any (i) Products, equipment, or services from compensation of money owed to the authorized carrier. The lease shall speci- lessor. The written explanation and fy that the lessor is not required to itemization must be delivered to the purchase or rent any products, equip- lessor before any deductions are made. ment, or services from the authorized (k) Escrow funds. If escrow funds are carrier as a condition of entering into required, the lease shall specify: the lease arrangement. The lease shall specify the terms of any agreement in (1) The amount of any escrow fund or which the lessor is a party to an equip- performance bond required to be paid ment purchase or rental contract by the lessor to the authorized carrier which gives the authorized carrier the or to a third party. right to make deductions from the les- (2) The specific items to which the es- sor’s compensation for purchase or crow fund can be applied. rental payments. (3) That while the escrow fund is (j) Insurance. (1) The lease shall clear- under the control of the authorized ly specify the legal obligation of the carrier, the authorized carrier shall authorized carrier to maintain insur- provide an accounting to the lessor of ance coverage for the protection of the any transactions involving such fund. public pursuant to FHWA regulations The carrier shall perform this account- under 49 U.S.C. 13906. The lease shall ing in one of the following ways:
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(i) By clearly indicating in individual obligated to ensure that these owners settlement sheets the amount and de- receive all the rights and benefits due scription of any deduction or addition an owner under the leasing regulations, made to the escrow fund; or especially those set forth in paragraphs (ii) By providing a separate account- (d)–(k) of this section. This is true re- ing to the lessor of any transactions in- gardless of whether the lease for the volving the escrow fund. This separate equipment is directly between the au- accounting shall be done on a monthly thorized carrier and its agent rather basis. than directly between the authorized (4) The right of the lessor to demand carrier and each of these owners. The to have an accounting for transactions lease between an authorized carrier involving the escrow fund at any time. and its agent shall specify this obliga- (5) That while the escrow fund is tion. under the control of the carrier, the [44 FR 4681, Jan. 23, 1979, as amended at 45 carrier shall pay interest on the escrow FR 13092, Feb. 28, 1980; 47 FR 28398, June 30, fund on at least a quarterly basis. For 1982; 47 FR 51140, Nov. 12, 1982; 47 FR 54083, purposes of calculating the balance of Dec. 1, 1982; 49 FR 47851, Dec. 7, 1984; 51 FR the escrow fund on which interest must 37406, 37407, Oct. 22, 1986; 52 FR 2412, Jan. 22, be paid, the carrier may deduct a sum 1987; 57 FR 32905, July 24, 1992; 62 FR 15424, equal to the average advance made to Apr. 1, 1997] the individual lessor during the period of time for which interest is paid. The Subpart C—Exemptions for the interest rate shall be established on Leasing Regulations the date the interest period begins and shall be at least equal to the average § 376.21 General exemptions. yield or equivalent coupon issue yield Except for § 376.11(c) which requires on 91-day, 13-week Treasury bills as es- the identification of equipment, the tablished in the weekly auction by the leasing regulations in this part shall Department of Treasury. not apply to: (6) The conditions the lessor must fulfill in order to have the escrow fund (a) Equipment used in substituted returned. At the time of the return of motor-for-rail transportation of rail- the escrow fund, the authorized carrier road freight moving between points may deduct monies for those obliga- that are railroad stations and on rail- tions incurred by the lessor which have road billing. been previously specified in the lease, (b) Equipment used in transportation and shall provide a final accounting to performed exclusively within any com- the lessor of all such final deductions mercial zone as defined by the Sec- made to the escrow fund. The lease retary. shall further specify that in no event (c) Equipment leased without drivers shall the escrow fund be returned later from a person who is principally en- than 45 days from the date of termi- gaged in such a business. nation. (d) Any type of trailer not drawn by (l) Copies of the lease. An original and a power unit leased from the same les- two copies of each lease shall be signed sor. by the parties. The authorized carrier [44 FR 4681, Jan. 23, 1979. Redesignated at 61 shall keep the original and shall place FR 54707, Oct. 21, 1996, as amended at 62 FR a copy of the lease on the equipment 15424, Apr. 1, 1997] during the period of the lease unless a statement as provided for in § 376.22 Exemption for private carrier § 376.11(c)(2) is carried on the equipment leasing and leasing between author- instead. The owner of the equipment ized carriers. shall keep the other copy of the lease. Regardless of the leasing regulations (m) This paragraph applies to owners set forth in this part, an authorized who are not agents but whose equip- carrier may lease equipment to or from ment is used by an agent of an author- another authorized carrier, or a private ized carrier in providing transportation carrier may lease equipment to an au- on behalf of that authorized carrier. In thorized carrier under the following this situation, the authorized carrier is conditions:
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(a) The identification of equipment tween such carriers will be subject to requirements in § 376.11(c) must be com- all other requirements of this section. plied with; [49 FR 9570, Mar. 14, 1984, as amended at 49 (b) The lessor must own the equip- FR 47269, Dec. 3, 1984; 49 FR 47851, Dec. 7, ment or hold it under a lease; 1984; 62 FR 15424, Apr. 1, 1997; 63 FR 40838, (c) There must be a written agree- July 31, 1998] ment between the authorized carriers or between the private carrier and au- § 376.26 Exemption for leases between thorized carrier, as the case may be, authorized carriers and their agents. concerning the equipment as follows: (1) It must be signed by the parties or The leasing regulations set forth in their authorized representatives. § 376.12(e) through (l) do not apply to (2) It must provide that control and leases between authorized carriers and their agents. responsibility for the operation of the equipment shall be that of the lessee [47 FR 28398, June 30, 1982, as amended at 62 from the time possession is taken by FR 15424, Apr. 1, 1997] the lessee and the receipt required under § 376.11(b) is given to the lessor Subpart D—Interchange until: (i) Possession of the equipment is Regulations returned to the lessor and the receipt required under § 376.11(b) is received by § 376.31 Interchange of equipment. the authorized carrier; or (ii) in the Authorized common carriers may event that the agreement is between interchange equipment under the fol- authorized carriers, possession of the lowing conditions: equipment is returned to the lessor or (a) Interchange agreement. There shall given to another authorized carrier in be a written contract, lease, or other an interchange of equipment. arrangement providing for the inter- (3) A copy of the agreement must be change and specifically describing the carried in the equipment while it is in equipment to be interchanged. This the possession of the lessee. written agreement shall set forth the (4) Nothing in this section shall pro- specific points of interchange, how the hibit the use, by authorized carriers, equipment is to be used, and the com- private carriers, and all other entities pensation for such use. The inter- conducting lease operations pursuant change agreement shall be signed by to this section, of a master lease if a the parties or by their authorized rep- copy of that master lease is carried in resentatives. the equipment while it is in the posses- (b) Operating authority. The carriers sion of the lessee, and if the master participating in the interchange shall lease complies with the provisions of be registered with the Secretary to this section and receipts are exchanged provide the transportaiton of the com- modities at the point where the phys- in accordance with § 376.11(b), and if ical exchange occurs. records of the equipment are prepared (c) Through bills of lading. The traffic and maintained in accordance with transported in interchange service § 376.11(d). must move on through bills of lading (d) Authorized and private carriers issued by the originating carrier. The under common ownership and control rates charged and the revenues col- may lease equipment to each other lected must be accounted for in the under this section without complying same manner as if there had been no with the requirements of paragraph (a) interchange. Charges for the use of the of this section pertaining to identifica- interchanged equipment shall be kept tion of equipment, and the require- separate from divisions of the joint ments of paragraphs (c)(2) and (c)(4) of rates or the proportions of such rates this section pertaining to equipment accruing to the carriers by the applica- receipts. The leasing of equipment be- tion of local or proportional rates.
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(d) Identification of equipment. The au- Subpart E—Private Carriers and thorized common carrier receiving the Shippers equipment shall identify equipment op- erated by it in interchange service as § 376.42 Lease of equipment by regu- follows: lated carriers. (1) The authorized common carrier Authorized carriers may lease equip- shall identify power units in accord- ment and drivers from private carriers, ance with the FHWA’s requirements in for periods of less than 30 days, in the 49 CFR part 390 of this chapter (Identi- manner set forth in § 376.22. fication of Vehicles). Before giving up [49 FR 9570, Mar. 14, 1984, as amended at 51 possession of the equipment, the car- FR 37034, Oct. 17, 1986; 62 FR 15424, Apr. 1, rier shall remove all identification 1997] showing it as the operating carrier. (2) Unless a copy of the interchange PART 377—PAYMENT OF agreement is carried on the equipment, TRANSPORTATION CHARGES the authorized common carrier shall carry a statement with each vehicle Subpart A—Handling of C.O.D. Shipments during interchange service certifying Sec. that it is operating the equipment. The 377.101 Applicability. statement shall also identify the equip- 377.103 Tariff requirements. ment by company or State registration 377.105 Collection and remittance. number and shall show the specific point of interchange, the date and time Subpart B—Extension of Credit to Shippers it assumes responsibility for the equip- by Motor Common Carriers, Water ment, and the use to be made of the Common Carriers, and Household equipment. This statement shall be Goods Freight Forwarders signed by the parties to the inter- 377.201 Scope. change agreement or their authorized 377.203 Extension of credit to shippers. representatives. The requirements of 377.205 Presentation of freight bills. this paragraph shall not apply where 377.207 Effect of mailing freight bills or pay- ments. the equipment to be operated in inter- 377.209 Additional charges. change service consists only of trailers 377.211 Computation of time. or semitrailers. 377.213 [Reserved] (3) Authorized carriers under com- 377.215 Household goods shipments by mon ownership and control may inter- motor common carriers. 377.217 Interline settlement of revenues. change equipment with each other without complying with the require- AUTHORITY: 49 U.S.C. 13101, 13301, 13701– ments of paragraph (d)(1) of this sec- 13702, 13706, 13707, and 14101; 49 CFR 1.48. tion pertaining to removal of identi- fication from equipment. Subpart A—Handling of C.O.D. (e) Connecting carriers considered as Shipments owner—An authorized carrier receiving equipment in connection with a SOURCE: 32 FR 20050, Dec. 20, 1967, unless through movement shall be considered otherwise noted. Redesignated at 61 FR 54708, Oct. 21, 1996. to the owner of the equipment for the purpose of leasing the equipment to § 377.101 Applicability. other authorized carriers in further- The rules and regulations in this part ance of the movement to destination or apply to the transportation by motor the return of the equipment after the vehicle of c.o.d. shipments by all com- movement is completed. mon carriers of property subject to 49 [44 FR 4681, Jan. 23, 1979. Redesignated at 61 U.S.C. 13702, except such transpor- FR 54707, Oct. 21, 1996, as amended at 62 FR tation which is auxiliary to or supple- 15424, Apr. 1, 1997; 63 FR 40838, July 31, 1998] mental of transportation by railroad
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and performed on railroad bills of lad- § 377.201 Scope. ing, and except such transportation (a) General. These regulations apply which is performed for freight for- to the extension of credit in the trans- warders and on freight forwarder bills portation of property under Federal of lading. Highway Administration regulation by [32 FR 20050, Dec. 20, 1967. Redesignated at 61 motor carriers and household goods FR 54708, Oct. 21, 1996, as amended at 62 FR freight forwarders, except as otherwise 15424, Apr. 1, 1997] provided. (b) Exceptions. These regulations do § 377.103 Tariff requirements. not apply to— No common carrier of property sub- (1) Contract carriage operations. (2) Transportation for— ject to the provisions of 49 U.S.C. 13702, (i) The United States or any depart- except as otherwise provided in ment, bureau, or agency thereof, § 377.101, shall render any c.o.d. service (ii) Any State, or political subdivi- unless such carrier has published, post- sion thereof, ed and filed tariffs which contain the (iii) The District of Columbia. rates, charges and rules governing such (3) Property transportation inciden- service, which rules shall conform to tal to passenger operations. the regulations in this part. [50 FR 2290, Jan. 16, 1985, as amended at 51 [32 FR 20050, Dec. 20, 1967. Redesignated at 61 FR 44297, Dec. 9, 1986; 62 FR 15424, Apr. 1, FR 54708, Oct. 21, 1996, as amended at 62 FR 1997] 15424, Apr. 1, 1997] § 377.203 Extension of credit to ship- § 377.105 Collection and remittance. pers. Every common carrier of property (a) Authorization to extend credit. (1) A subject to 49 U.S.C. 13702, except as carrier that meets the requirements in otherwise provided in § 377.101, which paragraph (a)(2) of this section may— chooses to provide c.o.d. service may (i) Relinquish possession of freight in publish and maintain, or cause to be advance of the payment of the tariff published and maintained for its ac- charges, and count, a tariff or tariffs which set forth (ii) Extend credit in the amount of nondiscriminatory rules governing such charges to those who undertake c.o.d. service and the collection and re- to pay them (such persons are called mittance of c.o.d. funds. Alternatively, shippers in this part). any carrier that provides c.o.d. service, (2) For such authorization, the car- rier shall take reasonable actions to but does not wish to publish and main- assure payment of the tariff charges tain, or cause to be published and within the credit periods specified— maintained, its own nondiscriminatory (i) In this part, or tariff, may adopt a rule requiring re- (ii) In tariff provisions published pur- mittance of each c.o.d. collection di- suant to the regulations in paragraph rectly to the consignor or other person (d) of this section. designated by the consignor as payee (b) When the credit period begins. The within fifteen (15) days after delivery of credit period shall begin on the day fol- the c.o.d. shipment to the consignee. lowing presentation of the freight bill. [52 FR 45966, Dec. 3, 1987, as amended at 62 (c) Length of credit period. Unless a FR 15424, Apr. 1, 1997] different credit period has been estab- lished by tariff publication pursuant to Subpart B—Extension of Credit to paragraph (d) of this section, the credit period is 15 days. It includes Saturdays, Shippers by Motor Common Sundays, and legal holidays. Carriers, Water Common Car- (d) Carriers may establish different riers, and Household Goods credit periods in tariff rules. Carriers Freight Forwarders may publish tariff rules establishing credit periods different from those in SOURCE: 50 FR 2290, Jan 16, 1985, unless oth- paragraph (c) of this section. Such erwise noted. Redesignated at 61 FR 54709, credit periods shall not be longer than Oct. 21, 1996. 30 calendar days.
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(e) Service charges. (1) Service charges (g)(1) Collection expense charges. Car- shall not apply when credit is extended riers may, by tariff rule, assess reason- and payments are made within the able and certain liquidated damages for standard credit period. The term stand- all costs incurred in the collection of ard credit period, as used in the preced- overdue freight charges. Carriers may ing sentence, means— use one of two methods in their tariffs: (i) The credit period prescribed in (i) The first method is to assess liq- paragraph (c) of this section, or uidated damages as a separate addi- (ii) A substitute credit period pub- tional charge to the unpaid freight bill. lished in a tariff rule pursuant to the In doing so, the tariff rule shall dis- authorization in paragraph (d) of this close the exact amount of the charges section. by stating either a dollar or specified (2) Carriers may, by tariff rule, ex- percentage amount (or a combination tend credit for an additional time pe- of both) of the unpaid freight bill. The riod, subject if they wish to a service tariff shall further specify the time pe- charge for that additional time. The riod (which shall at least allow for the combined length of the carrier’s stand- authorized credit period) within which ard credit period (as defined in para- the shipper must pay to avoid such liq- graph (e)(1) of this section) and its ad- uidated damages. ditional credit period shall not exceed (ii) The second method is to require the 30-day maximum credit period pre- payment of the full, nondiscounted scribed in paragraph (d) of this section. rate instead of the discounted rate oth- When such a tariff rule is in effect, erwise applicable. The difference be- shippers may elect to postpone pay- tween the discount and the full rate ment until the end of the extended constitutes a carrier’s liquidated dam- credit period if, in consideration there- ages for its collection effort. Under this for, they include any published service method the tariff shall identify the dis- charges when making their payment. count rates that are subject to the con- (3) Carriers may, by tariff rule, estab- dition precedent and which require the lish service charges for payments made shipper to make payment by a date after the expiration of an authorized certain. The date certain may not be credit period. Such a rule shall— set to occur by the carrier until at (i) Institute such charges on the day least after the expiration of the car- following the last day of an authorized rier’s authorized credit period. credit period, and (2) The damages, the timing of their (ii) Notify shippers— applicability, and the conditions, if (A) That its only purpose is to pre- any, as provided by the tariff-rule vent a shipper who does not pay on methods allowed under paragraphs time from having free use of funds due (g)(1) (i) and (ii) of this section also: to the carrier, (i) Shall be clearly described in the (B) That it does not sanction pay- tariff rule; ment delays, and (ii) Shall be applied without unlawful (C) That failure to pay within the au- prejudice and/or unjust discrimination thorized credit period will, despite this between similarly situated shippers provision for such charges, continue to and/or consignees; require the carrier, before again ex- (iii) Shall be applied only to the non- tending credit, to determine in good payment of original, separate and inde- faith whether the shipper will comply pendent freight bills and shall not with the credit regulations in the fu- apply to aggregate balance-due claims ture. sought for collection on past shipments (4) Tariff rules that establish charges by a bankruptcy trustee, or any other pursuant to paragraph (e) (2) or (3) of person or agent; this section may establish minimum (iv) Shall not apply to instances of charges. clear clerical or ministerial error such (f) Discounts. Carriers may, by tariff as non-receipt of a carrier’s freight rule, authorize discounts for early bill, or shipper’s payment check lost in freight bill payments when credit is ex- the mail, or carrier mailing of the tended. freight bill to the wrong address;
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(v) Shall not apply in any way to a (2) The time period for a carrier to charge for a transportation service if present its freight bill for all transpor- the carrier’s bill of lading independ- tation charges shall be 7 days, meas- ently provides that the shipper is liable ured from the date the shipment was for fees incurred by the carrier in the delivered at its destination. This time collection of freight charges on that period does not include Saturdays, same transportation service; Sundays, or legal holidays. (vi) shall be applied only after the (c) Bills or accompanying written no- authorized credit period, and when the tices shall state penalties for late pay- carrier has issued a revised freight bill ment, credit time limits and service charge or notice of imposition of collection ex- and/or collection expense charge and dis- pense charges for late payment within count terms. When credit is extended, 90 days after expiration of the author- freight bills or a separate written no- ized credit period. tice accompanying a freight bill or a (3) As an alternative to the tariff-rule group of freight bills presented at one methods allowed under paragraphs time shall state that ‘‘failure timely to (g)(1) (i) and (ii) of this section, a car- pay freight charges may be subject to rier may, wholly outside of its tariff, tariff penalties’’ (or a statement of assess collection charges though con- similar import). The bills or other no- tract terms in a bill of lading. By using tice shall also state the time by which the carrier and its bill of lading, the payment must be made and any appli- shipper accepts the bill of lading cable service charge and/or collection terms. expense charge and discount terms. (h) Discrimination prohibited. Tariff (d) When the carrier lacks sufficient in- rules published pursuant to paragraphs formation to compute tariff charges. (1) (d), (e), and (f) of this section shall not When information sufficient to enable result in unreasonable discrimination the carrier to compute the tariff among shippers. charges is not then available to the [50 FR 2290, Jan 16, 1985, as amended at 53 FR carrier at its billing point, the carrier 6991, Mar. 4, 1988; 54 FR 30748, July 24, 1989] shall present its freight bill for pay- ment within 7 days following the day § 377.205 Presentation of freight bills. upon which sufficient information be- (a) ‘‘To be prepaid’’ shipments. (1) On comes available at the billing point. ‘‘to be prepaid’’ shipments, the carrier This time period does not include Sat- shall present its freight bill for all urdays, Sundays, or legal holidays. transportation charges within the time (2) A carrier shall not extend further period prescribed in paragraph (a)(2) of credit to any shipper which fails to fur- this section, except— nish sufficient information to allow the (i) As noted in paragraph (d) of this carrier to render a freight bill within a section, or reasonable time after the shipment is (ii) As otherwise excepted in this tendered to the origin carrier. part. (3) As used in this paragraph, the (2) The time period for a carrier to term ‘‘shipper’’ includes, but is not present its freight bill for all transpor- limited to, freight forwarders, and tation charges shall be 7 days, meas- shippers’ associations and shippers’ ured from the date the carrier received agents. the shipment. This time period does [50 FR 2290, Jan 16, 1985, as amended at 54 FR not include Saturdays, Sundays, or 30748, July 24, 1989; 62 FR 15424, Apr. 1, 1997] legal holidays. (b) ‘‘Collect’’ shipments. (1) On ‘‘col- § 377.207 Effect of mailing freight bills lect’’ shipments, the carrier shall or payments. present its freight bill for all transpor- (a) Presentation of freight bills by mail. tation charges within the time period When carriers present freight bills by prescribed in paragraph (b)(2) and of mail, the time of mailing shall be this section, except— deemed to be the time of presentation (i) As noted in paragraph (d) of this of the bills. The term freight bills, as section, or used in this paragraph, includes both (ii) As otherwise excepted in this paper documents and billing by use of part. electronic media such as computer
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tapes or disks, when the mails are used (2) The shipper forces an involuntary to transmit them. extension of credit by the carrier by (b) Payment by mail. Wnen shippers causing the charge card issuer to re- mail acceptable checks, drafts, or verse the charge transaction and money orders in payment of freight charge payments back to the carrier’s charges, the act of mailing them with- account. in the credit period shall be deemed to (c) Exceptions—House goods credit ship- be the collection of the tariff charges ments. The provisions in paragraphs (c) within the credit period for the pur- (1) through (3) of this section are excep- poses of the regulations in this part. tions to the other regulations in this (c) Disputes as to date of mailing. In part. They apply to credit extensions case of dispute as to the date of mail- for household goods transportation by ing, the postmark shall be accepted as motor common carriers (except as pro- such date. vided in paragraph (a) of this section)— (1) A freight bill shall be presented § 377.209 Additional charges. within 15 days (excluding Saturdays, When a carrier— Sundays, and legal holidays) of the (a) Has collected the amount of tariff date of delivery of a shipment at its charges represented in a freight bill destination. presented by it as the total amount of (2) The credit of period is 7 days (ex- such charges, and cluding Saturdays, Sundays, and legal (b) Thereafter presents to the shipper holidays). another freight bill for additional (3) Motor Common carriers of house- charges— hold goods must provide in their tariffs the carrier may extend credit in the that— amount of such additional charges for (i) The credit period shall automati- a period of 30 calendar days from the cally be extended to a total of 30 cal- date of the presentation of the freight endar days for any shipper who has not bill for the additional charges. paid the carrier’s freight bill within the 7-day period. § 377.211 Computation of time. (ii) Such shipper will be assessed a Time periods involving calendar days service charge by the carrier equal to 1 shall be calculated pursuant to 49 CFR percent of the amount of the freight 386.32(a). bill, subject to a $10 minimum charge, [50 FR 2290, Jan 16, 1985. Redesignated at 61 for such extension of the credit period, FR 54709, Oct. 21, 1996, as amended at 62 FR and 15424, Apr. 1, 1997] (iii) No such carrier shall grant cred- it to any shipper who fails to pay a § 377.213 [Reserved] duly presented freight bill within the § 377.215 Household goods shipments 30-day period, unless and until such by motor common carriers. shipper affirmatively satisfies the car- rier that all future freight bills duly (a) Exceptions—Household goods ‘‘col- presented will be paid strictly in ac- lect on delivery’’ shipments. The regula- cordance with the rules and regula- tions in the other sections of this part tions prescribed by the Commission for and in paragraph (c) of this section do the settlement of carrier rates and not apply when the carrier is required charges. by 49 CFR 375.3(d) to relinquish posses- sion of an otherwise ‘‘collect on deliv- [50 FR 2290, Jan 16, 1985. Redesignated at 61 ery’’ household goods shipment in ad- FR 54709, Oct. 21, 1996, as amended at 62 FR vance of payment of all of the charges. 15424, Apr. 1, 1997] (b) Charge card reversed transactions. The regulations of this part apply § 377.217 Interline settlement of reve- when— nues. (1) Charges for household goods Nothing in this part shall be inter- movements are paid by use of charge preted as affecting the interline settle- cards pursuant to 49 CFR 375.19, and ment of revenues from traffic which is
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transported over through routes com- (c) Duplicate payment means two or posed of lines of common carriers sub- more payments for transporting the ject to the Secretary’s jurisdiction same shipment. Where one or more under 49 U.S.C. subtitle IV, part B. payment is not in the exact amount of the applicable tariff rates and charges, [50 FR 2290, Jan 16, 1985. Redesignated at 61 FR 54709, Oct. 21, 1996, as amended at 62 FR refunds shall be made on the basis of 15424, Apr. 1, 1997] the excess amount over the applicable tariff rates and charges. PART 378—PROCEDURES GOVERN- (d) Overcollection means the receipt by a household goods carrier of a pay- ING THE PROCESSING, INVES- ment in excess of the transportation TIGATION, AND DISPOSITION OF and/or accessorial charges applicable to OVERCHARGE, DUPLICATE PAY- a particular shipment of household MENT, OR OVERCOLLECTION goods, as defined in part 375 of this CLAIMS chapter, under tariffs lawfully on file with the United States Department of Sec. Transportation’s Surface Transpor- 378.1 Applicability. tation Board. 378.2 Definitions. (e) Unidentified payment means a pay- 378.3 Filing and processing claims. 378.4 Documentation of claims. ment which a carrier has received but 378.5 Investigation of claims. which the carrier is unable to match 378.6 Claim records. with its open accounts receivable or 378.7 Acknowledgment of claims. otherwise identify as being due for the 378.8 Disposition of claims. performance of transportation services. 378.9 Disposition of unidentified payments, (f) Claimant means any shipper or re- overcharges, duplicate payments, and ceiver, or its authorized agent, filing a overcollections not supported by claims. request with a carrier for the refund of AUTHORITY: 49 U.S.C. 13321, 14101, 14704, and an overcharge, duplicate payment, or 14705; 49 CFR 1.48. overcollection. SOURCE: 43 FR 41040, Sept. 14, 1978, unless [43 FR 41040, Sept. 14, 1978, as amended at 44 otherwise noted. Redesignated at 61 FR 54707, FR 66832, Nov. 21, 1979; 51 FR 34989, Oct. 1, Oct. 21, 1996. 1986; 51 FR 44297, Dec. 9, 1986; 62 FR 15424, Apr. 1, 1997] § 378.1 Applicability. The regulations set forth in this part § 378.3 Filing and processing claims. govern the processing of claims for (a) A claim for overcharge, duplicate overcharge, duplicate payment, or payment, or overcollection shall not be overcollection for the transportation of paid unless filed in writing or elec- property in interstate or foreign com- tronically communicated (when agreed merce by motor common carriers and to by the carrier and shipper or re- household goods freight forwarders ceiver involved) with the carrier that subject to 49 U.S.C. subtitle IV, part B. collected the transportation charges. [43 FR 41040, Sept. 14, 1978, as amended at 51 The collecting carrier shall be the car- FR 44297, Dec. 9, 1986; 62 FR 15424, Apr. 1, rier to process all such claims. When a 1997] claim is filed with another carrier that participated in the transportation, § 378.2 Definitions. that carrier shall transmit the claim to (a) Carrier means a motor common the collecting carrier within 15 days carrier or household goods freight for- after receipt of the claim. If the col- warder subject to 49 U.S.C. subtitle IV, lecting carrier is unable to dispose of part B. the claim for any reason, the claim (b) Overcharge means an overcharge may be filed with or transferred to any as defined in 49 U.S.C. 14704(b). It also participating carrier for final disposi- includes duplicate payments as defined tion. in paragraph (c) of this section and (b) A single claim may include more overcollections as defined in paragraph than one shipment provided the claim (d) of this section when a dispute exists on each shipment involves: between the parties concerning such (1) The same tariff issue or authority charges. or circumstances,
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(2) Single line service by the same ant which indemnifies the carrier for carrier, or subsequent duplicate claims which (3) Service by the same interline car- might be filed and supported by the riers. original documents. [43 FR 41040, Sept 14, 1978, as amended at 47 [43 FR 41040, Sept. 14, 1978, as amended at 44 FR 12804, Mar. 25, 1982] FR 4679, Jan. 23, 1979; 47 FR 12804, Mar. 25, 1982; 62 FR 15424, Apr. 1, 1997] § 378.4 Documentation of claims. (a) Claims for overcharge, duplicate § 378.5 Investigation of claims. payment, or overcollection shall be ac- (a) Upon receipt of a claim, whether companied by sufficient information to written or otherwise, the processing allow the carriers to conduct an inves- carrier shall promptly initiate an in- tigation and pay or decline the claim vestigation and establish a file, as re- within the time limitations set forth in quired by § 378.6. § 378.8. Claims shall include the name of (b) If a carrier discovers an over- the claimant, its file number, if any, charge, duplicate payment, or over- and the amount of the refund sought to collection which has not been the sub- be recovered, if known. ject of a claim, it shall promptly initi- (b) Except when the original freight ate an investigation and comply with bill is not a paper document but is elec- the provisions in § 378.9. tronically transmitted, claims for overcharge shall be accompanied by (c) In the event the carrier processing the original freight bill. Additional in- the claim requires information or doc- formation may include, but is not lim- uments in addition to that submitted ited to, the following: with the claim, the carrier shall (1) The rate, classification, or com- promptly notify the claimant and re- modity description or weight claimed quest the information required. This to have been applicable. includes notifying the claimant that a (2) Complete tariff authority for the written or electronically transmitted rate, classification, or commodity de- claim must be filed before the carrier scription claimed. becomes subject to the time limits for (3) Freight bill payment information. settling such a claim under § 378.8. (4) Other documents or data which is [43 FR 41040, Sept. 14, 1978, as amended at 47 believed by claimant to substantiate FR 12804, Mar. 25, 1982; 62 FR 15424, 15425, the basis for its claim. Apr. 1, 1997] (c) Claims for duplicate payment and overcollection shall be accompanied by § 378.6 Claim records. the original freight bill(s) for which At the time a claim is received the charges were paid (except when the carrier shall create a separate file and original freight bill is not a paper docu- assign it a successive claim file number ment but is electronically transmitted) and note that number on all documents and by freight bill payment informa- filed in support of the claim and all tion. records and correspondence with re- (d) Regardless of the provisions of spect to the claim, including the writ- paragraphs (a), (b), and (c) of this sec- ten or electronic acknowledgment of tion, the failure to provide sufficient receipt required under § 378.7. If perti- information and documentation to nent to the disposition of the claim, allow a carrier to conduct an investiga- the carrier shall also note that number tion and pay or decline the claim with- on the shipping order and delivery re- in the allowable time limitation shall ceipt, if any, covering the shipment in- not constitute grounds for disallow- volved. ance of the claim. Rather, the carrier shall comply with § 378.5(c) to obtain [47 FR 12804, Mar. 25, 1982, as amended at 62 the additional information required. FR 15425, Apr. 1, 1997] (e) A carrier shall accept copies in- stead of the orginal documents re- § 378.7 Acknowledgment of claims. quired to be submitted in this section Upon receipt of a written or elec- where the carrier is furnished with an tronically transmitted claim, the car- agreement entered into by the claim- rier shall acknowledge its receipt in
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writing or electronically to the claim- information the carrier is able to pro- ant within 30 days after the date of re- vide. The final notice also must inform ceipt except when the carrier shall payor that: (i) Applicable regulations have paid or declined in writing or allow the carrier to conditionally re- electronically within that period. The tain the payment as revenue in the ab- carrier shall include the date of receipt sence of a timely response by the in its written or electronic claim which payor; and (ii) following the 90-day pe- shall be placed in the file for that riod the regular claims procedure shall claim. be applicable. (3) Upon a carrier’s receipt of infor- [47 FR 12804, Mar. 25, 1982] mation from the payor, the carrier shall, within 14 days: (i) Make a com- § 378.8 Disposition of claims. plete refund of such funds to the payor; The processing carrier shall pay, de- or (ii) notify the payor that the infor- cline to pay, or settle each written or mation supplied is not sufficient to electronically communicated claim identify the unapplied payment and re- within 60 days after its receipt by that quest additional information; or (iii) carrier, except where the claimant and notify the payor of the carrier’s deter- the carrier agree in writing or elec- mination that such payment was appli- tronically to a specific extension based cable to particular freight charges law- upon extenuating circumstances. If the fully due the carrier. Where no refund carrier declines to pay a claim or is made by the carrier, the carrier shall makes settlement in an amount dif- advise the payor of its right to file a ferent from that sought, the carrier formal claim for refund with the car- shall notify the claimant in writing or rier in accordance with the regular electronically, of the reason(s) for its claims procedure under this part. action, citing tariff authority or other (b) When a carrier which participates pertinent information developed as a in a transportation movement, but did result of its investigation. not collect the transporation charges, finds that an overpayment has been [47 FR 12804, Mar. 25, 1982] made, that carrier shall immediately § 378.9 Disposition of unidentified pay- notify the collecting carrier. When the ments, overcharges, duplicate pay- collecting carrier (when single or joint ments, and overcollections not sup- line haul) discovers or is notified by ported by claims. such a participating carrier that an (a)(1) Carriers shall establish proce- overcharge, duplicate payment, or dures for identifying and properly ap- overcollection exists for any plying all unidentified payments. If a tranportation charge which has not carrier does not have sufficient infor- been the subject of a claim, the carrier mation with which properly to apply shall create a file as if a claim had such a payment, the carrier shall no- been submitted and shall record in the tify the payor of the unidentified pay- file the date it discovered or was noti- ment within 60 days of receipt of the fied of the overpayment. The carrier payment and request information that collected the charges shall then which will enable it to identify the refund the amount of the overpayment payment. If the carrier does not receive to the person who paid the transpor- the information requested within 90 tation charges or to the person that days from the date of the notice, the made duplicate payment within 30 days carrier may treat the unidentified pay- from the date of such discovery or noti- ment as a payment in fact of freight fication. charges owing to it. Following the 90- [43 FR 41040, Sept. 14, 1978, as amended at 44 day period, the regular claims proce- FR 66832, Nov. 21, 1979] dure under this part shall be applica- ble. PART 379—PRESERVATION OF (2) Notice shall be in writing and RECORDS clearly indicate that it is a final notice and not a bill. Notice shall include: The Sec. check number, amount, and date; the 379.1 Applicability. payor’s name; and any additional basic 379.3 Records required to be retained.
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379.5 Protection and storage of records. humidity, dryness, or lack of ventila- 379.7 Preservation of records. tion. 379.9 Companies going out of business. (b) The company shall notify the Sec- 379.11 Waiver of requirements of the regula- retary if prescribed records are sub- tions in this part. stantially destroyed or damaged before 379.13 Disposition and retention of records. the term of the prescribed retention pe- APPENDIX A TO PART 379—SCHEDULE OF riods. RECORDS AND PERIODS OF RETENTION
AUTHORITY: 49 U.S.C. 13301, 14122 and 14123; § 379.7 Preservation of records. 49 CFR 1.48. (a) All records may be preserved by SOURCE: 62 FR 32044, June 12, 1997, unless any technology that is immune to al- otherwise noted. teration, modification, or erasure of the underlying data and will enable § 379.1 Applicability. production of an accurate and (a) The preservation of record rules unaltered paper copy. contained in this part shall apply to (b) Records not originally preserved the following: on hard copy shall be accompanied by a statement executed by a person having (1) Motor carriers and brokers; personal knowledge of the facts indi- (2) Water carriers; and cating the type of data included within (3) Household goods freight for- the records. One comprehensive state- warders. ment may be executed in lieu of indi- (b) This part applies also to the pres- vidual statements for multiple records ervation of accounts, records and if the type of data included in the mul- memoranda of traffic associations, tiple records is common to all such weighing and inspection bureaus, and records. The records shall be indexed other joint activities maintained by or and retained in such a manner as will on behalf of companies listed in para- render them readily accessible. The graph (a) of this section. company shall have facilities available to locate, identify and produce legible § 379.3 Records required to be re- paper copies of the records. tained. (c) Any significant characteristic, Companies subject to this part shall feature or other attribute that a par- retain records for the minimum reten- ticular medium will not preserve shall tion periods provided in appendix A to be clearly indicated at the beginning of this part. After the required retention the applicable records as appropriate. periods, the records may be destroyed (d) The printed side of forms, such as at the discretion of each company’s instructions, need not be preserved for management. It shall be the obligation each record as long as the printed mat- of the subject company to maintain ter is common to all such forms and an records that adequately support finan- identified specimen of the form is cial and operational data required by maintained on the medium for ref- the Secretary. The company may re- erence. quest a ruling from the Secretary on the retention of any record. The provi- § 379.9 Companies going out of busi- sions of this part shall not be con- ness. strued as excusing compliance with the The records referred to in the regula- lawful requirements of any other gov- tions in this part may be destroyed ernmental body prescribing longer re- after business is discontinued and the tention periods for any category of company is completely liquidated. The records. records may not be destroyed until dis- solution is final and all pending trans- § 379.5 Protection and storage of actions and claims are completed. records. When a company is merged with an- (a) The company shall protect other company under jurisdiction of records subject to this part from fires, the Secretary, the successor company floods, and other hazards, and safe- shall preserve records of the merged guard the records from unnecessary ex- company in accordance with the regu- posure to deterioration from excessive lations in this part.
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§ 379.11 Waiver of requirements of the § 379.13 Disposition and retention of regulations in this part. records. A waiver from any provision of the The schedule in appendix A to this regulations in this part may be made part shows periods that designated by the Secretary upon his/her own ini- records shall be preserved. The descrip- tiative or upon submission of a written tions specified under the various gen- request by the company. Each request eral headings are for convenient ref- for waiver shall demonstrate that un- erence and identification, and are in- usual circumstances warrant a depar- tended to apply to the items named re- gardless of what the records are called ture from prescribed retention periods, in individual companies and regardless procedures, or techniques, or that com- of the record media. The retention pe- pliance with such prescribed require- riods represent the prescribed number ments would impose an unreasonable of years from the date of the document burden on the company. and not calendar years. Records not listed in appendix A to this part shall be retained as determined by the man- agement of each company.
APPENDIX A TO PART 379—SCHEDULE OF RECORDS AND PERIODS OF RETENTION
Item and category of records Retention period
A. Corporate and General 1. Incorporation and reorganization: (a) Charter or certificate of incorporation and amendments ...... Note A. (b) Legal documents related to mergers, consolidations, reorganization, re- Note A. ceiverships and similar actions which affect the identity or organization of the company. 2. Minutes of Directors, Executive Committees, Stockholders and other corporate Note A. meetings. 3. Titles, franchises and authorities: (a) Certificates of public convenience and necessity issued by regulating bod- Until expiration or cancellation. ies. (b) Operating authorizations and exemptions to operate ...... Until expiration or cancellation. (c) Copies of formal orders of regulatory bodies served upon the company .... Note A. (d) Deeds, charters, and other title papers ...... Until disposition of property. (e) Patents and patent records ...... Note A. 4. Annual reports or statements to stockholders ...... 3 years. 5. Contracts and agreements: (a) Service contracts, such as for operational management, accounting, fi- Until expiration or termination plus 3 years. nancial or legal services, and agreements with agents. (b) Contracts and other agreements relating to the construction, acquisition or Until expiration or termination plus 3 years. sale of real property and equipment except as otherwise provided in (a) above. (c) Contracts for the purchase or sale of material and supplies except as pro- Until expiration. vided in (a) above. (d) Shipping contracts for transportation or caretakers of freight ...... Until expiration. (e) Contracts with employees and employee bargaining groups ...... Until expiration. (f) Contracts, leases and agreements, not specifically provided for in this sec- Until expiration or termination plus 1 year. tion. 6. Accountant's auditor's, and inspector's reports: (a) Certifications and reports of examinations and audits conducted by public 3 years. accountants. (b) Reports of examinations and audits conducted by internal auditors, time 3 years. inspectors, and others. 7. Other ...... Note A. B. Treasury 1. Capital stock records: (a) Capital stock ledger ...... Note A. (b) Capital stock certificates, records of or stubs of ...... Note A. (c) Stock transfer register ...... Note A. 2. Long-term debt records: (a) Bond indentures, underwritings, mortgages, and other long-term credit Until redemption plus 3 years. agreements. (b) Registered bonds and debenture ledgers ...... Until redemption plus 3 years. (c) Stubs or similar records of bonds or other long-term debt issued ...... Note A. 3. Authorizations from regulatory bodies for issuance of securities including appli- Note A. cations, reports, and supporting papers.
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Item and category of records Retention period
4. Records of securities owned, in treasury, or held by custodians, detailed ledg- Until the securities are sold, redeemed or ers and journals, or their equivalent. otherwise disposed of. 5. Other ...... Note A. C. Financial and Accounting 1. Ledgers: (a) General and subsidiary ledgers with indexes ...... Until discontinuance of use plus 3 years. (b) Balance sheets and trial balance sheets of general and subsidiary ledgers 3 years. 2. Journals: (a) General journals ...... Until discontinuance of use plus 3 years. (b) Subsidiary journals and any supporting data, except as otherwise pro- 3 years. vided for, necessary to explain journal entries. 3. Cash books: (a) General cash books ...... Until discontinuance of use plus 3 years. (b) Subsidiary cash books ...... 3 years. 4. Vouchers: (a) Voucher registers, indexes, or equivalent ...... 3 years. (b) Paid and canceled vouchers, expenditure authorizations, detailed distribu- 3 years. tion sheets and other supporting data including original bills and invoices, if not provided for elsewhere. (c) Paid drafts, paid checks, and receipts for cash paid out ...... 3 years. 5. Accounts receivable: (a) Record or register of accounts receivable, indexes thereto, and sum- 3 years after settlement. maries of distribution. (b) Bills issued for collection and supporting data ...... 3 years after settlement. (c) Authorization for writing off receivables ...... 1 year. (d) Reports and statements showing age and status of receivables ...... 1 year. 6. Records of accounting codes and instructions ...... 3 years after discontinuance. 7. Other ...... Note A. D. Property and Equipment Note.ÐAll accounts, records, and memoranda necessary for making a complete analysis of the cost or value of property shall be retained for the periods shown. If any of the records elsewhere provided for in this schedule are of this character, they shall be retained for the periods shown below, regardless of any lesser retention period assigned. 1. Property records: (a) Records which maintain complete information on cost or other value of all 3 years after disposition of property. real and personal property or equipment. (b) Records of additions and betterments made to property and equipment .... 3 years after disposition of property. (c) Records pertaining to retirements and replacements of property and 3 years after disposition of property. equipment. (d) Records pertaining to depreciation ...... 3 years after disposition of property. (e) Records of equipment number changes ...... 3 years after disposition of property. (f) Records of motor and engine changes ...... 3 years after disposition of property. (g) Records of equipment lightweighed and stenciled ...... Only current or latest records. 2. Engineering records of property changes actually made ...... 3 years after disposition of property. 3. Other ...... Note A. E. Personnel and Payroll 1. Personnel and payroll records ...... 1 year. F. Insurance and Claims 1. Insurance records: (a) Schedules of insurance against fire, storms, and other hazards and Until expiration plus 1 year. records of premium payments. (b) Records of losses and recoveries from insurance companies and support- 1 year after settlement. ing papers. (c) Insurance policies ...... Until expiration of coverage plus 1 year. 2. Claims records: (a) Claim registers, card or book indexes, and other records which record 1 year after settlement. personal injury, fire and other claims against the company, together with all supporting data. (b) Claims registers, card or book indexes, and other records which record 1 year after settlement. overcharges, damages, and other claims filed by the company against oth- ers, together with all supporting data. (c) Records giving the details of authorities issued to agents, carriers, and 3 years. others for participation in freight claims. (d) Reports, statements and other data pertaining to personal injuries or dam- 3 years. age to property when not necessary to support claims or vouchers. (e) Reports, statements, tracers, and other data pertaining to unclaimed, 1 year. over, short, damaged, and refused freight, when not necessary to support claims or vouchers. (f) Authorities for disposal of unclaimed, damaged, and refused freight ...... 3 years. 3. Other ...... Note A. G. Taxes 1. Taxes...... Note A.
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Item and category of records Retention period
H. Purchases and Stores 1. Purchases and stores...... Note A. I. Shipping and Agency Documents 1. Bills of lading and releases: (a) Consignors' shipping orders, consignors' shipping tickets, and copies of 1 year. bills of lading, freight bills from other carriers and other similar documents furnished the carrier for movement of freight. (b) Shippers' order-to-notify bills of lading taken up and canceled ...... 1 year. 2. Freight waybills: (a) Local waybills ...... 1 year. (b) Interline waybills received from and made to other carriers ...... 1 year. (c) Company freight waybills ...... 1 year. (d) Express waybills ...... 1 year. 3. Freight bills and settlements: (a) Paid copy of freight bill retained to support receipt of freight charges: (1) Bus express freight bills provided no claim has been filed ...... 1 year. (2) All other freight bills ...... 1 year. (b) Paid copy of freight bill retained to support payment of freight charges to other carriers: (1) Bus express freight bills provided no claim has been filed ...... 1 year. (2) All other freight bills ...... 1 year. (c) Records of unsettled freight bills and supporting papers ...... 1 year after disposition. (d) Records and reports of correction notices ...... 1 year. 4. Other freight records: (a) Records of freight received, forwarded, and delivered ...... 1 year. (b) Notice to consignees of arrival of freight; tender of delivery ...... 1 year. 5. Agency records (to include conductors, pursers, stewards, and others): (a) Cash books ...... 1 year. (b) Remittance records, bank deposit slips and supporting papers ...... 1 year. (c) Balance sheets and supporting papers ...... 1 year. (d) Statements of corrections in agents' accounts ...... 1 year. (e) Other records and reports pertaining to ticket sales, baggage handled, 1 year. miscellaneous collections, refunds, adjustments, etc.. J. Transportation 1. Records pertaining to transportation of household goods: (a) Estimate of charges ...... 1 year. (b) Order for service ...... 1 year. (c) Vehicle-load manifest ...... 1 year. (d) Descriptive inventory ...... 1 year. 2. Records and reports pertaining to operation of marine and floating equipment: (a) Ship log ...... 3 years. (b) Ship articles ...... 3 years. (c) Passenger and room list ...... 3 years. (d) Floatmen's barge, lighter, and escrow captain's reports, demurrage 2 years. records, towing reports and checks sheets. 3. Dispatchers' sheets, registers, and other records pertaining to movement of 3 years. transportation equipment. 4. Import and export records including bonded freight and steamship engage- 2 years. ments. 5. Records, reports, orders and tickets pertaining to weighting of freight ...... 3 years. 6. Records of loading and unloading of transportation equipment ...... 2 years. 7. Records pertaining to the diversion or reconsignment of freight, including re- 2 years. quests, tracers, and correspondence. 8. Other ...... Note A. K. Supporting Data for Reports and Statistics 1. Supporting data for reports filed with the Federal Highway Administration, the Surface Transportation Board, the Department of Transportation's Bureau of Transportation Statistics and regulatory bodies: (a) Supporting data for annual financial, operating and statistical reports ...... 3 years. (b) Supporting data for periodical reports of operating revenues, expenses, 3 years. and income. (c) Supporting data for reports detailing use of proceeds from issuance or 3 years. sale of company securities. (d) Supporting data for valuation inventory reports and records. This includes 3 years after disposition of the property. related notes, maps and sketches, underlying engineering, land, and ac- counting reports, pricing schedules, summary or collection sheets, yearly reports of changes and other miscellaneous data, all relating to the valu- ation 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 periodical reports of accidents, inspections, tests, hours of 3 years. service, repairs, etc..
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Item and category of records Retention period
3. Supporting data for periodical statistical of operating results or performance by 3 years. tonnage, mileage, passengers carried, piggyback traffic, commodities, costs, analyses of increases and decreases, or otherwise. M. Miscellaneous 1. Index of records ...... Until revised as record structure changes. 2. Statement listing records prematurely destroyed or lost ...... For the remainder of the period as pre- scribed for records destroyed. Note A.ÐRecords referenced to this note shall be maintained as determined by the designated records supervisory official. Companies should be mindful of the record retention requirements of the Internal Revenue Service, Securities and Exchange Commission, State and local jurisdictions, and other regulatory agencies. Companies shall exercise reasonable care in choosing retention periods, and the choice of retention periods shall reflect past experiences, company needs, pending litigation, and regu- latory requirements.
PART 382—CONTROLLED SUB- 382.413 Inquiries for alcohol and controlled substances information from previous STANCES AND ALCOHOL USE employers. AND TESTING Subpart E—Consequences for Drivers En- Subpart A—General gaging in Substance Use-Related Con- duct Sec. 382.101 Purpose. 382.501 Removal from safety-sensitive func- 382.103 Applicability. tion. 382.105 Testing procedures. 382.503 Required evaluation and testing. 382.107 Definitions. 382.505 Other alcohol-related conduct. 382.109 Preemption of State and local laws. 382.507 Penalties. 382.111 Other requirements imposed by em- ployers. Subpart F—Alcohol Misuse and Controlled 382.113 Requirement for notice. Substances Use Information, Training, 382.115 Starting date for testing programs. and Referral
Subpart B—Prohibitions 382.601 Employer obligation to promulgate a policy on the misuse of alcohol and use 382.201 Alcohol concentration. of controlled substances. 382.205 On-duty use. 382.603 Training for supervisors. 382.207 Pre-duty use. 382.605 Referral, evaluation, and treatment. 382.209 Use following an accident. AUTHORITY: 49 U.S.C. 31133, 31136, 31301 et 382.211 Refusal to submit to a required alco- seq., 31502; and 49 CFR 1.48. hol or controlled substances test. SOURCE: 61 FR 9553, Mar. 8, 1996, unless oth- 382.213 Controlled substances use. erwise noted. 382.215 Controlled substances testing.
Subpart C—Tests Required Subpart A—General 382.301 Pre-employment testing. § 382.101 Purpose. 382.303 Post-accident testing. The purpose of this part is to estab- 382.305 Random testing. lish programs designed to help prevent 382.307 Reasonable suspicion testing. 382.309 Return-to-duty testing. accidents and injuries resulting from 382.311 Follow-up testing. the misuse of alcohol or use of con- trolled substances by drivers of com- Subpart D—Handling of Test Results, mercial motor vehicles. Record Retention, and Confidentiality § 382.103 Applicability. 382.401 Retention of records. (a) This part applies to every person 382.403 Reporting of results in a manage- and to all employers of such persons ment information system. who operate a commercial motor vehi- 382.405 Access to facilities and records. 382.407 Medical review officer notifications cle in commerce in any State, and is to the employer. subject to: 382.409 Medical review officer record reten- (1) The commercial driver’s license tion for controlled substances. requirements of part 383 of this sub- 382.411 Employer notifications. chapter;
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(2) The Licencia Federal de Conduc- (ii) Firefighters or other persons who tor (Mexico) requirements; or operate commercial motor vehicles (3) The commercial driver’s license which are necessary for the preserva- requirements of the Canadian National tion of life or property or the execution Safety Code. of emergency governmental functions, (b) An employer who employs him- are equipped with audible and visual self/herself as a driver must comply signals, and are not subject to normal with both the requirements in this part traffic regulation. that apply to employers and the re- [61 FR 9553, Mar. 8, 1996, as amended at 62 FR quirements in this part that apply to 1296, Jan. 9, 1997] drivers. An employer who employs only himself/herself as a driver shall imple- § 382.105 Testing procedures. ment a random alcohol and controlled substances testing program of two or Each employer shall ensure that all more covered employees in the random alcohol or controlled substances test- testing selection pool. ing conducted under this part complies (c) The exceptions contained in with the procedures set forth in part 40 §390.3(f) of this subchapter do not apply of this title. The provisions of part 40 to this part. The employers and drivers of this title that address alcohol or identified in §390.3(f) must comply with controlled substances testing are made the requirements of this part, unless applicable to employers by this part. otherwise specifically provided in para- § 382.107 Definitions. graph (d) of this section. (d) Exceptions. This part shall not Words or phrases used in this part apply to employers and their drivers: are defined in §§ 386.2 and 390.5 of this (1) Required to comply with the alco- subchapter, and § 40.3 of this title, ex- hol and/or controlled substances test- cept as provided herein— ing requirements of parts 653 and 654 of Alcohol means the intoxicating agent this title (Federal Transit Administra- in beverage alcohol, ethyl alcohol, or tion alcohol and controlled substances other low molecular weight alcohols testing regulations); or including methyl and isopropyl alco- (2) Who a State must waive from the hol. requirements of part 383 of this sub- Alcohol concentration (or content) chapter. These individuals include ac- means the alcohol in a volume of tive duty military personnel; members breath expressed in terms of grams of of the reserves; and members of the na- alcohol per 210 liters of breath as indi- tional guard on active duty, including cated by an evidential breath test personnel on full-time national guard under this part. duty, personnel on part-time national Alcohol use means the consumption of guard training and national guard mili- any beverage, mixture, or preparation, tary technicians (civilians who are re- including any medication, containing quired to wear military uniforms), and alcohol. active duty U.S. Coast Guard person- Commerce means: nel; (1) Any trade, traffic or transpor- (3) Who a State has, at its discretion, tation within the jurisdiction of the exempted from the requirements of United States between a place in a part 383 of this subchapter. These indi- State and a place outside of such State, viduals may be: including a place outside of the United (i) Operators of a farm vehicle which States and is: (2) Trade, traffic, and transportation (A) Controlled and operated by a in the United States which affects any farmer; trade, traffic, and transportation de- (B) Used to transport either agricul- scribed in paragraph (1) of this defini- tural products, farm machinery, farm tion. supplies, or both to or from a farm; Commercial motor vehicle means a (C) Not used in the operations of a motor vehicle or combination of motor common or contract motor carrier; and vehicles used in commerce to transport (D) Used within 241 kilometers (150 passengers or property if the motor ve- miles) of the farmer’s farm. hicle—
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(1) Has a gross combination weight (i) Damage which can be remedied rating of 11,794 or more kilograms temporarily at the scene of the acci- (26,001 or more pounds) inclusive of a dent without special tools or parts. towed unit with a gross vehicle weight (ii) Tire disablement without other rating of more than 4,536 kilograms damage even if no spare tire is avail- (10,000 pounds); or able. (2) Has a gross vehicle weight rating (iii) Headlight or taillight damage. of 11,794 or more kilograms (26,001 or (iv) Damage to turn signals, horn, or more pounds); or windshield wipers which make them in- (3) Is designed to transport 16 or operative. more passengers, including the driver; DOT Agency means an agency (or or ‘‘operating administration’’) of the (4) Is of any size and is used in the United States Department of Transpor- transportation of materials found to be tation administering regulations re- hazardous for the purposes of the Haz- quiring alcohol and/or drug testing (14 ardous Materials Transportation Act CFR parts 61, 63, 65, 121, and 135; 49 CFR and which require the motor vehicle to parts 199, 219, 382, 653 and 654), in ac- be placarded under the Hazardous Ma- cordance with part 40 of this title. terials Regulations (49 CFR part 172, Driver means any person who oper- subpart F). ates a commercial motor vehicle. This Confirmation test for alcohol testing includes, but is not limited to: Full means a second test, following a time, regularly employed drivers; cas- screening test with a result of 0.02 or ual, intermittent or occasional drivers; greater, that provides quantitative leased drivers and independent, owner- data of alcohol concentration. For con- operator contractors who are either di- trolled substances testing means a sec- rectly employed by or under lease to an ond analytical procedure to identify employer or who operate a commercial the presence of a specific drug or me- motor vehicle at the direction of or tabolite which is independent of the with the consent of an employer. screen test and which uses a different Employer means any person (includ- technique and chemical principle from ing the United States, a State, District that of the screen test in order to en- of Columbia, tribal government, or a sure reliability and accuracy. (Gas political subdivision of a State) who chromatography/mass spectrometry owns or leases a commercial motor ve- (GC/MS) is the only authorized con- hicle or assigns persons to operate such firmation method for cocaine, mari- a vehicle. The term employer includes juana, opiates, amphetamines, and an employer’s agents, officers and rep- phencyclidine.) resentatives. Consortium means an entity, includ- Licensed medical practitioner means a ing a group or association of employers person who is licensed, certified, and/or or contractors, that provides alcohol or registered, in accordance with applica- controlled substances testing as re- ble Federal, State, local, or foreign quired by this part, or other DOT alco- laws and regulations, to prescribe con- hol or controlled substances testing trolled substances and other drugs. rules, and that acts on behalf of the Performing (a safety-sensitive function) employers. means a driver is considered to be per- Controlled substances mean those sub- forming a safety-sensitive function stances identified in § 40.21(a) of this during any period in which he or she is title. actually performing, ready to perform, Disabling damage means damage or immediately available to perform which precludes departure of a motor any safety-sensitive functions. vehicle from the scene of the accident Positive rate means the number of in its usual manner in daylight after positive results for random controlled simple repairs. substances tests conducted under this (1) Inclusions. Damage to motor vehi- part plus the number of refusals of ran- cles that could have been driven, but dom controlled substances tests re- would have been further damaged if so quired by this part, divided by the driven. total of random controlled substances (2) Exclusions. tests conducted under this part plus
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the number of refusals of random tests (6) All time repairing, obtaining as- required by this part. sistance, or remaining in attendance Refuse to submit (to an alcohol or con- upon a disabled vehicle. trolled substances test) means that a Screening test (also known as initial driver: test) In alcohol testing, it means an an- (1) Fails to provide adequate breath alytical procedure to determine wheth- for alcohol testing as required by part er a driver may have a prohibited con- 40 of this title, without a valid medical centration of alcohol in his or her sys- explanation, after he or she has re- tem. In controlled substance testing, it ceived notice of the requirement for means an immunoassay screen to breath testing in accordance with the eliminate ‘‘negative’’ urine specimens provisions of this part, from further consideration. (2) Fails to provide an adequate urine Violation rate means the number of sample for controlled substances test- drivers (as reported under § 382.305 of ing as required by part 40 of this title, this part) found during random tests without a genuine inability to provide given under this part to have an alco- a specimen (as determined by a medi- hol concentration of 0.04 or greater, cal evaluation), after he or she has re- plus the number of drivers who refuse a ceived notice of the requirement for random test required by this part, di- urine testing in accordance with the vided by the total reported number of provisions of this part, or drivers in the industry given random (3) Engages in conduct that clearly alcohol tests under this part plus the obstructs the testing process. total reported number of drivers in the Safety-sensitive function means all industry who refuse a random test re- time from the time a driver begins to quired by this part. work or is required to be in readiness [61 FR 9553, Mar. 8, 1996, as amended at 61 FR to work until the time he/she is re- 37224, July 17, 1996] lieved from work and all responsibility for performing work. Safety-sensitive § 382.109 Preemption of State and functions shall include: local laws. (1) All time at an employer or shipper (a) Except as provided in paragraph plant, terminal, facility, or other prop- (b) of this section, this part preempts erty, or on any public property, wait- any State or local law, rule, regula- ing to be dispatched, unless the driver tion, or order to the extent that: has been relieved from duty by the em- (1) Compliance with both the State or ployer; local requirement and this part is not (2) All time inspecting equipment as possible; or required by §§ 392.7 and 392.8 of this sub- (2) Compliance with the State or chapter or otherwise inspecting, servic- local requirement is an obstacle to the ing, or conditioning any commercial accomplishment and execution of any motor vehicle at any time; requirement in this part. (3) All time spent at the driving con- (b) This part shall not be construed trols of a commercial motor vehicle in to preempt provisions of State crimi- operation; nal law that impose sanctions for reck- (4) All time, other than driving time, less conduct leading to actual loss of in or upon any commercial motor vehi- life, injury, or damage to property, cle except time spent resting in a whether the provisions apply specifi- sleeper berth (a berth conforming to cally to transportation employees, em- the requirements of § 393.76 of this sub- ployers, or the general public. chapter); (5) All time loading or unloading a § 382.111 Other requirements imposed vehicle, supervising, or assisting in the by employers. loading or unloading, attending a vehi- Except as expressly provided in this cle being loaded or unloaded, remain- part, nothing in this part shall be con- ing in readiness to operate the vehicle, strued to affect the authority of em- or in giving or receiving receipts for ployers, or the rights of drivers, with shipments loaded or unloaded; and respect to the use of alcohol, or the use
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of controlled substances, including au- knowledge that a driver has an alcohol thority and rights with respect to test- concentration of 0.04 or greater shall ing and rehabilitation. permit the driver to perform or con- tinue to perform safety-sensitive func- § 382.113 Requirement for notice. tions. Before performing an alcohol or con- trolled substances test under this part, § 382.205 On-duty use. each employer shall notify a driver No driver shall use alcohol while per- that the alcohol or controlled sub- forming safety-sensitive functions. No stances test is required by this part. No employer having actual knowledge employer shall falsely represent that a that a driver is using alcohol while per- test is administered under this part. forming safety-sensitive functions shall permit the driver to perform or § 382.115 Starting date for testing pro- continue to perform safety- sensitive grams. functions. (a) All domestic employers. Each do- mestic-domiciled employer that begins § 382.207 Pre-duty use. commercial motor vehicle operations No driver shall perform safety-sen- will implement the requirements of sitive functions within four hours after this part on the date the employer be- using alcohol. No employer having ac- gins such operations. tual knowledge that a driver has used (b) Large foreign employers. Each for- alcohol within four hours shall permit eign-domiciled employer with fifty or a driver to perform or continue to per- more drivers assigned to operate com- form safety-sensitive functions. mercial motor vehicles in North Amer- ica on December 17, 1995, must imple- § 382.209 Use following an accident. ment the requirements of this part be- No driver required to take a post-ac- ginning on July 1, 1996. cident alcohol test under § 382.303 of (c) Small foreign employers. Each for- this part shall use alcohol for eight eign-domiciled employer with less than hours following the accident, or until fifty drivers assigned to operate com- he/she undergoes a post- accident alco- mercial motor vehicles in North Amer- hol test, whichever occurs first. ica on December 17, 1995, must imple- ment the requirements of this part be- § 382.211 Refusal to submit to a re- ginning on July 1, 1997. quired alcohol or controlled sub- stances test. (d) All foreign employers. Each foreign- domiciled employer that begins com- No driver shall refuse to submit to a mercial motor vehicle operations in post-accident alcohol or controlled the United States after December 17, substances test required under § 382.303, 1995, but before July 1, 1997, must im- a random alcohol or controlled sub- plement the requirements of this part stances test required under § 382.305, a beginning on July 1, 1997. A foreign em- reasonable suspicion alcohol or con- ployer that begins commercial motor trolled substances test required under vehicle operations in the United States § 382.307, or a follow-up alcohol or con- on or after July 1, 1997, must imple- trolled substances test required under ment the requirements of this part on § 382.311. No employer shall permit a the date the foreign employer begins driver who refuses to submit to such such operations. tests to perform or continue to perform safety-sensitive functions. [62 FR 37151, July 11, 1997] § 382.213 Controlled substances use. Subpart B—Prohibitions (a) No driver shall report for duty or remain on duty requiring the perform- § 382.201 Alcohol concentration. ance of safety-sensitive functions when No driver shall report for duty or re- the driver uses any controlled sub- main on duty requiring the perform- stance, except when the use is pursuant ance of safety-sensitive functions while to the instructions of a licensed medi- having an alcohol concentration of 0.04 cal practitioner, as defined in § 382.107 or greater. No employer having actual of this part, who has advised the driver
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that the substance will not adversely (2) The employer ensures that no affect the driver’s ability to safely op- prior employer of the driver of whom erate a commercial motor vehicle. the employer has knowledge has (b) No employer having actual knowl- records of a violation of this part or edge that a driver has used a controlled the alcohol misuse rule of another DOT substance shall permit the driver to agency within the previous six months. perform or continue to perform a safe- (c) Exception for pre-employment con- ty-sensitive function. trolled substances testing. An employer (c) An employer may require a driver is not required to administer a con- to inform the employer of any thera- trolled substances test required by peutic drug use. paragraph (a) of this section if: (1) The driver has participated in a § 382.215 Controlled substances test- ing. controlled substances testing program that meets the requirements of this No driver shall report for duty, re- part within the previous 30 days; and main on duty or perform a safety-sen- (2) While participating in that pro- sitive function, if the driver tests posi- gram, either tive for controlled substances. No em- (i) Was tested for controlled sub- ployer having actual knowledge that a stances within the past 6 months (from driver has tested positive for controlled the date of application with the em- substances shall permit the driver to ployer) or perform or continue to perform safety- sensitive functions. (ii) Participated in the random con- trolled substances testing program for the previous 12 months (from the date Subpart C—Tests Required of application with the employer); and § 382.301 Pre-employment testing. (3) The employer ensures that no prior employer of the driver of whom (a) Prior to the first time a driver the employer has knowledge has performs safety-sensitive functions for records of a violation of this part or an employer, the driver shall undergo the controlled substances use rule of testing for alcohol and controlled sub- another DOT agency within the pre- stances as a condition prior to being vious six months. used, unless the employer uses the ex- (d)(1) An employer who exercises the ception in paragraphs (c) and (d) of this exception in either paragraph (b) or (c) section. No employer shall allow a of this section shall contact the alco- driver, who the employer intends to hol and/or controlled substances test- hire or use, to perform safety-sensitive ing program(s) in which the driver par- functions unless the driver has been ad- ticipates or participated and shall ob- ministered an alcohol test with a re- tain and retain from the testing pro- sult indicating an alcohol concentra- gram(s) the following information: tion less than 0.04, and has received a controlled substances test result from (i) Name(s) and address(es) of the the MRO indicating a verified negative program(s). test result. If a pre-employment alco- (ii) Verification that the driver par- hol test result under this section indi- ticipates or participated in the pro- cates an alcohol content of 0.02 or gram(s). greater but less than 0.04, the provision (iii) Verification that the program(s) of § 382.505 shall apply. conforms to part 40 of this title. (b) Exception for pre-employment alco- (iv) Verification that the driver is hol testing. An employer is not required qualified under the rules of this part, to administer an alcohol test required including that the driver has not re- by paragraph (a) of this section if: fused to be tested for controlled sub- (1) The driver has undergone an alco- stances. hol test required by this section or the (v) The date the driver was last test- alcohol misuse rule of another DOT ed for alcohol or controlled substances. agency under part 40 of this title with- (vi) The results of any tests taken in the previous six months, with a re- within the previous six months and any sult indicating an alcohol concentra- other violations of subpart B of this tion less than 0.04; and part.
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(2) An employer who uses, but does TABLE FOR § 382.303(A)(3)ÐContinued not employ, a driver more than once a Citation Test must be year to operate commercial motor ve- Type of accident issued to the performed by hicles must obtain the information in involved CMV driver employer paragraph (d)(1) of this section at least NO ...... NO. once every six months. The records Disabling damage to any YES ...... YES. prepared under this paragraph shall be motor vehicle requiring maintained in accordance with § 382.401. tow away. If the employer cannot verify that the NO ...... NO. driver is participating in a controlled substances testing program in accord- (b)(1) Alcohol tests. If a test required ance with this part and part 40, the em- by this section is not administered ployer shall conduct a pre-employment within two hours following the acci- alcohol and/or controlled substances dent, the employer shall prepare and test. maintain on file a record stating the (e) Nothwithstanding any other pro- reasons the test was not promptly ad- visions of this subpart, all provisions ministered. If a test required by this and requirements in this section per- section is not administered within taining to pre-employment testing for eight hours following the accident, the alcohol are vacated as of May 1, 1995. employer shall cease attempts to ad- minister an alcohol test and shall pre- § 382.303 Post-accident testing. pare and maintain the same record. (a) As soon as practicable following Records shall be submitted to the an occurrence involving a commercial FHWA upon request of the Associate motor vehicle operating on a public Administrator. road in commerce, each employer shall (2) For the years stated in this para- test for alcohol and controlled sub- graph, employers who submit MIS re- stances each surviving driver: ports shall submit to the FHWA each (1) Who was performing safety-sen- record of a test required by this section sitive functions with respect to the ve- that is not completed within eight hicle, if the accident involved the loss hours. The employer’s records of tests of human life; or that are not completed within eight (2) Who receives a citation under hours shall be submitted to the FHWA State or local law for a moving traffic by March 15, 1996; March 15, 1997, and violation arising from the accident, if March 15, 1998, for calendar years 1995, the accident involved: 1996, and 1997, respectively. Employers (i) Bodily injury to any person who, shall append these records to their MIS as a result of the injury, immediately submissions. Each record shall include receives medical treatment away from the following information: the scene of the accident; or (i) Type of test (reasonable suspicion/ (ii) One or more motor vehicles in- post-accident); curring disabling damage as a result of (ii) Triggering event (including date, the accident, requiring the motor vehi- time, and location); cle to be transported away from the (iii) Reason(s) test could not be com- scene by a tow truck or other motor pleted within eight hours; vehicle. (iv) If blood alcohol testing could (3) This table notes when a post-acci- have been completed within eight dent test is required to be conducted by hours, the name, address, and tele- paragraphs (a)(1) and (a)(2) of this sec- phone number of the testing site where tion. blood testing could have occurred; and (3) Records of alcohol tests that TABLE FOR § 382.303(A)(3) could not be completed in eight hours shall be submitted to the FHWA at the Type of accident Citation Test must be involved issued to the performed by following address: Attn: Alcohol Test- CMV driver employer ing Program, Office of Motor Carrier Human fatality ...... YES ...... YES. Research and Standards (HCS–1), Fed- NO ...... YES. eral Highway Administration, 400 Sev- Bodily injury with immediate YES ...... YES. medical treatment away enth Street, SW., Washington, DC from the scene. 20590.
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(4) Controlled substance tests. If a (2) An occurrence involving only the test required by this section is not ad- loading or unloading of cargo; or ministered within 32 hours following (3) An occurrence in the course of the the accident, the employer shall cease operation of a passenger car or a multi- attempts to administer a controlled purpose passenger vehicle (as defined substances test, and prepare and main- in § 571.3 of this title) by an employer tain on file a record stating the reasons unless the motor vehicle is transport- the test was not promptly adminis- ing passengers for hire or hazardous tered. Records shall be submitted to materials of a type and quantity that the FHWA upon request of the Associ- require the motor vehicle to be marked ate Administrator. or placarded in accordance with (c) A driver who is subject to post-ac- § 177.823 of this title. cident testing shall remain readily available for such testing or may be § 382.305 Random testing. deemed by the employer to have re- (a) Every employer shall comply with fused to submit to testing. Nothing in the requirements of this section. Every this section shall be construed to re- driver shall submit to random alcohol quire the delay of necessary medical and controlled substance testing as re- attention for injured people following quired in this section. an accident or to prohibit a driver from (b)(1) Except as provided in para- leaving the scene of an accident for the graphs (c) through (e) of this section, period necessary to obtain assistance the minimum annual percentage rate in responding to the accident, or to ob- for random alcohol testing shall be 25 tain necessary emergency medical percent of the average number of driver care. positions. (d) An employer shall provide drivers (2) Except as provided in paragraphs with necessary post-accident informa- (f) through (h) of this section, the mini- tion, procedures and instructions, prior mum annual percentage rate for ran- to the driver operating a commercial dom controlled substances testing shall be 50 percent of the average number of motor vehicle, so that drivers will be driver positions. able to comply with the requirements (c) The FHWA Administrator’s deci- of this section. sion to increase or decrease the mini- (e)(1) The results of a breath or blood mum annual percentage rate for alco- test for the use of alcohol, conducted hol testing is based on the reported by Federal, State, or local officials violation rate for the entire industry. having independent authority for the All information used for this deter- test, shall be considered to meet the re- mination is drawn from the alcohol quirements of this section, provided management information system re- such tests conform to the applicable ports required by § 382.403 of this part. Federal, State or local alcohol testing In order to ensure reliability of the requirements, and that the results of data, the FHWA Administrator consid- the tests are obtained by the employer. ers the quality and completeness of the (2) The results of a urine test for the reported data, may obtain additional use of controlled substances, conducted information or reports from employers, by Federal, State, or local officials and may make appropriate modifica- having independent authority for the tions in calculating the industry viola- test, shall be considered to meet the re- tion rate. Each year, the FHWA Ad- quirements of this section, provided ministrator will publish in the FED- such tests conform to the applicable ERAL REGISTER the minimum annual Federal, State or local controlled sub- percentage rate for random alcohol stances testing requirements, and that testing of drivers. The new minimum the results of the tests are obtained by annual percentage rate for random al- the employer. cohol testing will be applicable start- (f) Exception. This section does not ing January 1 of the calendar year fol- apply to: lowing publication. (1) An occurrence involving only (d)(1) When the minimum annual per- boarding or alighting from a stationary centage rate for random alcohol test- motor vehicle; or ing is 25 percent or more, the FHWA
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Administrator may lower this rate to ing the industry positive rate. Each 10 percent of all driver positions if the year, the FHWA Administrator will FHWA Administrator determines that publish in the FEDERAL REGISTER the the data received under the reporting minimum annual percentage rate for requirements of § 382.403 for two con- random controlled substances testing secutive calendar years indicate that of drivers. The new minimum annual the violation rate is less than 0.5 per- percentage rate for random controlled cent. substances testing will be applicable (2) When the minimum annual per- starting January 1 of the calendar year centage rate for random alcohol test- following publication. ing is 50 percent, the FHWA Adminis- (g) When the minimum annual per- trator may lower this rate to 25 per- centage rate for random controlled cent of all driver positions if the FHWA substances testing is 50 percent, the Administrator determines that the FHWA Administrator may lower this data received under the reporting re- rate to 25 percent of all driver positions quirements of § 382.403 for two consecu- if the FHWA Administrator determines tive calendar years indicate that the that the data received under the re- violation rate is less than 1.0 percent porting requirements of § 382.403 for but equal to or greater than 0.5 per- two consecutive calendar years indi- cent. cate that the positive rate is less than (e)(1) When the minimum annual per- 1.0 percent. However, after the initial centage rate for random alcohol test- two years of random testing by large ing is 10 percent, and the data received employers and the initial first year of under the reporting requirements of testing by small employers under this § 382.403 for that calendar year indicate section, the FHWA Administrator may that the violation rate is equal to or lower the rate the following calendar greater than 0.5 percent, but less than year, if the combined positive testing 1.0 percent, the FHWA Administrator rate is less than 1.0 percent, and if it will increase the minimum annual per- would be in the interest of safety. centage rate for random alcohol test- (h) When the minimum annual per- ing to 25 percent for all driver posi- centage rate for random controlled tions. substances testing is 25 percent, and (2) When the minimum annual per- the data received under the reporting centage rate for random alcohol test- requirements of § 382.403 for any cal- ing is 25 percent or less, and the data endar year indicate that the reported received under the reporting require- positive rate is equal to or greater than ments of § 382.403 for that calendar year 1.0 percent, the FHWA Administrator indicate that the violation rate is will increase the minimum annual per- equal to or greater than 1.0 percent, centage rate for random controlled the FHWA Administrator will increase substances testing to 50 percent of all the minimum annual percentage rate driver positions. for random alcohol testing to 50 per- (i) The selection of drivers for ran- cent for all driver positions. dom alcohol and controlled substances (f) The FHWA Administrator’s deci- testing shall be made by a scientif- sion to increase or decrease the mini- ically valid method, such as a random mum annual percentage rate for con- number table or a computer-based ran- trolled substances testing is based on dom number generator that is matched the reported positive rate for the entire with drivers’ Social Security numbers, industry. All information used for this payroll identification numbers, or determination is drawn from the con- other comparable identifying numbers. trolled substances management infor- Under the selection process used, each mation system reports required by driver shall have an equal chance of § 382.403 of this part. In order to ensure being tested each time selections are reliability of the data, the FHWA Ad- made. ministrator considers the quality and (j) The employer shall randomly se- completeness of the reported data, may lect a sufficient number of drivers for obtain additional information or re- testing during each calendar year to ports from employers, and may make equal an annual rate not less than the appropriate modifications in calculat- minimum annual percentage rate for
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random alcohol and controlled sub- (1) Establish separate pools for ran- stances testing determined by the dom selection, with each pool contain- FHWA Administrator. If the employer ing the DOT-covered employees who conducts random testing for alcohol are subject to testing at the same re- and/or controlled substances through a quired minimum annual percentage consortium, the number of drivers to rate; or be tested may be calculated for each (2) Randomly select such employees individual employer or may be based for testing at the highest minimum an- on the total number of drivers covered nual percentage rate established for by the consortium who are subject to the calendar year by any DOT agency random alcohol and/or controlled sub- to which the employer is subject. stances testing at the same minimum annual percentage rate under this part § 382.307 Reasonable suspicion testing. or any DOT alcohol or controlled sub- (a) An employer shall require a driver stances random testing rule. to submit to an alcohol test when the (k) Each employer shall ensure that employer has reasonable suspicion to random alcohol and controlled sub- believe that the driver has violated the stances tests conducted under this part prohibitions of subpart B of this part are unannounced and that the dates for concerning alcohol. The employer’s de- administering random alcohol and con- termination that reasonable suspicion trolled substances tests are spread rea- sonably throughout the calendar year. exists to require the driver to undergo (l) Each employer shall require that an alcohol test must be based on spe- each driver who is notified of selection cific, contemporaneous, articulable ob- for random alcohol and/or controlled servations concerning the appearance, substances testing proceeds to the test behavior, speech or body odors of the site immediately; provided, however, driver. that if the driver is performing a safe- (b) An employer shall require a driver ty-sensitive function, other than driv- to submit to a controlled substances ing a commercial motor vehicle, at the test when the employer has reasonable time of notification, the employer suspicion to believe that the driver has shall instead ensure that the driver violated the prohibitions of subpart B ceases to perform the safety-sensitive of this part concerning controlled sub- function and proceeds to the testing stances. The employer’s determination site as soon as possible. that reasonable suspicion exists to re- (m) A driver shall only be tested for quire the driver to undergo a con- alcohol while the driver is performing trolled substances test must be based safety-sensitive functions, just before on specific, contemporaneous, the driver is to perform safety-sen- articulable observations concerning sitive functions, or just after the driver the appearance, behavior, speech or has ceased performing such functions. body odors of the driver. The observa- (n) If a given driver is subject to ran- tions may include indications of the dom alcohol or controlled substances chronic and withdrawal effects of con- testing under the random alcohol or trolled substances. controlled substances testing rules of (c) The required observations for al- more than one DOT agency for the cohol and/or controlled substances rea- same employer, the driver shall be sub- sonable suspicion testing shall be made ject to random alcohol and/or con- by a supervisor or company official trolled substances testing at the an- who is trained in accordance with nual percentage rate established for § 382.603 of this part. The person who the calendar year by the DOT agency makes the determination that reason- regulating more than 50 percent of the able suspicion exists to conduct an al- driver’s function. cohol test shall not conduct the alco- (o) If an employer is required to con- hol test of the driver. duct random alcohol or controlled sub- (d) Alcohol testing is authorized by stances testing under the alcohol or this section only if the observations re- controlled substances testing rules of quired by paragraph (a) of this section more than one DOT agency, the em- are made during, just preceding, or just ployer may— after the period of the work day that
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the driver is required to be in compli- this section, no driver shall report for ance with this part. A driver may be di- duty or remain on duty requiring the rected by the employer to only undergo performance of safety-sensitive func- reasonable suspicion testing while the tions while the driver is under the in- driver is performing safety-sensitive fluence of or impaired by alcohol, as functions, just before the driver is to shown by the behavioral, speech, and perform safety-sensitive functions, or performance indicators of alcohol mis- just after the driver has ceased per- use, nor shall an employer permit the forming such functions. driver to perform or continue to per- (e)(1) If an alcohol test required by form safety-sensitive functions, until: this section is not administered within (i) An alcohol test is administered two hours following the determination and the driver’s alcohol concentration under paragraph (a) of this section, the measures less than 0.02; or employer shall prepare and maintain (ii) Twenty four hours have elapsed on file a record stating the reasons the following the determination under alcohol test was not promptly adminis- paragraph (a) of this section that there tered. If an alcohol test required by is reasonable suspicion to believe that this section is not administered within the driver has violated the prohibitions eight hours following the determina- in this part concerning the use of alco- tion under paragraph (a) of this sec- hol. tion, the employer shall cease attempts (5) Except as provided in paragraph to administer an alcohol test and shall (e)(2) of this section, no employer shall state in the record the reasons for not take any action under this part against administering the test. a driver based solely on the driver’s be- (2) For the years stated in this para- havior and appearance, with respect to graph, employers who submit MIS re- alcohol use, in the absence of an alco- ports shall submit to the FHWA each hol test. This does not prohibit an em- record of a test required by this section ployer with independent authority of that is not completed within 8 hours. this part from taking any action other- The employer’s records of tests that wise consistent with law. could not be completed within 8 hours shall be submitted to the FHWA by (f) A written record shall be made of March 15, 1996; March 15, 1997; and the observations leading to a con- March 15, 1998; for calendar years 1995, trolled substance reasonable suspicion 1996, and 1997, respectively. Employers test, and signed by the supervisor or shall append these records to their MIS company official who made the obser- submissions. Each record shall include vations, within 24 hours of the observed the following information: behavior or before the results of the (i) Type of test (reasonable suspicion/ controlled substances test are released, post-accident); whichever is earlier. (ii) Triggering event (including date, § 382.309 Return-to-duty testing. time, and location); (iii) Reason(s) test could not be com- (a) Each employer shall ensure that pleted within 8 hours; and before a driver returns to duty requir- (iv) If blood alcohol testing could ing the performance of a safety-sen- have been completed within eight sitive function after engaging in con- hours, the name, address, and tele- duct prohibited by subpart B of this phone number of the testing site where part concerning alcohol, the driver blood testing could have occurred. shall undergo a return-to-duty alcohol (3) Records of tests that could not be test with a result indicating an alcohol completed in eight hours shall be sub- concentration of less than 0.02. mitted to the FHWA at the following (b) Each employer shall ensure that address: Attn.: Alcohol Testing pro- before a driver returns to duty requir- gram, Office of Motor Carrier Research ing the performance of a safety-sen- and Standards (HCS–1), Federal High- sitive function after engaging in con- way Administration, 400 Seventh duct prohibited by subpart B of this Street, SW., Washington, DC 20590. part concerning controlled substances, (4) Notwithstanding the absence of a the driver shall undergo a return-to- reasonable suspicion alcohol test under duty controlled substances test with a
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result indicating a verified negative re- lection process (except calibration of sult for controlled substances use. evidential breath testing devices). (3) One year. Records of negative and § 382.311 Follow-up testing. canceled controlled substances test re- (a) Following a determination under sults (as defined in part 40 of this title) § 382.605(b) that a driver is in need of as- and alcohol test results with a con- sistance in resolving problems associ- centration of less than 0.02 shall be ated with alcohol misuse and/or use of maintained for a minimum of one year. controlled substances, each employer (4) Indefinite period. Records related shall ensure that the driver is subject to the education and training of breath to unannounced follow-up alcohol and/ alcohol technicians, screening test or controlled substances testing as di- technicians, supervisors, and drivers rected by a substance abuse profes- shall be maintained by the employer sional in accordance with the provi- while the individual performs the func- sions of § 382.605(c)(2)(ii). tions which require the training and (b) Follow-up alcohol testing shall be for two years after ceasing to perform conducted only when the driver is per- those functions. forming safety-sensitive functions, just (c) Types of records. The following before the driver is to perform safety- specific types of records shall be main- sensitive functions, or just after the tained. ‘‘Documents generated’’ are driver has ceased performing safety- documents that may have to be pre- sensitive functions. pared under a requirement of this part. If the record is required to be prepared, Subpart D—Handling Of Test Re- it must be maintained. sults, Record Retention, and (1) Records related to the collection Confidentiality process: (i) Collection logbooks, if used; § 382.401 Retention of records. (ii) Documents relating to the ran- (a) General requirement. Each em- dom selection process; ployer shall maintain records of its al- (iii) Calibration documentation for cohol misuse and controlled substances evidential breath testing devices; use prevention programs as provided in (iv) Documentation of breath alcohol this section. The records shall be main- technician training; tained in a secure location with con- (v) Documents generated in connec- trolled access. tion with decisions to administer rea- (b) Period of retention. Each employer sonable suspicion alcohol or controlled shall maintain the records in accord- substances tests; ance with the following schedule: (vi) Documents generated in connec- (1) Five years. The following records tion with decisions on post-accident shall be maintained for a minimum of tests; five years: (vii) Documents verifying existence (i) Records of driver alcohol test re- of a medical explanation of the inabil- sults indicating an alcohol concentra- ity of a driver to provide adequate tion of 0.02 or greater, breath or to provide a urine specimen (ii) Records of driver verified positive for testing; and controlled substances test results, (viii) Consolidated annual calendar (iii) Documentation of refusals to year summaries as required by § 382.403. take required alcohol and/or controlled (2) Records related to a driver’s test substances tests, results: (iv) Driver evaluation and referrals, (i) The employer’s copy of the alco- (v) Calibration documentation, hol test form, including the results of (vi) Records related to the adminis- the test; tration of the alcohol and controlled (ii) The employer’s copy of the con- substances testing programs, and trolled substances test chain of cus- (vii) A copy of each annual calendar tody and control form; year summary required by § 382.403. (iii) Documents sent by the MRO to (2) Two years. Records related to the the employer, including those required alcohol and controlled substances col- by § 382.407(a).
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(iv) Documents related to the refusal (ii) Names and positions of officials of any driver to submit to an alcohol or and their role in the employer’s alcohol controlled substances test required by and controlled substances testing pro- this part; and gram(s); (v) Documents presented by a driver (iii) Quarterly laboratory statistical to dispute the result of an alcohol or summaries of urinalysis required by controlled substances test adminis- § 40.29(g)(6) of this title; and tered under this part. (iv) The employer’s alcohol and con- (vi) Documents generated in connec- trolled substances testing policy and tion with verifications of prior employ- procedures. ers’ alcohol or controlled substances (d) Location of records. All records re- test results that the employer: quired by this part shall be maintained (A) Must obtain in connection with as required by § 390.31 of this sub- the exception contained in § 382.301 of chapter and shall be made available for this part, and inspection at the employer’s principal (B) Must obtain as required by place of business within two business § 382.413 of this subpart. days after a request has been made by (3) Records related to other viola- an authorized representative of the tions of this part. Federal Highway Administration. (4) Records related to evaluations: (e)(1) OMB control number. The infor- (i) Records pertaining to a deter- mation collection requirements of this mination by a substance abuse profes- part have been reviewed by the Office sional concerning a driver’s need for of Management and Budget pursuant to assistance; and the Paperwork Reduction Act of 1995 (ii) Records concerning a driver’s (44 U.S.C. 3501 et seq.) and have been as- compliance with recommendations of signed OMB control number 2125–0543. the substance abuse professional. (2) The information collection re- (5) Records related to education and quirements of this part are found in training: the following sections: Section 382.105, (i) Materials on alcohol misuse and 382.113, 382.301, 382.303, 382.305, 382.307, controlled substance use awareness, in- 382.309, 382.311, 382.401, 382.403, 382.405, cluding a copy of the employer’s policy 382.407, 382.409, 382.411, 382.413, 382.601, on alcohol misuse and controlled sub- 382.603, 382.605. stance use; [61 FR 9553, Mar. 8, 1996, as amended at 62 FR (ii) Documentation of compliance 37151, July 11, 1997] with the requirements of § 382.601, in- cluding the driver’s signed receipt of § 382.403 Reporting of results in a education materials; management information system. (iii) Documentation of training pro- (a) An employer shall prepare and vided to supervisors for the purpose of maintain a summary of the results of qualifying the supervisors to make a its alcohol and controlled substances determination concerning the need for testing programs performed under this alcohol and/or controlled substances part during the previous calendar year, testing based on reasonable suspicion; when requested by the Secretary of (iv) Documentation of training for Transportation, any DOT agency, or breath alcohol technicians as required any State or local officials with regu- by § 40.51(a) of this title, and latory authority over the employer or (v) Certification that any training any of its drivers. conducted under this part complies (b) If an employer is notified, during with the requirements for such train- the month of January, of a request by ing. the Federal Highway Administration (6) Administrative records related to to report the employer’s annual cal- alcohol and controlled substances test- endar year summary information, the ing: employer shall prepare and submit the (i) Agreements with collection site report to the Federal Highway Admin- facilities, laboratories, breath alcohol istration by March 15 of that year. The technicians, screening test technicians, employer shall ensure that the annual medical review officers, consortia, and summary report is accurate and re- third party service providers; ceived by March 15 at the location that
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the Federal Highway Administration (10)(i) Number of screening alcohol specifies in its request. The report tests by type of test; and shall be in the form and manner pre- (ii) Number of confirmation alcohol scribed by the Federal Highway Admin- tests, by type of test; istration in its request. When the re- (11) Number of confirmation alcohol port is submitted to the Federal High- tests indicating an alcohol concentra- way Administration by mail or elec- tion of 0.02 or greater but less than 0.04, tronic transmission, the information by type of test; requested shall be typed, except for the (12) Number of confirmation alcohol signature of the certifying official. tests indicating an alcohol concentra- Each employer shall ensure the accu- tion of 0.04 or greater, by type of test; racy and timeliness of each report sub- (13) Number of drivers who were re- mitted by the employer or a consor- turned to duty (having complied with tium. the recommendations of a substance (c) Detailed summary. Each annual abuse professional as described in calendar year summary that contains §§ 382.503 and 382.605), in this reporting information on a verified positive con- period, who previously: trolled substances test result, an alco- (i) Had a verified positive controlled hol screening test result of 0.02 or substance test result, or greater, or any other violation of the (ii) Engaged in prohibited alcohol alcohol misuse provisions of subpart B misuse under the provisions of this of this part shall include the following part; informational elements: (1) Number of drivers subject to Part (14) Number of drivers who were ad- 382; ministered alcohol and drug tests at (2) Number of drivers subject to test- the same time, with both a verified ing under the alcohol misuse or con- positive drug test result and an alcohol trolled substances use rules of more test result indicating an alcohol con- than one DOT agency, identified by centration of 0.04 or greater; and each agency; (15) Number of drivers who were (3) Number of urine specimens col- found to have violated any non-testing lected by type of test (e.g., pre-employ- prohibitions of subpart B of this part, ment, random, reasonable suspicion, and any action taken in response to post-accident); the violation. (4) Number of positives verified by a (d) Short summary. Each employer’s MRO by type of test, and type of con- annual calendar year summary that trolled substance; contains only negative controlled sub- (5) Number of negative controlled stance test results, alcohol screening substance tests verified by a MRO by test results of less than 0.02, and does type of test; not contain any other violations of (6) Number of persons denied a posi- subpart B of this part, may prepare and tion as a driver following a pre-employ- submit, as required by paragraph (b) of ment verified positive controlled sub- this section, either a standard report stances test and/or a pre-employment form containing all the information alcohol test that indicates an alcohol elements specified in paragraph (c) of concentration of 0.04 or greater; this section, or an ‘‘EZ’’ report form. (7) Number of drivers with tests veri- The ‘‘EZ’’ report shall include the fol- fied positive by a medical review offi- lowing information elements: cer for multiple controlled substances; (1) Number of drivers subject to this (8) Number of drivers who refused to Part 382; submit to an alcohol or controlled sub- (2) Number of drivers subject to test- stances test required under this sub- ing under the alcohol misuse or con- part; trolled substance use rules of more (9)(i) Number of supervisors who have than one DOT agency, identified by received required alcohol training dur- each agency; ing the reporting period; and (3) Number of urine specimens col- (ii) Number of supervisors who have lected by type of test (e.g., pre-employ- received required controlled substances ment, random, reasonable suspicion, training during the reporting period; post-accident);
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(4) Number of negatives verified by a (b) A driver is entitled, upon written medical review officer by type of test; request, to obtain copies of any records (5) Number of drivers who refused to pertaining to the driver’s use of alcohol submit to an alcohol or controlled sub- or controlled substances, including any stances test required under this sub- records pertaining to his or her alcohol part; or controlled substances tests. The em- (6)(i) Number of supervisors who have ployer shall promptly provide the received required alcohol training dur- records requested by the driver. Access ing the reporting period; and to a driver’s records shall not be con- (ii) Number of supervisors who have tingent upon payment for records other received required controlled substances than those specifically requested. training during the reporting period; (c) Each employer shall permit ac- (7) Number of screen alcohol tests by cess to all facilities utilized in comply- type of test; and ing with the requirements of this part (8) Number of drivers who were re- to the Secretary of Transportation, turned to duty (having complied with any DOT agency, or any State or local the recommendations of a substance officials with regulatory authority abuse professional as described in over the employer or any of its drivers. §§ 382.503 and 382.605), in this reporting (d) Each employer shall make avail- period, who previously: able copies of all results for employer (i) Had a verified positive controlled alcohol and/or controlled substances substance test result, or testing conducted under this part and (ii) Engaged in prohibited alcohol any other information pertaining to misuse under the provisions of this the employer’s alcohol misuse and/or part. controlled substances use prevention (e) Each employer that is subject to program, when requested by the Sec- more than one DOT agency alcohol or retary of Transportation, any DOT controlled substances rule shall iden- agency, or any State or local officials tify each driver covered by the regula- with regulatory authority over the em- tions of more than one DOT agency. ployer or any of its drivers. The identification will be by the total (e) When requested by the National number of covered functions. Prior to Transportation Safety Board as part of conducting any alcohol or controlled an accident investigation, employers substances test on a driver subject to shall disclose information related to the rules of more than one DOT agen- the employer’s administration of a cy, the employer shall determine which post-accident alcohol and/or controlled DOT agency rule or rules authorizes or substance test administered following requires the test. The test result infor- the accident under investigation. mation shall be directed to the appro- (f) Records shall be made available to priate DOT agency or agencies. a subsequent employer upon receipt of (f) A consortium may prepare annual a written request from a driver. Disclo- calendar year summaries and reports sure by the subsequent employer is per- on behalf of individual employers for mitted only as expressly authorized by purposes of compliance with this sec- the terms of the driver’s request. tion. However, each employer shall (g) An employer may disclose infor- sign and submit such a report and shall mation required to be maintained remain responsible for ensuring the ac- under this part pertaining to a driver, curacy and timeliness of each report the decisionmaker in a lawsuit, griev- prepared on its behalf by a consortium. ance, or other proceeding initiated by or on behalf of the individual, and aris- § 382.405 Access to facilities and ing from the results of an alcohol and/ records. or controlled substance test adminis- (a) Except as required by law or ex- tered under this part, or from the em- pressly authorized or required in this ployer’s determination that the driver section, no employer shall release driv- engaged in conduct prohibited by sub- er information that is contained in part B of this part (including, but not records required to be maintained limited to, a worker’s compensation, under § 382.401. unemployment compensation, or other
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proceeding relating to a benefit sought (3) The type of test indicated on the by the driver.) custody and control form (i.e. random, (h) An employer shall release infor- post-accident, follow-up); mation regarding a driver’s records as (4) The date and location of the test directed by the specific, written con- collection; sent of the driver authorizing release of (5) The identities of the persons or the information to an identified per- entities performing the collection, ana- son. Release of such information by the lyzing the specimens, and serving as person receiving the information is the medical review officer for the spe- permitted only in accordance with the cific test; terms of the employee’s consent. (6) The results of the controlled sub- stances test, positive, negative, test § 382.407 Medical review officer notifi- canceled, or test not performed, and if cations to the employer. positive, the identity of the controlled substance(s) for which the test was (a) The medical review officer may verified positive. report to the employer using any com- (b) A medical review officer shall re- munications device, but in all in- port to the employer that the medical stances a signed, written notification review officer has made all reasonable must be forwarded within three busi- efforts to contact the driver as pro- ness days of completion of the medical vided in § 40.33(c) of this title. The em- review officer’s review, pursuant to ployer shall, as soon as practicable, re- part 40 of this title. A legible photo- quest that the driver contact the medi- copy of the fourth copy of Part 40 Ap- cal review officer prior to dispatching pendix A subtitled COPY 4—SEND DI- the driver or within 24 hours, which- RECTLY TO MEDICAL REVIEW OFFI- ever is earlier. CER—DO NOT SEND TO LABORATORY of the Federal Custody and Control Form § 382.409 Medical review officer record OMB Number 9999–0023 may be used to retention for controlled substances. make the signed, written notification (a) A medical review officer shall to the employer for all test results maintain all dated records and notifi- (positive, negative, canceled, etc.), pro- cations, identified by individual, for a vided that the controlled substance(s) minimum of five years for verified verified as positive, and the MRO’s sig- positive controlled substances test re- nature, shall be legibly noted in the re- sults. marks section of step 8 of the form (b) A medical review officer shall completed by the medical review offi- maintain all dated records and notifi- cer. The MRO must sign all verified cations, identified by individual, for a positive test results. An MRO may sign minimum of one year for negative and or rubber stamp negative test results. canceled controlled substances test re- An MRO’s staff may rubber stamp neg- sults. (c) No person may obtain the individ- ative test results under written author- ual controlled substances test results ization of the MRO. In no event shall retained by a medical review officer, an MRO, or his/her staff, use electronic and no medical review officer shall re- signature technology to comply with lease the individual controlled sub- this section. All reports, both oral and stances test results of any driver to in writing, from the medical review of- any person, without first obtaining a ficer to an employer shall clearly in- specific, written authorization from clude: the tested driver. Nothing in this para- (1) A statement that the controlled graph shall prohibit a medical review substances test being reported was in officer from releasing, to the employer accordance with part 40 of this title or to officials of the Secretary of and this part, except for legible photo- Transportation, any DOT agency, or copies of Copy 4 of the Federal Custody any State or local officials with regu- and Control Form; latory authority over the controlled (2) The full name of the driver for substances testing program under this whom the test results are being re- part, the information delineated in ported; § 382.407(a) of this subpart.
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§ 382.411 Employer notifications. forms safety-sensitive functions for the (a) An employer shall notify a driver employer. If not feasible, the informa- of the results of a pre-employment con- tion must be obtained and reviewed as trolled substance test conducted under soon as possible, but no later than 14- this part, if the driver requests such re- calendar days after the first time a sults within 60 calendar days of being driver performs safety-sensitive func- notified of the disposition of the em- tions for the employer. An employer ployment application. An employer may not permit a driver to perform shall notify a driver of the results of safety-sensitive functions after 14 days random, reasonable suspicion and post- without having made a good faith ef- accident tests for controlled substances fort to obtain the information as soon conducted under this part if the test as possible. If a driver hired or used by results are verified positive. The em- the employer ceases performing safety- ployer shall also inform the driver sensitive functions for the employer which controlled substance or sub- before expiration of the 14-day period stances were verified as positive. or before the employer has obtained (b) The designated management offi- the information in paragraph (a) of this cial shall make reasonable efforts to section, the employer must still make contact and request each driver who a good faith effort to obtain the infor- submitted a specimen under the em- mation. ployer’s program, regardless of the (c) An employer must maintain a driver’s employment status, to contact written, confidential record of the in- and discuss the results of the con- formation obtained under paragraph (a) trolled substances test with a medical or (f) of this section. If, after making a review officer who has been unable to good faith effort, an employer is unable contact the driver. to obtain the information from a pre- (c) The designated management offi- vious employer, a record must be made cial shall immediately notify the medi- of the efforts to obtain the information cal review officer that the driver has and retained in the driver’s qualifica- been notified to contact the medical tion file. review officer within 24 hours. (d) The prospective employer must provide to each of the driver’s previous § 382.413 Inquiries for alcohol and con- employers the driver’s specific, written trolled substances information from authorization for release of the infor- previous employers. mation in paragraph (a) of this section. (a)(1) An employer shall, pursuant to (e) The release of any information the driver’s written authorization, in- under this section may take the form quire about the following information of personal interviews, telephone inter- on a driver from the driver’s previous views, letters, or any other method of employers, during the preceding two transmitting information that ensures years from the date of application, confidentiality. which are maintained by the driver’s (f) The information in paragraph (a) previous employers under § 382.401(b)(1) of this section may be provided di- (i) through (iii) of this subpart: rectly to the prospective employer by (i) Alcohol tests with a result of 0.04 the driver, provided the employer alcohol concentration or greater; assures itself that the information is (ii) Verified positive controlled sub- true and accurate. stances test results; and (g) An employer may not use a driver (iii) Refusals to be tested. to perform safety-sensitive functions if (2) The information obtained from a the employer obtains information on a previous employer may contain any al- violation of the prohibitions in subpart cohol and drug information the pre- B of this part by the driver, without vious employer obtained from other obtaining information on subsequent previous employers under paragraph compliance with the referral and reha- (a)(1) of this section. bilitation requirements of § 382.605 of (b) If feasible, the information in this part. paragraph (a) of this section must be (h) Employers need not obtain infor- obtained and reviewed by the employer mation under paragraph (a) of this sec- prior to the first time a driver per- tion generated by previous employers
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prior to the starting dates in § 382.115 of tions, until the start of the driver’s this part. next regularly scheduled duty period, but not less than 24 hours following ad- Subpart E—Consequences for ministration of the test. Drivers Engaging in Substance (b) Except as provided in paragraph Use-Related Conduct (a) of this section, no employer shall take any action under this part against § 382.501 Removal from safety-sen- a driver based solely on test results sitive function. showing an alcohol concentration less (a) Except as provided in subpart F of than 0.04. This does not prohibit an em- this part, no driver shall perform safe- ployer with authority independent of ty-sensitive functions, including driv- this part from taking any action other- ing a commercial motor vehicle, if the wise consistent with law. driver has engaged in conduct prohib- ited by subpart B of this part or an al- § 382.507 Penalties. cohol or controlled substances rule of Any employer or driver who violates another DOT agency. the requirements of this part shall be (b) No employer shall permit any subject to the penalty provisions of 49 driver to perform safety-sensitive func- U.S.C. section 521(b). tions, including driving a commercial motor vehicle, if the employer has de- Subpart F—Alcohol Misuse and termined that the driver has violated Controlled Substances Use In- this section. (c) For purposes of this subpart, com- formation, Training, and Refer- mercial motor vehicle means a com- ral mercial motor vehicle in commerce as defined in § 382.107, and a commercial § 382.601 Employer obligation to pro- mulgate a policy on the misuse of motor vehicle in interstate commerce alcohol and use of controlled sub- as defined in Part 390 of this sub- stances. chapter. (a) General requirements. Each em- § 382.503 Required evaluation and test- ployer shall provide educational mate- ing. rials that explain the requirements of No driver who has engaged in con- this part and the employer’s policies duct prohibited by subpart B of this and procedures with respect to meeting part shall perform safety-sensitive these requirements. functions, including driving a commer- (1) The employer shall ensure that a cial motor vehicle, unless the driver copy of these materials is distributed has met the requirements of § 382.605. to each driver prior to the start of al- No employer shall permit a driver who cohol and controlled substances testing has engaged in conduct prohibited by under this part and to each driver sub- subpart B of this part to perform safe- sequently hired or transferred into a ty-sensitive functions, including driv- position requiring driving a commer- ing a commercial motor vehicle, unless cial motor vehicle. the driver has met the requirements of (2) Each employer shall provide writ- § 382.605. ten notice to representatives of em- ployee organizations of the availability § 382.505 Other alcohol-related con- of this information. duct. (b) Required content. The materials to (a) No driver tested under the provi- be made available to drivers shall in- sions of subpart C of this part who is clude detailed discussion of at least the found to have an alcohol concentration following: of 0.02 or greater but less than 0.04 (1) The identity of the person des- shall perform or continue to perform ignated by the employer to answer safety-sensitive functions for an em- driver questions about the materials; ployer, including driving a commercial (2) The categories of drivers who are motor vehicle, nor shall an employer subject to the provisions of this part; permit the driver to perform or con- (3) Sufficient information about the tinue to perform safety-sensitive func- safety-sensitive functions performed by
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those drivers to make clear what pe- ployer’s authority independent of this riod of the work day the driver is re- part. Any such additional policies or quired to be in compliance with this consequences must be clearly and obvi- part; ously described as being based on inde- (4) Specific information concerning pendent authority. driver conduct that is prohibited by (d) Certificate of receipt. Each em- this part; ployer shall ensure that each driver is (5) The circumstances under which a required to sign a statement certifying driver will be tested for alcohol and/or that he or she has received a copy of controlled substances under this part, these materials described in this sec- including post-accident testing under tion. Each employer shall maintain the § 382.303(d); original of the signed certificate and (6) The procedures that will be used may provide a copy of the certificate to test for the presence of alcohol and to the driver. controlled substances, protect the driv- er and the integrity of the testing proc- § 382.603 Training for supervisors. esses, safeguard the validity of the test Each employer shall ensure that all results, and ensure that those results persons designated to supervise drivers are attributed to the correct driver, in- receive at least 60 minutes of training cluding post-accident information, pro- on alcohol misuse and receive at least cedures and instructions required by an additional 60 minutes of training on § 382.303(d) of this part; controlled substances use. The training (7) The requirement that a driver will be used by the supervisors to de- submit to alcohol and controlled sub- termine whether reasonable suspicion stances tests administered in accord- exists to require a driver to undergo ance with this part; testing under § 382.307. The training (8) An explanation of what con- shall include the physical, behavioral, stitutes a refusal to submit to an alco- speech, and performance indicators of hol or controlled substances test and probable alcohol misuse and use of con- the attendant consequences; trolled substances. (9) The consequences for drivers found to have violated subpart B of § 382.605 Referral, evaluation, and this part, including the requirement treatment. that the driver be removed imme- (a) Each driver who has engaged in diately from safety-sensitive functions, conduct prohibited by subpart B of this and the procedures under § 382.605; part shall be advised by the employer (10) The consequences for drivers of the resources available to the driver found to have an alcohol concentration in evaluating and resolving problems of 0.02 or greater but less than 0.04; associated with the misuse of alcohol (11) Information concerning the ef- and use of controlled substances, in- fects of alcohol and controlled sub- cluding the names, addresses, and tele- stances use on an individual’s health, phone numbers of substance abuse pro- work, and personal life; signs and fessionals and counseling and treat- symptoms of an alcohol or a controlled ment programs. substances problem (the driver’s or a (b) Each driver who engages in con- coworker’s); and available methods of duct prohibited by subpart B of this intervening when an alcohol or a con- part shall be evaluated by a substance trolled substances problem is sus- abuse professional who shall determine pected, including confrontation, refer- what assistance, if any, the employee ral to any employee assistance pro- needs in resolving problems associated gram and or referral to management. with alcohol misuse and controlled (c) Optional provision. The materials substances use. supplied to drivers may also include in- (c)(1) Before a driver returns to duty formation on additional employer poli- requiring the performance of a safety- cies with respect to the use of alcohol sensitive function after engaging in or controlled substances, including any conduct prohibited by subpart B of this consequences for a driver found to have part, the driver shall undergo a return- a specified alcohol or controlled sub- to-duty alcohol test with a result indi- stances level, that are based on the em- cating an alcohol concentration of less
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than 0.02 if the conduct involved alco- stance abuse professional’s private hol, or a controlled substances test practice or to a person or organization with a verified negative result if the from which the substance abuse profes- conduct involved a controlled sub- sional receives remuneration or in stance. which the substance abuse professional (2) In addition, each driver identified has a financial interest. This paragraph as needing assistance in resolving prob- does not prohibit a substance abuse lems associated with alcohol misuse or professional from referring a driver for controlled substances use, assistance provided through— (i) Shall be evaluated by a substance (1) A public agency, such as a State, abuse professional to determine that county, or municipality; the driver has properly followed any re- habilitation program prescribed under (2) The employer or a person under paragraph (b) of this section, and contract to provide treatment for alco- (ii) Shall be subject to unannounced hol or controlled substance problems follow-up alcohol and controlled sub- on behalf of the employer; stances tests administered by the em- (3) The sole source of therapeutically ployer following the driver’s return to appropriate treatment under the driv- duty. The number and frequency of er’s health insurance program; or such follow-up testing shall be as di- (4) The sole source of therapeutically rected by the substance abuse profes- appropriate treatment reasonably ac- sional, and consist of at least six tests cessible to the driver. in the first 12 months following the (f) The requirements of this section driver’s return to duty. The employer with respect to referral, evaluation and may direct the driver to undergo re- rehabilitation do not apply to appli- turn-to-duty and follow-up testing for cants who refuse to submit to a pre- both alcohol and controlled substances, employment alcohol or controlled sub- if the substance abuse professional de- stances test or who have a pre-employ- termines that return-to-duty and fol- ment alcohol test with a result indicat- low-up testing for both alcohol and ing an alcohol concentration of 0.04 or controlled substances is necessary for greater or a controlled substances test that particular driver. Any such test- with a verified positive test result. ing shall be performed in accordance with the requirements of 49 CFR part 40. Follow-up testing shall not exceed PART 383—COMMERCIAL DRIVER’S 60 months from the date of the driver’s LICENSE STANDARDS; REQUIRE- return to duty. The substance abuse MENTS AND PENALTIES professional may terminate the re- quirement for follow-up testing at any Subpart A—General time after the first six tests have been administered, if the substance abuse Sec. professional determines that such test- 383.1 Purpose and scope. ing is no longer necessary. 383.3 Applicability. (d) Evaluation and rehabilitation 383.5 Definitions. may be provided by the employer, by a 383.7 Waiver provisions. substance abuse professional under contract with the employer, or by a Subpart B—Single License Requirement substance abuse professional not affili- 383.21 Number of drivers’ licenses. ated with the employer. The choice of 383.23 Commercial driver’s license. substance abuse professional and as- signment of costs shall be made in ac- Subpart C—Notification Requirements and cordance with employer/driver agree- Employer Responsibilities ments and employer policies. (e) The employer shall ensure that a 383.31 Notification of convictions for driver substance abuse professional who de- violations. termines that a driver requires assist- 383.33 Notification of driver’s license sus- ance in resolving problems with alco- pensions. hol misuse or controlled substances use 383.35 Notification of previous employment. does not refer the driver to the sub- 383.37 Employer responsibilities.
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Subpart D—Driver Disqualifications and motor vehicle driver’s license and by Penalties disqualifying drivers who operate com- mercial motor vehicles in an unsafe 383.51 Disqualification of drivers. manner. 383.53 Penalties. (b) This part: Subpart E—Testing and Licensing (1) Prohibits a commercial motor ve- Procedures hicle driver from having more than one commercial motor vehicle driver’s li- 383.71 Driver application procedures. cense; 383.72 Implied consent to alcohol testing. 383.73 State procedures. (2) Requires a driver to notify the 383.75 Third party testing. driver’s current employer and the driv- 383.77 Substitute for driving skills tests. er’s State of domicile of certain convic- tions; Subpart F—Vehicle Groups and (3) Requires that a driver provide pre- Endorsements vious employment information when 383.91 Commercial motor vehicle groups. applying for employment as an opera- 383.93 Endorsements. tor of a commercial motor vehicle; 383.95 Air brake restrictions. (4) Prohibits an employer from allow- ing a person with a suspended license Subpart G—Required Knowledge and Skills to operate a commercial motor vehicle; 383.110 General requirement. (5) Establishes periods of disquali- 383.111 Required knowledge. fication and penalties for those persons 383.113 Required skills. convicted of certain criminal and other 383.115 Requirements for double/triple trail- offenses and serious traffic violations, ers endorsement. or subject to any suspensions, revoca- 383.117 Requirements for passenger endorse- tions, or cancellations of certain driv- ment. ing privileges; 383.119 Requirements for tank vehicle en- dorsement. (6) Establishes testing and licensing 383.121 Requirements for hazardous mate- requirements for commercial motor ve- rials endorsement. hicle operators; APPENDIX TO SUBPART G—REQUIRED KNOWL- (7) Requires States to give knowledge EDGE AND SKILLS—SAMPLE GUIDELINES and skills tests to all qualified appli- cants for commercial drivers’ licenses Subpart H—Tests which meet the Federal standard; 383.131 Test procedures. (8) Sets forth commercial motor ve- 383.133 Testing methods. hicle groups and endorsements; 383.135 Minimum passing scores. (9) Sets forth the knowledge and skills test requirements for the motor Subpart I [Reserved] vehicle groups and endorsements; (10) Sets forth the Federal standards Subpart J—Commercial Driver’s License for procedures, methods, and minimum Document passing scores for States and others to 383.151 General. use in testing and licensing commer- 383.153 Information on the document and cial motor vehicle operators; and application. (11) Establishes requirements for the 383.155 Tamperproofing requirements. State issued commercial license docu- AUTHORITY: 49 U.S.C. 31136, 31301 et seq., and mentation. 31502; and 49 CFR 1.48. [52 FR 20587, June 1, 1987, as amended at 53 SOURCE: 52 FR 20587, June 1, 1987, unless FR 27648, July 21, 1988; 54 FR 40787, Oct. 3, otherwise noted. 1989] Subpart A—General § 383.3 Applicability. (a) The rules in this part apply to § 383.1 Purpose and scope. every person who operates a commer- (a) The purpose of this part is to help cial motor vehicle (CMV) in interstate, reduce or prevent truck and bus acci- foreign, or intrastate commerce, to all dents, fatalities, and injuries by requir- employers of such persons, and to all ing drivers to have a single commercial States.
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(b) The exceptions contained in (3)(i) A driver, employed by an eligi- §390.3(f) of this subchapter do not apply ble unit of local government, operating to this part. The employers and drivers a commercial motor vehicle within the identified in §390.3(f) must comply with boundaries of that unit for the purpose the requirements of this part, unless of removing snow or ice from a road- otherwise provided in this section. way by plowing, sanding, or salting, if (c) Exception for certain military driv- (A) The properly licensed employee ers. Each State must exempt from the who ordinarily operates a commercial requirements of this part individuals motor vehicle for these purposes is un- who operate CMVs for military pur- able to operate the vehicle; or poses. This exception is applicable to (B) The employing governmental en- active duty military personnel; mem- tity determines that a snow or ice bers of the military reserves; member emergency exists that requires addi- of the national guard on active duty, tional assistance. including personnel on full-time na- (ii) This exemption shall not preempt tional guard duty, personnel on part- State laws and regulations concerning time national guard training, and na- the safe operation of commercial tional guard military technicians (ci- motor vehicles. vilians who are required to wear mili- (e) Restricted commercial drivers license tary uniforms); and active duty U.S. (CDL) for certain drivers in the State of Coast Guard personnel. This exception Alaska. (1) The State of Alaska may, at is not applicable to U.S. Reserve tech- its discretion, waive only the following nicians. requirements of this part and issue a (d) Exception for farmers, firefighters, CDL to each driver that meets the con- emergency response vehicle drivers, and ditions set forth in paragraphs (e) (2) drivers removing snow and ice. A State and (3) of this section: may, at its discretion, exempt individ- (i) The knowledge tests standards for uals identified in paragraphs (d)(1), testing procedures and methods of sub- (d)(2), and (d)(3) of this section from part H, but must continue to admin- the requirements of this part. The use ister knowledge tests that fulfill the of this waiver is limited to the driver’s content requirements of subpart G for home State unless there is a reciproc- all applicants; ity agreement with adjoining States. (ii) All the skills test requirements; (1) Operators of a farm vehicle which and is: (iii) The requirement under (i) Controlled and operated by a § 383.153(a)(4) to have a photograph on farmer, including operation by employ- the license document. ees or family members; (2) Drivers of CMVs in the State of (ii) Used to transport either agricul- Alaska must operate exclusively over tural products, farm machinery, farm roads that meet both of the following supplies, or both to or from a farm; criteria to be eligible for the exception (iii) Not used in the operations of a in paragraph (e)(1) of this section: common or contract motor carrier; and (i) Such roads are not connected by (iv) Used within 241 kilometers (150 land highway or vehicular way to the miles) of the farmer’s farm. land-connected State highway system; (2) Firefighters and other persons and who operate CMVs which are necessary (ii) Such roads are not connected to to the preservation of life or property any highway or vehicular way with an or the execution of emergency govern- average daily traffic volume greater mental functions, are equipped with than 499. audible and visual signals and are not (3) Any CDL issued under the terms subject to normal traffic regulation. of this paragraph must carry two re- These vehicles include fire trucks, strictions: hook and ladder trucks, foam or water (i) Holders may not operate CMVs transport trucks, police SWAT team over roads other than those specified in vehicles, ambulances, or other vehicles paragraph (e)(2) of this section; and that are used in response to emer- (ii) The license is not valid for CMV gencies. operation outside the State of Alaska.
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(f) Restricted CDL for certain drivers in (E) Has not had any conviction for a farm-related service industries. (1) A violation of State or local law relating State may, at its discretion, waive the to motor vehicle traffic control (other required knowledge and skills tests of than a parking violation) arising in subpart H of this part and issue re- connection with any traffic accident, stricted CDLs to employees of these and has no record of an accident in designated farm-related service indus- which he/she was at fault. tries: (ii) Restricted CDLs shall have the (i) Agri-chemical businesses; same renewal cycle as unrestricted (ii) Custom harvesters; CDLs, but shall be limited to the sea- (iii) Farm retail outlets and suppli- sonal period or periods as defined by ers; the State of licensure, provided that (iv) Livestock feeders. the total number of calendar days in (2) A restricted CDL issued pursuant any 12-month period for which the re- to this paragraph shall meet all the re- stricted CDL is valid does not exceed quirements of this part, except subpart 180. If a State elects to provide for H of this part. A restricted CDL issued more than one seasonal period, the re- pursuant to this paragraph shall be ac- stricted CDL is valid for commercial corded the same reciprocity as a CDL motor vehicle operation only during meeting all of the requirements of this the currently approved season, and part. The restrictions imposed upon must be revalidated for each successive the issuance of this restricted CDL season. Only one seasonal period of va- shall not limit a person’s use of the lidity may appear on the license docu- CDL in a non-CMV during either vali- ment at a time. The good driving dated or non-validated periods, nor record must be confirmed prior to any shall the CDL affect a State’s power to renewal or revalidation. administer its driver licensing program (iii) Restricted CDL holders are lim- for operators of vehicles other than ited to operating Group B and C vehi- CMVs. cles, as described in subpart F of this (3) A State issuing a CDL under the part. terms of this paragraph must restrict issuance as follows: (iv) Restricted CDLs shall not be (i) Applicants must have a good driv- issued with any endorsements on the li- ing record as defined in this paragraph. cense document. Only the limited tank Drivers who have not held any motor vehicle and hazardous materials en- vehicle operator’s license for at least dorsement privileges that the re- one year shall not be eligible for this stricted CDL automatically confers CDL. Drivers who have between one and are described in paragraph (f)(3)(v) and two years of driving experience of this section are permitted. must demonstrate a good driving (v) Restricted CDL holders may not record for their entire driving history. drive vehicles carrying any placardable Drivers with more than two years of quantities of hazardous materials, ex- driving experience must have a good cept for diesel fuel in quantities of 3,785 driving record for the two most recent liters (1,000 gallons) or less; liquid fer- years. For the purposes of this para- tilizers (i.e., plant nutrients) in vehi- graph, the term good driving record cles or implements of husbandry in means that an applicant: total quantities of 11,355 liters (3,000 (A) Has not had more than one li- gallons) or less; and solid fertilizers cense (except in the instances specified (i.e., solid plant nutrients) that are not in § 383.21(b)); transported with any organic sub- (B) Has not had any license sus- stance. pended, revoked, or canceled; (vi) Restricted CDL holders may not (C) Has not had any conviction for hold an unrestricted CDL at the same any type of motor vehicle for the dis- time. qualifying offenses contained in (vii) Restricted CDL holders may not § 383.51(b)(2); operate a commercial motor vehicle (D) Has not had any conviction for beyond 241 kilometers (150 miles) from any type of motor vehicle for serious the place of business or the farm cur- traffic violations; and rently being served.
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(g) Restricted CDL for certain drivers in (4) Restricted CDLs shall have the the pyrotechnic industry. (1) A State same renewal cycle as unrestricted may, at its discretion, waive the re- CDLs, but shall be limited to the sea- quired hazardous materials knowledge sonal period of June 30 through July 6 tests of subpart H of this part and issue of each year or a lesser period as de- restricted CDLs to part-time drivers fined by the State of licensure. operating commercial motor vehicles (5) Persons who operate commercial transporting less than 227 kilograms motor vehicles during the period from (500 pounds) of fireworks classified as July 7 through June 29 for purposes of DOT Class 1.3G explosives. transporting less than 227 kilograms (2) A State issuing a CDL under the (500 pounds) of fireworks classified as terms of this paragraph must restrict DOT Class 1.3G explosives in a vehicle issuance as follows: with a GVWR of less than 4,537 kilo- grams (10,001 pounds) and who also op- (i) The GVWR of the vehicle to be op- erate such vehicles for the same pur- erated must be less than 4,537 kilo- poses during the period June 30 grams (10,001 pounds); through July 6 shall not be issued a re- (ii) If a State believes, at its discre- stricted CDL pursuant to this para- tion, that the training required by graph. § 172.704 of this title adequately pre- pares part-time drivers meeting the [61 FR 9564, Mar. 8, 1996, as amended at 61 FR other requirements of this paragraph 14679, Apr. 3, 1996; 62 FR 1296, Jan. 9, 1997] to deal with fireworks and the other § 383.5 Definitions. potential dangers posed by fireworks transportation and use, the State may As used in this part: waive the hazardous materials knowl- Administrator means the Federal edge tests of subpart H of this part. Highway Administrator, the chief exec- The State may impose any require- utive of the Federal Highway Adminis- ments it believes is necessary to ensure tration, an agency within the Depart- ment of Transportation. itself that a driver is properly trained Alcohol or alcoholic beverage means: pursuant to § 172.704 of this title. (a) Beer as defined in 26 U.S.C. 5052(a), (iii) A restricted CDL document of the Internal Revenue Code of 1954, issued pursuant to this paragraph shall (b) wine of not less than one-half of one have a statement clearly imprinted on per centum of alcohol by volume, or (c) the face of the document that is sub- distilled spirits as defined in section stantially similar as follows: ‘‘For use 5002(a)(8), of such Code. as a CDL only during the period from Alcohol concentration (AC) means the June 30 through July 6 for purposes of concentration of alcohol in a person’s transporting less than 227 kilograms blood or breath. When expressed as a (500 pounds) of fireworks classified as percentage it means grams of alcohol DOT Class 1.3G explosives in a vehicle per 100 milliliters of blood or grams of with a GVWR of less than 4,537 kilo- alcohol per 210 liters of breath. grams (10,001 pounds). Commerce means (a) any trade, traffic (3) A restricted CDL issued pursuant or transportation within the jurisdic- to this paragraph shall meet all the re- tion of the United States between a quirements of this part, except those place in a State and a place outside of specifically identified. A restricted such State, including a place outside of CDL issued pursuant to this paragraph the United States and (b) trade, traffic, shall be accorded the same reciprocity and transportation in the United as a CDL meeting all of the require- States which affects any trade, traffic, ments of this part. The restrictions im- and transportation described in para- posed upon the issuance of this re- graph (a) of this definition. stricted CDL shall not limit a person’s Commercial driver’s license (CDL) use of the CDL in a non-CMV during ei- means a license issued by a State or ther validated or non-validated peri- other jurisdiction, in accordance with ods, nor shall the CDL affect a State’s the standards contained in 49 CFR part power to administer its driver licensing 383, to an individual which authorizes program for operators of vehicles other the individual to operate a class of a than CMVs. commercial motor vehicle.
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Commercial driver’s license information carrier safety contained in part 386 of system (CDLIS) means the CDLIS estab- this title, that a person is no longer lished by FHWA pursuant to section qualified to operate a commercial 12007 of the Commercial Motor Vehicle motor vehicle under part 391; or Safety Act of 1986. (c) The loss of qualification which Commercial motor vehicle (CMV) means automatically follows conviction of an a motor vehicle or combination of offense listed in § 383.51. motor vehicles used in commerce to Driver applicant means an individual transport passengers or property if the who applies to a State to obtain, trans- motor vehicle— fer, upgrade, or renew a CDL. (a) Has a gross combination weight Driver’s license means a license issued rating of 11,794 kilograms or more by a State or other jurisdiction, to an (26,001 pounds or more) inclusive of a towed unit with a gross vehicle weight individual which authorizes the indi- rating of more than 4,536 kilograms vidual to operate a motor vehicle on (10,000 pounds); or the highways. (b) Has a gross vehicle weight rating Driving a commercial motor vehicle of 11,794 or more kilograms (26,001 while under the influence of alcohol pounds or more); or means committing any one or more of (c) Is designed to transport 16 or the following acts in a CMV: driving a more passengers, including the driver; CMV while the person’s alcohol con- or centration is 0.04 percent or more; driv- (d) Is of any size and is used in the ing under the influence of alcohol, as transportation of materials found to be prescribed by State law; or refusal to hazardous for the purposes of the Haz- undergo such testing as is required by ardous Materials Transportation Act any State or jurisdiction in the en- and which require the motor vehicle to forcement of § 383.51(b)(2)(i)(A) or (B), be placarded under the Hazardous Ma- or § 392.5(a)(2). terials Regulations (49 CFR part 172, Eligible unit of local government means subpart F). a city, town, borough, county, parish, Controlled substance has the meaning district, or other public body created such term has under 21 U.S.C. 802(6) by or pursuant to State law which has and includes all substances listed on a total population of 3,000 individuals schedules I through V of 21 CFR 1308 or less. (§§ 1308.11 through 1308.15), as they may Employee means any operator of a be amended by the United States De- commercial motor vehicle, including partment of Justice. full time, regularly employed drivers; Conviction means an unvacated adju- casual, intermittent or occasional driv- dication of guilt, or a determination ers; leased drivers and independent, that a person has violated or failed to owner-operator contractors (while in comply with the law in a court of origi- the course of operating a commercial nal jurisdiction or by an authorized ad- motor vehicle) who are either directly ministrative tribunal, an unvacated employed by or under lease to an em- forfeiture of bail or collateral depos- ployer. ited to secure the person’s appearance in court, a plea of guilty or nolo Employer means any person (includ- contendere accepted by the court, the ing the United States, a State, District payment of a fine or court cost, or vio- of Columbia or a political subdivision lation of a condition of release without of a State) who owns or leases a com- bail, regardless of whether or not the mercial motor vehicle or assigns em- penalty is rebated, suspended, or pro- ployees to operate such a vehicle. bated.’’ Endorsement means an authorization Disqualification means either: to an individual’s CDL required to per- (a) The suspension, revocation, can- mit the individual to operate certain cellation, or any other withdrawal by a types of commercial motor vehicles. State of a person’s privileges to drive a Felony means an offense under State commercial motor vehicle; or or Federal law that is punishable by (b) A determination by the FHWA, death or imprisonment for a term ex- under the rules of practice for motor ceeding 1 year.
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Foreign means outside the fifty (d) Following the vehicle ahead too United States and the District of Co- closely; or lumbia. (e) A violation, arising in connection Gross combination weight rating with a fatal accident, of State or local (GCWR) means the value specified by law relating to motor vehicle traffic the manufacturer as the loaded weight control (other than a parking viola- of a combination (articulated) vehicle. tion). (Serious traffic violations ex- In the absence of a value specified by clude vehicle weight and defect viola- the manufacturer, GCWR will be deter- tions.) mined by adding the GVWR of the State means a State of the United power unit and the total weight of the States and the District of Columbia. towed unit and any load thereon. State of domicile means that State Gross vehicle weight rating (GVWR) where a person has his/her true, fixed, means the value specified by the manu- and permanent home and principal res- facturer as the loaded weight of a sin- idence and to which he/she has the in- gle vehicle. tention of returning whenever he/she is Hazardous materials has the meaning absent. such term has under section 103 of the Tank vehicle means any commercial Hazardous Materials Transportation motor vehicle that is designed to trans- Act. port any liquid or gaseous materials Motor vehicle means a vehicle, ma- within a tank that is either perma- chine, tractor, trailer, or semitrailer nently or temporarily attached to the propelled or drawn by mechanical vehicle or the chassis. Such vehicles power used on highways, except that include, but are not limited to, cargo such term does not include a vehicle, tanks and portable tanks, as defined in machine, tractor, trailer, semitrailer part 171 of this title. However, this def- operated exclusively on a rail. inition does not include portable tanks Nonresident CDL means a CDL issued having a rated capacity under 1,000 gal- by a State to an individual domiciled lons. in a foreign country. United States the term United States Out-of-service order means a declara- means the 50 States and the District of tion by an authorized enforcement offi- Columbia. cer of a Federal, State, Canadian, Vehicle means a motor vehicle unless Mexican, or local jurisdiction that a otherwise specified. driver, a commercial motor vehicle, or Vehicle group means a class or type of a motor carrier operation, is out-of- vehicle with certain operating charac- service pursuant to §§ 386.72, 392.5, teristics. 395.13, 396.9, or compatible laws, or the North American Uniform Out-of-Serv- [52 FR 20587, June 1, 1987, as amended at 53 ice Criteria. FR 27648, July 21, 1988; 53 FR 39050, Oct. 4, Representative vehicle means a motor 1988; 54 FR 40787, Oct. 3, 1989; 59 FR 26028, vehicle which represents the type of May 18, 1994; 61 FR 9566, Mar. 8, 1996; 61 FR motor vehicle that a driver applicant 14679, Apr. 3, 1996; 62 FR 37151, July 11, 1997] operates or expects to operate. § 383.7 Waiver provisions. Serious traffic violation means convic- tion, when operating a commercial (a) Any person subject to a require- motor vehicle, of: ment of this part may petition the Ad- (a) Excessive speeding, involving any ministrator for a waiver of compliance single offense for any speed of 15 miles by a class of persons or a class of com- per hour or more above the posted mercial motor vehicles with such re- speed limit; quirement. (b) Reckless driving, as defined by (b) Each petition for a waiver under State or local law or regulation, in- this section shall be made in writing, cluding but not limited to offenses of preferably in triplicate, and shall: driving a commercial motor vehicle in (1) Include the name and complete willful or wanton disregard for the address of petitioner; safety of persons or property; (2) Identify the requirement the peti- (c) Improper or erratic traffic lane tioner wants waived and any informa- changes; tion in support of the request;
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(3) Identify the class of persons or motor vehicle that person operates or class of commercial motor vehicle for expects to operate. which the waiver is sought. (2) Effective April 1, 1992, except as (4) Identify the type of operation ad- provided in paragraph (b) of this sec- dressed in the petition. tion, no person shall operate a com- (5) Indicate what benefit would be de- mercial motor vehicle unless such per- rived from the issuance of a waiver. son possesses a CDL which meets the (6) Indicate why the petition, if standards contained in subpart J of granted, would not diminish the safe this part, issued by his/her State or ju- operation of commercial motor vehi- cles. risdiction of domicile. (7) Include any other pertinent mate- (b) Exception. If a commercial motor rial the Administrator may require. vehicle operator is domiciled in a for- (c) If the Administrator determines eign jurisdiction which, as determined that the petition is without merit, the by the Administrator, does not test Administrator may deny the petition. drivers and issue a CDL in accordance Notice of the denial, with the reasons with, or similar to, the standards con- therefor, will be provided to the peti- tained in subparts F, G, and H of this tioner in writing. part, the person shall obtain a Non- (d) If the Administrator determines resident CDL from a State which does that the petition may have merit, no- comply with the testing and licensing tice of the petition will be published in standards contained in such subparts the FEDERAL REGISTER, and interested F, G, and H. 1 persons will be afforded an opportunity (c) Learner’s permit. State learner’s to comment thereon. After such notice permits, issued for limited time periods and opportunity for comment, the Ad- ministrator may grant or deny the pe- according to State requirements, shall tition. Notice of the disposition of the be considered valid commercial drivers’ petition, with the reasons therefor, will licenses for purposes of behind-the- be published in the FEDERAL REGISTER. wheel training on public roads or high- ways, if the following minimum condi- Subpart B—Single License tions are met: Requirement (1) The learner’s permit holder is at all time accompanied by the holder of § 383.21 Number of drivers’ licenses. a valid CDL; and (a) No person who operates a com- (2) He/she either holds a valid auto- mercial motor vehicle shall at any mobile driver’s license, or has passed time have more than one driver’s li- such vision, sign/symbol, and knowl- cense. edge tests as the State issuing the (b) Exception: learner’s permit ordinarily administers (1) During the 10-day period begin- ning on the date such person is issued 1 Effective December 29, 1988, the Adminis- a driver’s license, a person may hold trator determined that commercial drivers’ more than one driver’s license. licensees issued by Canadian Provinces and (2) A person may have more than one Territories in conformity with the Canadian driver’s license if a State law enacted National Safety Code are in accordance with before June 1, 1986, required the person the standards of this part. Effective Novem- to have more than one driver’s license. ber 21, 1991, the Administrator determined After December 31, 1989, this exception that the new Licencias Federales de Conduc- shall not apply. tor issued by the United Mexican States are in accordance with the standards of this § 383.23 Commercial driver’s license. part. Therefore, under the single license pro- vision of § 383.21, a driver holding a commer- (a) General rule. (1) Effective April 1, cial driver’s license issued under the Cana- 1992, no person shall operate a commer- dian National Safety Code or a new Licencia cial motor vehicle unless such person Federal de Conductor issued by Mexico is has taken and passed written and driv- prohibited from obtaining nonresident CDL, ing tests which meet the Federal or any other type of driver’s license, from a standards contained in subparts F, G, State or other jurisdiction in the United and H of this part for the commercial States.
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to applicants for automobile drivers’ li- leges which resulted from such convic- censes. tion(s); [53 FR 27649, July 21, 1988, as amended at 54 (5) Indication whether the violation FR 22285, May 23, 1989; 57 FR 31457, July 16, was in a commercial motor vehicle; 1992] (6) Location of offense; and (7) Driver’s signature. Subpart C—Notification Require- [52 FR 20587, June 1, 1987, as amended at 54 ments and Employer Respon- FR 40787, Oct. 3, 1989] sibilities § 383.33 Notification of driver’s license § 383.31 Notification of convictions for suspensions. driver violations. Each employee who has a driver’s li- (a) Each person who operates a com- cense suspended, revoked, or canceled mercial motor vehicle, who has a com- by a State or jurisdiction, who loses mercial driver’s license issued by a the right to operate a commercial State or jurisdiction, and who is con- motor vehicle in a State or jurisdiction victed of violating, in any type of for any period, or who is disqualified motor vehicle, a State or local law re- from operating a commercial motor ve- lating to motor vehicle traffic control hicle for any period, shall notify his/ (other than a parking violation) in a her current employer of such suspen- State or jurisdiction other than the sion, revocation, cancellation, lost one which issued his/her license, shall privilege, or disqualification. The noti- notify an official designated by the fication must be made before the end of State or jurisdiction which issued such the business day following the day the license, of such conviction. The notifi- employee received notice of the suspen- cation must be made within 30 days sion, revocation, cancellation, lost after the date that the person has been privilege, or disqualification. convicted. (b) Each person who operates a com- [54 FR 40788, Oct. 3, 1989] mercial motor vehicle, who has a com- § 383.35 Notification of previous em- mercial driver’s license issued by a ployment. State or jurisdiction, and who is con- victed of violating, in any type of (a) Any person applying for employ- motor vehicle, a State or local law re- ment as an operator of a commercial lating to motor vehicle traffic control motor vehicle shall provide at the time (other than a parking violation), shall of application for employment, the in- notify his/her current employer of such formation specified in paragraph (c) of conviction. The notification must be this section. made within 30 days after the date that (b) All employers shall request the the person has been convicted. If the information specified in paragraph (c) driver is not currently employed, he/ of this section from all persons apply- she must notify the State or jurisdic- ing for employment as a commercial tion which issued the license according motor vehicle operator. The request to § 383.31(a). shall be made at the time of applica- (c) Notification. The notification to tion for employment. the State official and employer must (c) The following employment his- be made in writing and contain the fol- tory information for the 10 years pre- lowing information: ceding the date the application is sub- (1) Driver’s full name; mitted shall be presented to the pro- (2) Driver’s license number; spective employer by the applicant: (3) Date of conviction; (1) A list of the names and addresses (4) The specific criminal or other of- of the applicant’s previous employers fense(s), serious traffic violation(s), for which the applicant was an opera- and other violation(s) of State or local tor of a commercial motor vehicle; law relating to motor vehicle traffic (2) The dates the applicant was em- control, for which the person was con- ployed by these employers; and victed and any suspension, revocation, (3) The reason for leaving such em- or cancellation of certain driving privi- ployment.
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(d) The applicant shall certify that (b) Disqualification for driving while all information furnished is true and under the influence, leaving the scene complete. of an accident, or commission of a fel- (e) An employer may require an ap- ony. plicant to provide additional informa- (1) General rule. A driver who is con- tion. victed of a disqualifying offense speci- (f) Before an application is submit- fied in paragraph (b)(2) of this section, ted, the employer shall inform the ap- is disqualified for the period of time plicant that the information he/she specified in paragraph (b)(3) of this sec- provides in accordance with paragraph tion, if the offense was committed (c) of this section may be used, and the while operating a commercial motor applicant’s previous employers may be vehicle. contacted for the purpose of investigat- (2) Disqualifying offenses. The follow- ing the applicant’s work history. ing offenses are disqualifying offenses: (i) Driving a commercial motor vehi- § 383.37 Employer responsibilities. cle while under the influence of alco- No employer shall knowingly allow, hol. This shall include: require, permit, or authorize an em- (A) Driving a commercial motor ve- ployee to operate a commercial motor hicle while the person’s alcohol con- vehicle in the United States during any centration is 0.04 percent or more; or period— (B) Driving under the influence of al- (a) In which the employee has a com- cohol, as prescribed by State law; or mercial motor vehicle driver’s license (C) Refusal to undergo such testing suspended, revoked, or canceled by a as is required by any State or jurisdic- State, has lost the right to operate a tion in the enforcement of commercial motor vehicle in a State, § 383.51(b)(2)(i)(A) or (B), or § 392.5(a)(2). or has been disqualified from operating (ii) Driving a commercial motor vehi- a commercial motor vehicle; cle while under the influence of a con- (b) In which the employee has more trolled substance as defined by § 383.5 of than one commercial motor vehicle this part. driver’s license, except during the 10- (iii) Leaving the scene of an accident day period beginning on the date such involving a commercial motor vehicle; employee is issued a driver’s license (iv) A felony involving the use of a and except, whenever a State law en- commercial motor vehicle, other than acted on or before June 1, 1986, requires a felony described in paragraph such employee to have more than one (b)(2)(v) of this section; or driver’s license. The second exception (v) The use of a commercial motor shall not be effective after December vehicle in the commission of a felony 31, 1989; or involving manufacturing, distributing, (c) In which the employee, or the or dispensing a controlled substance as motor vehicle he/she is driving, or the defined by § 383.5 of this part. motor carrier operation, is subject to (3) Duration of disqualification for driv- an out-of-service order. ing while under the influence, leaving the scene of an accident, or commission of a [52 FR 20587, June 1, 1987; 52 FR 32926, Sept. felony—(i) First offenders. A driver who 1, 1987, as amended at 59 FR 26028, May 18, 1994] is convicted of an offense described in paragraphs (b)(2)(i) through (b)(2)(iv) of this section, is disqualified for a period Subpart D—Driver Disqualifications of one year provided the vehicle was and Penalties not transporting hazardous materials required to be placarded under the Haz- § 383.51 Disqualification of drivers. ardous Materials Transportation Act (a) General. A driver who is disquali- (49 U.S.C. 5101 et seq.). fied shall not drive a commercial (ii) First offenders transporting hazard- motor vehicle. An employer shall not ous materials. A driver who is convicted knowingly allow, require, permit, or of an offense described in paragraphs authorize a driver who is disqualified (b)(2)(i) through (b)(2)(iv) of this sec- to drive a commercial motor vehicle. tion, is disqualified for a period of
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three years if the vehicle was trans- (ii) Third violation. A driver who, dur- porting hazardous materials required ing any 3-year period, is convicted of to be placarded under the Hazardous three serious traffic violations in sepa- Materials Transportation Act (49 rate incidents, is disqualified for a pe- U.S.C. 5101 et seq.). riod of 120 days. (iii) First offenders of controlled sub- (d) Disqualification for violation of out- stance felonies. A driver who is con- of-service orders—(1) General rule. A victed of an offense described in para- driver who is convicted of violating an graph (b)(2)(v) of this section, is dis- out-of-service order while driving a qualified for life. commercial motor vehicle is disquali- (iv) Subsequent offenders. A driver fied for the period of time specified in who is convicted of an offense de- paragraph (d)(2) of this section. In addi- scribed in paragraphs (b)(2)(i) through tion, such driver is subject to special (b)(2)(iv) of this section, is disqualified penalties as contained in § 383.53(b). for life if the driver had been convicted (2) Duration of disqualification for vio- once before in a separate incident of lation of out-of-service orders—(i) First any offense described in paragraphs violation. A driver is disqualified for (b)(2)(i) through (b)(2)(iv) of this sec- not less than 90 days nor more than one tion. year if the driver is convicted of a first (v) Any driver disqualified for life violation of an out-of-service order. (ii) Second violation. A driver is dis- under § 383.51(b)(3)(iv) of this para- qualified for not less than one year nor graph, who has both voluntarily en- more than five years if, during any 10- rolled in and successfully completed, year period, the driver is convicted of an appropriate rehabilitation program two violations of out-of-service orders which meets the standards of his/her in separate incidents. State’s driver licensing agency, may (iii) Third or subsequent violation. A apply to the licensing agency for rein- driver is disqualified for not less than statement of his/her commercial driv- three years nor more than five years if, er’s license. Such applicants shall not during any 10-year period, the driver is be eligible for reinstatement from the convicted of three or more violations State unless and until such time as he/ of out-of-service orders in separate in- she has first served a minimum dis- cidents. qualification period of 10 years and has (iv) Special rule for hazardous materials fully met the licensing State’s stand- and passenger offenses. A driver is dis- ards for reinstatement of commercial qualified for a period of not less than motor vehicle driving privileges. 180 days nor more than two years if the Should a reinstated driver be subse- driver is convicted of a first violation quently convicted of another disquali- of an out-of-service order while trans- fying offense, as specified in para- porting hazardous materials required graphs (b)(2)(i) through (b)(2)(iv) of this to be placarded under the Hazardous section, he/she shall be permanently Materials Transportation Act (49 disqualified for life, and shall be ineli- U.S.C. 5101 et seq.), or while operating gible to again apply for a reduction of motor vehicles designed to transport the lifetime disqualification. more than 15 passengers, including the (c) Disqualification for serious traffic driver. A driver is disqualified for a pe- violations—(1) General rule. A driver riod of not less than three years nor who is convicted of serious traffic vio- more than five years if, during any 10- lations is disqualified for the period of year period, the driver is convicted of time specified in paragraph (c)(2) of any subsequent violations of out-of- this section, if the offenses were com- service orders, in separate incidents, mitted while operating a commercial while transporting hazardous materials motor vehicle. required to be placarded under the Haz- (2) Duration of disqualification for seri- ardous Materials Transportation Act, ous traffic violations—(i) Second viola- or while operating motor vehicles de- tion. A driver who, during any 3-year signed to transport more than 15 pas- period, is convicted of two serious traf- sengers, including the driver. fic violations in separate incidents, is (e) Substantial compliance by States. (1) disqualified for a period of 60 days. Nothing in this rule shall be construed
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to require a State to apply its criminal 391 of this title, shall certify that he/ or other sanctions for driving under she meets the qualification require- the influence to a person found to have ments contained in part 391 of this operated a commercial motor vehicle title. A person who operates or expects with an alcohol concentration of 0.04 to operate entirely in intrastate com- percent, except licensing sanctions in- merce and is not subject to part 391, is cluding suspension, revocation, or can- subject to State driver qualification re- cellation. quirements and must certify that he/ (2) A State that enacts and enforces she is not subject to part 391; through licensing sanctions the dis- (2) Pass a knowledge test in accord- qualifications prescribed in § 383.51(b) ance with the standards contained in at the 0.04 alcohol concentration level subparts G and H of this part for the and gives full faith and credit to the type of motor vehicle the person oper- disqualification of commercial motor ates or expects to operate; vehicle drivers by other States shall be (3) Pass a driving or skills test in ac- deemed in substantial compliance with cordance with the standards contained section 12009(a)(3) of the Commercial in subparts G and H of this part taken Motor Vehicle Safety Act of 1986. in a motor vehicle which is representa- [52 FR 20587, June 1, 1987, as amended at 53 tive of the type of motor vehicle the FR 39050, Oct. 4, 1988; 54 FR 40788, Oct. 3, 1989; person operates or expects to operate; 55 FR 6727, Feb. 26, 1990; 57 FR 53295, Nov. 9, or provide evidence that he/she has suc- 1992; 59 FR 26028, May 18, 1994; 62 FR 37151, cessfully passed a driving test adminis- July 11, 1997] tered by an authorized third party; § 383.53 Penalties. (4) Certify that the motor vehicle in which the person takes the driving (a) General rule. Any person who vio- skills test is representative of the type lates the rules set forth in subparts B of motor vehicle that person operates and C of this part may be subject to or expects to operate; civil or criminal penalties as provided (5) Provide to the State of issuance for in 49 U.S.C. 521(b). the information required to be included (b) Special penalties pertaining to viola- on the CDL as specified in subpart J of tion of out-of-service orders—(1) Driver this part; violations. A driver who is convicted of (6) Certify that he/she is not subject violating an out-of-service order shall to any disqualification, suspension, be subject to a civil penalty of not less revocation, or cancellation as con- than $1,000 nor more than $2,500, in ad- tained in § 383.51 and that he/she does dition to disqualification under not have a driver’s license from more § 383.51(d). than one State or jurisdiction. (2) Employer violations. An employer who is convicted of a violation of (7) The applicant shall surrender his/ § 383.37(c) shall be subject to a civil pen- her non-CDL driver’s licenses to the alty of not less than $2,500 nor more State. than $10,000. (b) License transfer. When applying to transfer a CDL from one State of domi- [59 FR 26028, May 18, 1994] cile to a new State domicile, an appli- cant shall apply for a CDL from the Subpart E—Testing and Licensing new State of domicile within no more Procedures than 30 days after establishing his/her new domicile. The applicant shall: SOURCE: 53 FR 27649, July 21, 1988, unless (1) Provide to the new State of domi- otherwise noted. cile the certifications contained in § 383.71(a) (1) and (6): § 383.71 Driver application procedures. (2) Provide to the new State of domi- (a) Initial Commercial Driver’s License. cile updated information as specified in Prior to obtaining a CDL, a person subpart J of this part; must meet the following requirements: (3) If the applicant wishes to retain a (1) A person who operates or expects hazardous materials endorsement, to operate in interstate or foreign com- comply with State requirements as merce, or is otherwise subject to part specified in § 383.73(b)(4); and
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(4) Surrender the CDL from the old with respect to initial licensing, li- State of domicile to the new State of cense transfer, license renewal, and li- domicile. cense upgrades. (c) License renewal. When applying for a renewal of a CDL, all applicants § 383.72 Implied consent to alcohol shall: testing. (1) Provide certification contained in Any person who holds a CDL shall be § 383.71(a)(1); deemed to have consented to such test- (2) Provide update information as ing as is required of him/her by any specified in subpart J of this part; and State or jurisdiction in the enforce- (3) If a person wishes to retain a haz- ment of § 383.51(b)(2)(i) and § 392.5(a)(2). ardous materials endorsement, pass the Consent is implied by driving a com- test for such endorsement as specified mercial motor vehicle. in § 383.121. (d) License upgrades. When applying [53 FR 39051, Oct. 4, 1988] to operate a commercial motor vehicle § 383.73 State procedures. in a different group or endorsement from the group or endorsement in (a) Initial licensure. Prior to issuing a which the applicant already has a CDL, CDL to a person, a State shall: all persons shall: (1) Require the driver applicant to (1) Provide the necessary certifi- certify, pass tests, and provide infor- cations as specified in § 383.71(a) (1) and mation as described in §§ 383.71(a) (1) (4); and through (6); (2) Pass all tests specified in (2) Check that the vehicle in which § 383.71(a) (2) and (3) for the new vehicle the applicant takes his/her test is rep- group and/or different endorsements. resentative of the vehicle group the ap- (e) Nonresident CDL. When an appli- plicant has certified that he/she oper- cant is domiciled in a foreign jurisdic- ates or expects to operate; tion, as defined in § 383.5, where the (3) Initiate and complete a check of commercial motor vehicle operator the applicant’s driving record to ensure testing and licensing standards do not that the person is not subject to any meet the standards contained in sub- disqualification, suspensions, revoca- parts G and H of this part, as deter- tions, or cancellations as contained in mined by the Administrator, such ap- § 383.51 and that the person does not plicant shall obtain a Nonresident CDL have a driver’s license from more than from a State which meets such stand- one State. The record check shall in- ards. Such applicant shall: clude but not be limited to the follow- (1) Complete the requirements to ob- ing: tain a CDL contained in § 383.71(a); and (i) A check of the applicant’s driving (2) After receipt of the CDL, and for record as maintained by his/her current as long as it is valid, notify the State State of licensure, if any; which issued the CDL of any adverse (ii) A check with the CDLIS to deter- action taken by any jurisdiction or mine whether the driver applicant al- governmental agency, foreign or do- ready has a CDL, whether the appli- mestic, against his/her driving privi- cant’s license has been suspended, re- leges. Such adverse actions would in- voked, or canceled, or if the applicant clude but not be limited to license sus- has been disqualified from operating a pension or revocation, or disqualifica- commercial motor vehicle; and tion from operating a commercial (iii) A check with the National Driv- motor vehicle for the convictions de- er Register (NDR), when it is deter- scribed in § 383.51. Notifications shall be mined to be operational by the Na- made within the time periods specified tional Highway Traffic Safety Admin- in § 383.33. istrator, to determine whether the (f) If a State uses the alternative driver applicant has: method described in § 383.73(i) to (A) Been disqualified from operating achieve the objectives of the certifi- a motor vehicle (other than a commer- cations in § 383.71(a), then the driver cial motor vehicle); applicant shall satisfy such alternative (B) Had a license (other than CDL) methods as are applicable to him/her suspended, revoked, or canceled for
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cause in the 3-year period ending on (e) Nonresident CDL. A State may the date of application; or issue a Nonresident CDL to a person (C) Been convicted of any offenses domiciled in a foreign country if the contained in section 205(a)(3) of the Na- Administrator has determined that the tional Drivers Register Act of 1982 (23 commercial motor vehicle testing and U.S.C. 401 note); and licensing standards in the foreign juris- (4) Require the driver applicant, if he/ diction of domicile do not meet the she has moved from another State, to standards contained in this part. State surrender his/her driver’s license issued procedures for the issuance of a non- by another State. resident CDL, for any modifications (b) License transfers. Prior to issuing thereto, and for notifications to the a CDL to a person who has a CDL from CDLIS shall at a minimum be identical another State, a State shall: to those pertaining to any other CDL, (1) Require the driver applicant to with the following exceptions: make the certifications contained in (1) If the applicant is requesting a § 383.71(a); transfer of his/her Nonresident CDL, (2) Complete a check of the driver ap- the State shall obtain the Nonresident plicant’s record as contained in CDL currently held by the applicant § 383.73(a)(3); and issued by another State; (3) Request and receive updates of in- (2) The State shall add the word formation specified in subpart J of this ‘‘Nonresident’’ to the face of the CDL, part; in accordance with § 383.153(b); and (4) If such applicant wishes to retain (3) The State shall have established, a hazardous materials endorsement, prior to issuing any Nonresident CDL, ensure that the driver has, within the 2 the practical capability of disqualify- years preceding the transfer, either: ing the holder of any Nonresident CDL, (i) Passed the test for such endorse- by withdrawing, suspending, canceling, ment specified in § 383.121; or and revoking his/her Nonresident CDL (ii) Successfully completed a hazard- as if the Nonresident CDL were a CDL ous materials test or training that is issued to a resident of the State. given by a third party and that is (f) License issuance. After the State deemed by the State to substantially has completed the procedures described cover the same knowledge base as that in § 383.73 (a), (b), (c), (d) or (e), it may described in § 383.121; and issue a CDL to the driver applicant. (5) Obtain the CDL issued by the ap- The State shall notify the operator of plicant’s previous State of domicile. the CDLIS of such issuance, transfer, (c) License Renewals. Prior to renew- renewal, or upgrade within the 10-day ing any CDL a State shall: period beginning on the date of license (1) Require the driver applicant to issuance. make the certifications contained in (g) Penalties for false information. If a § 383.71(a); State determines, in its check of an ap- (2) Complete a check of the driver ap- plicant’s license status and record plicant’s record as contained in prior to issuing a CDL, or at any time § 383.73(a)(3); after the CDL is issued, that the appli- (3) Request and receive updates of in- cant has falsified information con- formation specified in subpart J of this tained in subpart J of this part or any part; and of the certifications required in (4) If such applicant wishes to retain § 383.71(a), the State shall at a mini- a hazardous materials endorsement, re- mum suspend, cancel, or revoke the quire the driver to pass the test for person’s CDL or his/her pending appli- such endorsement specified in § 383.121. cation, or disqualify the person from (d) License upgrades. Prior to issuing operating a commercial motor vehicle an upgrade of a CDL, a State shall: for a period of at least 60 consecutive (1) Require such driver applicant to days. provide certifications and pass tests as (h) Reciprocity. A State shall allow described in § 383.71(d); and any person who has a valid CDL which (2) Complete a check of the driver ap- is not suspended, revoked, or canceled, plicant’s record as described in and who is not disqualified from oper- § 383.73(a)(3). ating a commercial motor vehicle, to
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operate a commercial motor vehicle in thorized third party shall provide evi- the State. dence to the State licensing agency (i) Alternative procedures. A State that he/she has successfully passed the may implement alternative procedures driving tests administered by the third to the certification requirements of party. § 383.71(a) (1), (4), and (6), provided those procedures ensure that the driver § 383.77 Substitute for driving skills meets the requirements of those para- tests. graphs. At the discretion of a State, the driv- [53 FR 27649, July 21, 1988, as amended at 54 ing skill test as specified in § 383.113 FR 40788, Oct. 3, 1989] may be waived for a CMV operator who is currently licensed at the time of his/ § 383.75 Third party testing. her application for a CDL, and sub- (a) Third party tests. A State may au- stituted with either an applicant’s thorize a person (including another driving record and previous passage of State, an employer, a private driver an acceptable skills test, or an appli- training facility or other private insti- cant’s driving record in combination tution, or a department, agency or in- with certain driving experience. The strumentality of a local government) State shall impose conditions and limi- to administer the skills tests as speci- tations to restrict the applicants from fied in subparts G and H of this part, if whom a State may accept alternative the following conditions are met: requirements for the skills test de- (1) The tests given by the third party scribed in § 383.113. Such conditions are the same as those which would oth- must require at least the following: erwise be given by the State; and (a) An applicant must certify that, (2) The third party as an agreement during the two-year period imme- with the State containing, at a mini- diately prior to applying for a CDL, he/ mum, provisions that: she: (i) Allow the FHWA, or its represent- (1) Has not had more than one license ative, and the State to conduct random (except in the instances specified in examinations, inspections and audits § 383.21(b)); without prior notice; (2) Has not had any license sus- (ii) Require the State to conduct on- pended, revoked, or canceled; site inspections at least annually; (3) Has not had any convictions for (iii) Require that all third party ex- any type of motor vehicle for the dis- aminers meet the same qualification qualifying offenses contained in and training standards as State exam- § 383.51(b)(2); iners, to the extent necessary to con- (4) Has not had more than one con- duct skills tests in compliance with viction for any type of motor vehicle subparts G and H; for serious traffic violations; and (iv) Require that, at least on an an- (5) Has not had any conviction for a nual basis, State employees take the violation of State or local law relating tests actually administered by the to motor vehicle traffic control (other third party as if the State employee than a parking violation) arising in were a test applicant, or that States connection with any traffic accident, test a sample of drivers who were ex- and has no record of an accident in amined by the third party to compare which he/she was at fault; and pass/fail results; and (b) An applicant must provide evi- (v) Reserve unto the State the right dence and certify that: to take prompt and appropriate reme- (1) He/she is regularly employed in a dial action against the third-party job requiring operation of a CMV, and testers in the event that the third- that either: party fails to comply with State or (2) He/she has previously taken and Federal standards for the CDL testing passed a skills test given by a State program, or with any other terms of with a classified licensing and testing the third-party contract. system, and that the test was behind- (b) Proof of testing by a third party. A the-wheel in a representative vehicle driver applicant who takes and passes for that applicant’s driver’s license driving tests administered by an au- classification; or
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(3) He/she has operated, for at least 2 Group A nor that of Group B as con- years immediately preceding applica- tained in this section, but that either tion for a CDL, a vehicle representative is designed to transport 16 or more pas- of the commercial motor vehicle the sengers including the driver, or is used driver applicant operates or expects to in the transportation of materials operate. found to be hazardous for the purposes [53 FR 27649, July 21, 1988, as amended at 55 of the Hazardous Materials Transpor- FR 25606, June 22, 1990] tation Act and which require the motor vehicle to be placarded under the Haz- Subpart F—Vehicle Groups and ardous Materials Regulations (49 CFR Endorsements part 172, subpart F). (b) Representative vehicle. For pur- poses of taking the driving test in ac- SOURCE: 53 FR 27651, July 21, 1988, unless cordance with § 383.113, a representative otherwise noted. vehicle for a given vehicle group con- § 383.91 Commercial motor vehicle tained in § 383.91(a), is any commercial groups. motor vehicle which meets the defini- tion of that vehicle group. (a) Vehicle group descriptions. Each driver applicant must possess and be (c) Relation between vehicle groups. tested on his/her knowledge and skills, Each driver applicant who desires to described in subpart G of this part, for operate in a different commercial the commercial motor vehicle group(s) motor vehicle group from the one for which he/she desires a CDL. The which his/her CDL authorizes shall be commercial motor vehicle groups are required to retake and pass all related as follows: tests, except the following: (1) Combination vehicle (Group A)— (1) A driver who has passed the Any combination of vehicles with a knowledge and skills tests for a com- gross combination weight rating bination vehicle (Group A) may operate (GCWR) of 11,794 kilograms or more a heavy straight vehicle (Group B) or a (26,001 pounds or more) provided the small vehicle (Group C), provided that GVWR of the vehicle(s) being towed is he/she possesses the requisite endorse- in excess of 4,536 kilograms (10,000 ment(s); and pounds). (2) A driver who has passed the (2) Heavy Straight Vehicle (Group knowledge and skills tests for a heavy B)—Any single vehicle with a GVWR of straight vehicle (Group B) may operate 11,794 kilograms or more (26,001 pounds any small vehicle (Group C), provided or more), or any such vehicle towing a that he/she possesses the requisite en- vehicle not in excess of 4,536 kilograms dorsement(s). (10,000 pounds) GVWR. (d) Vehicle group illustration. Figure 1 (3) Small Vehicle (Group C)—Any sin- illustrates typical vehicles within each gle vehicle, or combination of vehicles, of the vehicle groups defined in this that meets neither the definition of section.
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[53 FR 27651, July 21, 1988, as amended at 54 FR 47989, Nov. 20, 1989; 61 FR 9566, Mar. 8, 1996]
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§ 383.93 Endorsements. necessary to operate a commercial (a) General. In addition to taking and motor vehicle safely as contained in passing the knowledge and skills tests this subpart. A sample of the specific described in subpart G of this part, all types of items which a State may wish persons who operate or expect to oper- to include in the knowledge and skills ate the type(s) of motor vehicles de- tests that it administers to CDL appli- scribed in paragraph (b) of this section cants is included in the appendix to shall take and pass specialized tests to this subpart G. obtain each endorsement. The State § 383.111 Required knowledge. shall issue CDL endorsements only to drivers who successfully complete the All commercial motor vehicle opera- tests. tors must have knowledge of the fol- (b) Endorsement descriptions. An oper- lowing general areas: ator must obtain State-issued endorse- (a) Safe operations regulations. Driver- ments to his/her CDL to operate com- related elements of the regulations mercial motor vehicles which are: contained in 49 CFR parts 382, 391, 392, (1) Double/triple trailers; 393, 395, 396, and 397, such as: Motor ve- (2) Passenger vehicles; hicle inspection, repair, and mainte- (3) Tank vehicles; or nance requirements; procedures for (4) Required to be placarded for haz- safe vehicle operations; the effects of ardous materials. fatigue, poor vision, hearing, and gen- (c) Endorsement testing requirements. eral health upon safe commercial The following tests are required for the motor vehicle operation; the types of endorsements contained in paragraph motor vehicles and cargoes subject to (b) of this section: the requirements; and the effects of al- (1) Double/Triple Trailers—a knowl- cohol and drug use upon safe commer- edge test; cial motor vehicle operations. (2) Passenger—a knowledge and a (b) Commercial motor vehicle safety skills test; control systems. Proper use of the motor (3) Tank vehicle—a knowledge test; vehicle’s safety system, including and lights, horns, side and rear-view mir- (4) Hazardous Materials—a knowledge rors, proper mirror adjustments, fire test. extinguishers, symptoms of improper operation revealed through instru- § 383.95 Air brake restrictions. ments, motor vehicle operation charac- (a) If an applicant either fails the air teristics, and diagnosing malfunctions. brake component of the knowledge Commercial motor vehicle drivers shall test, or performs the skills test in a ve- have knowledge on the correct proce- hicle not equipped with air brakes, the dures needed to use these safety sys- State shall indicate on the CDL, if tems in an emergency situation, e.g., issued, that the person is restricted skids and loss of brakes. from operating a CMV equipped with (c) Safe vehicle control—(1) Control sys- air brakes. tems The purpose and function of the (b) For the purposes of the skills test controls and instruments commonly and the restriction, air brakes shall in- found on commercial motor vehicles. clude any braking system operating (2) Basic control. The proper proce- fully or partially on the air brake prin- dures for performing various basic ma- ciple. neuvers. (3) Shifting. The basic shifting rules Subpart G—Required Knowledge and terms, as well as shift patterns and and Skills procedures for common transmissions. (4) Backing. The procedures and rules SOURCE: 53 FR 27654, July 21, 1988, unless for various backing maneuvers. otherwise noted. (5) Visual search. The importance of proper visual search, and proper visual § 383.110 General requirement. search methods. All drivers of commercial motor ve- (6) Communication. The principles and hicles shall have knowledge and skills procedures for proper communications
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and the hazards of failure to signal (5) Procedures to conduct safe and ac- properly. curate pre-trip inspections. (7) Speed management. The impor- (6) Procedures for conducting enroute tance of understanding the effects of and post-trip inspections of air actu- speed. ated brake systems, including ability (8) Space management. The procedures to detect defects which may cause the and techniques for controlling the system to fail. space around the vehicle. (h) Operators for the combination vehi- (9) Night operation. Preparations and cle group shall also have knowledge of: procedures for night driving. (1) Coupling and uncoupling—The (10) Extreme driving conditions. The procedures for proper coupling and un- basic information on operating in ex- coupling a tractor to semi-trailer. treme driving conditions and the haz- (2) Vehicle inspection—The objec- ards that are encountered in extreme tives and proper procedures that are conditions. unique for performing vehicle safety in- spections on combination vehicles. (11) Hazard perceptions. The basic in- formation on hazard perception and [53 FR 27654, July 21, 1988, as amended at 62 clues for recognition of hazards. FR 37151, July 11, 1997] (12) Emergency maneuvers. The basic information concerning when and how § 383.113 Required skills. to make emergency maneuvers. (a) Basic vehicle control skills. All ap- (13) Skid control and recovery. The in- plicants for a CDL must possess and formation on the causes and major demonstrate basic motor vehicle con- types of skids, as well as the proce- trol skills for each vehicle group which dures for recovering from skids. the driver operates or expects to oper- (d) Relationship of cargo to vehicle con- ate. These skills should include the trol. The principles and procedures for ability to start, to stop, and to move the proper handling of cargo. the vehicle forward and backward in a (e) Vehicle inspections: The objectives safe manner. and proper procedures for performing (b) Safe driving skills. All applicants vehicle safety inspections, as follows: for a CDL must possess and dem- onstrate the safe driving skills for (1) The importance of periodic inspec- their vehicle group. These skills should tion and repair to vehicle safety. include proper visual search methods, (2) The effect of undiscovered mal- appropriate use of signals, speed con- functions upon safety. trol for weather and traffic conditions, (3) What safety-related parts to look and ability to position the motor vehi- for when inspecting vehicles. cle correctly when changing lanes or (4) Pre-trip/enroute/post-trip inspec- turning. tion procedures. (c) Air brake skills. Except as provided (5) Reporting findings. in § 393.95, all applicants shall dem- (f) Hazardous materials knowledge, onstrate the following skills with re- such as: What constitutes hazardous spect to inspection and operation of air material requiring an endorsement to brakes: transport; classes of hazardous mate- (1) Pre-trip inspection skills. Appli- rials; labeling/placarding requirements; cants shall demonstrate the skills nec- and the need for specialized training as essary to conduct a pre-trip inspection a prerequisite to receiving the endorse- which includes the ability to: ment and transporting hazardous car- (i) Locate and verbally identify air goes. brake operating controls and monitor- (g) Air brake knowledge as follows: ing devices; (1) Air brake system nomenclature; (ii) Determine the motor vehicle’s (2) The dangers of contaminated air brake system condition for proper ad- supply; justments and that air system connec- (3) Implications of severed or discon- tions between motor vehicles have been nected air lines between the power unit properly made and secured; and the trailer(s); (iii) Inspect the low pressure warning (4) Implications of low air pressure device(s) to ensure that they will acti- readings; vate in emergency situations;
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(iv) Ascertain, with the engine run- knowledge covering at least the follow- ning, that the system maintains an ing topics: adequate supply of compressed air; (1) Proper procedures for loading/un- (v) Determine that required mini- loading passengers; mum air pressure build up time is (2) Proper use of emergency exits, in- within acceptable limits and that re- cluding push-out windows; quired alarms and emergency devices (3) Proper responses to such emer- automatically deactivate at the proper gency situations as fires and unruly pressure level; and passengers; (vi) Operationally check the brake (4) Proper procedures at railroad system for proper performance. crossings and drawbridges; and (2) Driving skills. Applicants shall suc- (5) Proper braking procedures. cessfully complete the skills tests con- (b) Skills test. To obtain a passenger tained in § 383.113 in a representative endorsement applicable to a specific vehicle equipped with air brakes. vehicle group, an applicant must take (d) Test area. Skills tests shall be con- his/her skills test in a passenger vehi- ducted in on-street conditions or under cle satisfying the requirements of that a combination of on-street and off- group as defined in § 383.91. street conditions. § 383.119 Requirements for tank vehi- (e) Simulation technology. A State cle endorsement. may utilize simulators to perform skills testing, but under no cir- In order to obtain a Tank Vehicle En- cumstances as a substitute for the re- dorsement, each applicant must have quired testing in on-street conditions. knowledge covering the following: (a) Causes, prevention, and effects of § 383.115 Requirements for double/tri- cargo surge on motor vehicle handling; ple trailers endorsement. (b) Proper braking procedures for the motor vehicle when it is empty, full In order to obtain a Double/Triple and partially full; Trailers endorsement each applicant (c) Differences in handling of baffled/ must have knowledge covering: compartmental tank interiors versus (a) Procedures for assembly and non-baffled motor vehicles; hookup of the units; (d) Differences in tank vehicle type (b) Proper placement of heaviest and construction; trailer; (e) Differences in cargo surge for liq- (c) Handling and stability character- uids of varying product densities; istics including off-tracking, response (f) Effects of road grade and cur- to steering, sensory feedback, braking, vature on motor vehicle handling with oscillatory sway, rollover in steady filled, half-filled and empty tanks; turns, yaw stability in steady turns; (g) Proper use of emergency systems; and and (d) Potential problems in traffic op- (h) For drivers of DOT specification erations, including problems the motor tank vehicles, retest and marking re- vehicle creates for other motorists due quirements. to slower speeds on steep grades, longer passing times, possibility for blocking § 383.121 Requirements for hazardous entry of other motor vehicles on free- materials endorsement. ways, splash and spray impacts, aero- In order to obtain a Hazardous Mate- dynamic buffeting, view blockages, and rial Endorsement each applicant must lateral placement. have such knowledge as is required of a driver of a hazardous materials laden § 383.117 Requirements for passenger vehicle, from information contained in endorsement. 49 CFR parts 171, 172, 173, 177, 178, and An applicant for the passenger en- 397 on the following: dorsement must satisfy both of the fol- (a) Hazardous materials regulations lowing additional knowledge and skills including: test requirements. (1) Hazardous materials table; (a) Knowledge test. All applicants for (2) Shipping paper requirements; the passenger endorsement must have (3) Marking;
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(4) Labeling; their discretion provided their CDL program (5) Placarding requirements; tests for the general areas of knowledge and (6) Hazardous materials packaging; skill specified in §§ 383.111 and 383.113. (7) Hazardous materials definitions EXAMPLES OF SPECIFIC KNOWLEDGE ELEMENTS and preparation; (8) Other regulated material (e.g., (a) Safe operations regulations. Driver-relat- ed elements of the following regulations: ORM–D); (1) Motor vehicle inspection, repair, and (9) Reporting hazardous materials ac- maintenance requirements as contained in cidents; and parts 393 and 396 of this title; (10) Tunnels and railroad crossings. (2) Procedures for safe vehicle operations (b) Hazardous materials handling in- as contained in part 392 of this title; cluding: (3) The effects of fatigue, poor vision, hear- (1) Forbidden Materials and Pack- ing, and general health upon safe commer- ages; cial motor vehicle operation as contained in parts 391, 392, and 395 of this title; (2) Loading and Unloading Materials; (4) The types of motor vehicles and cargoes (3) Cargo Segregation; subject to the requirements contained in (4) Passenger Carrying Buses and part 397 of this title; and Hazardous Materials; (5) The effects of alcohol and drug use upon (5) Attendance of Motor Vehicles; safe commercial motor vehicle operations as (6) Parking; contained in parts 391 and 395 of this title. (7) Routes; (b) Commercial motor vehicle safety control systems. Proper use of the motor vehicle’s (8) Cargo Tanks; and safety system, including lights, horns, side (9) ‘‘Safe Havens.’’ and rear-view mirrors, proper mirror adjust- (c) Operation of emergency equip- ments, fire extinguishers, symptoms of im- ment including: proper operation revealed through instru- (1) Use of equipment to protect the ments, motor vehicle operation characteris- public; tics, and diagnosing malfunctions. Commer- (2) Special precautions for equipment cial motor vehicle drivers shall have knowl- to be used in fires; edge on the correct procedures needed to use these safety systems in an emergency situa- (3) Special precautions for use of tion, e.g., skids and loss of brakes. emergency equipment when loading or (c) Safe vehicle control—(1) Control systems. unloading a hazardous materials laden The purpose and function of the controls and motor vehicle; and instruments commonly found on commercial (4) Use of emergency equipment for motor vehicles. tank vehicles. (2) Basic control. The proper procedures for (d) Emergency response procedures performing various basic maneuvers, includ- including: ing: (i) Starting, warming up, and shutting (1) Special care and precautions for down the engine; different types of accidents; (ii) Putting the vehicle in motion and stop- (2) Special precautions for driving ping; near a fire and carrying hazardous ma- (iii) Backing in a straight line; and terials, and smoking and carrying haz- (iv) Turning the vehicle, e.g., basic rules, ardous materials; off-tracking, right/left turns and right (3) Emergency procedures; and curves. (3) Shifting. The basic shifting rules and (4) Existence of special requirements terms, as well as shift patterns and proce- for transporting Class A and B explo- dures for common transmissions, including: sives. (i) Key elements of shifting, e.g., controls, when to shift and double clutching; APPENDIX TO SUBPART G—REQUIRED (ii) Shift patterns and procedures; and KNOWLEDGE AND SKILLS—SAMPLE (iii) Consequences of improper shifting. GUIDELINES (4) Backing. The procedures and rules for various backing maneuvers, including: The following is a sample of the specific (i) Backing principles and rules; and types of items which a State may wish to in- (ii) Basic backing maneuvers, e.g., clude in the knowledge and skills tests that straight-line backing, and backing on a it administers to CDL applicants. This ap- curved path. pendix closely follows the framework of (5) Visual search. The importance of proper §§ 383.111 and 383.113. It is intended to provide visual search, and proper visual search meth- more specific guidance and suggestion to ods, including: States. Additional detail in this appendix is (i) Seeing ahead and to the sides; not binding and States may depart from it at (ii) Use of mirrors; and
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(iii) Seeing to the rear. cured cargo, drivers’ responsibilities, Fed- (6) Communication. The principles and pro- eral/State and local regulations. cedures for proper communications and the (2) Principles of weight distribution. hazards of failure to signal properly, includ- (3) Principles and methods of cargo secure- ing: ment. (i) Signaling intent, e.g., signaling when (e) Vehicle inspections: The objectives and changing speed or direction in traffic; proper procedures for performing vehicle (ii) Communicating presence, e.g., using safety inspections, as follows: horn or lights to signal presence; and (1) The importance of periodic inspection (iii) Misuse of communications. and repair to vehicle safety and to preven- (7) Speed management. The importance of tion of enroute breakdowns. understanding the effects of speed, including: (2) The effect of undiscovered malfunctions (i) Speed and stopping distance; upon safety. (ii) Speed and surface conditions; (iii) Speed and the shape of the road; (3) What safety-related parts to look for (iv) Speed and visibility; and when inspecting vehicles, e.g., fluid leaks, (v) Speed and traffic flow. interference with visibility, bad tires, wheel (8) Space management. The procedures and and rim defects, braking system defects, techniques for controlling the space around steering system defects, suspension system the vehicle, including: defects, exhaust system defects, coupling (i) The importance of space management; system defects, and cargo problems. (ii) Space cushions, e.g., controlling space (4) Pre-trip/enroute/post-trip inspection ahead/to the rear; procedures. (iii) Space to the sides; and (5) Reporting findings. (iv) Space for traffic gaps. (f) Hazardous materials knowledge, as fol- (9) Night operation. Preparations and proce- lows: dures for night driving, including: (1) What constitutes hazardous material (i) Night driving factors, e.g., driver fac- requiring an endorsement to transport; and tors, (vision, glare, fatigue, inexperience), (2) Classes of hazardous materials, label- roadway factors, (low illumination, vari- ing/placarding requirements, and the need ation in illumination, familiarity with for specialized training as a prerequisite to roads, other road users, especially drivers ex- receiving the endorsement and transporting hibiting erratic or improper driving), vehicle hazardous cargoes. factors (headlights, auxiliary lights, turn (g) Air brake knowledge as follows: signals, windshields and mirrors); and (1) General air brake system nomenclature; (ii) Night driving procedures, e.g., prepar- (2) The dangers of contaminated air (dirt, ing to drive at night and driving at night. moisture and oil) supply; (10) Extreme driving conditions. The basic in- (3) Implications of severed or disconnected formation on operating in extreme driving air lines between the power unit and the conditions and the hazards that are encoun- trailer(s); tered in extreme conditions, including: (4) Implications of low air pressure read- (i) Adverse weather; ings; (ii) Hot weather; and (5) Procedures to conduct safe and accurate (iii) Mountain driving. pre-trip inspections, including knowledge (11) Hazard perceptions. The basic informa- about: tion on hazard perception and clues for rec- (i) Automatic fail-safe devices; ognition of hazards, including: (i) Importance of hazards recognition; (ii) System monitoring devices; and (ii) Road characteristics; and (iii) Low pressure warning alarms. (iii) Road user activities. (6) Procedures for conducting enroute and (12) Emergency maneuvers. The basic infor- post-trip inspections of air actuated brake mation concerning when and how to make systems, including ability to detect defects emergency maneuvers, including: which may cause the system to fail, includ- (i) Evasive steering; ing: (ii) Emergency stop; (i) Tests which indicate the amount of air (iii) Off-road recovery; loss from the braking system within a speci- (iv) Brake failure; and fied period, with and without the engine run- (v) Blowouts. ning; and (13) Skid control and recovery. The informa- (ii) Tests which indicate the pressure lev- tion on the causes and major types of skids, els at which the low air pressure warning de- as well as the procedures for recovering from vices and the tractor protection valve should skids. activate. (d) Relationship of cargo to vehicle control. (h) Operators for the combination vehicle The principles and procedures for the proper group shall also have knowledge of: handling of cargo, including: (1) Coupling and uncoupling. The procedures (1) The importance of proper cargo han- for proper coupling and uncoupling a tractor dling, e.g., consequences of improperly se- to semi-trailer.
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(2) Vehicle inspection—The objectives and Subpart H—Tests proper procedures that are unique for per- forming vehicle safety inspections on com- bination vehicles. SOURCE: 53 FR 27657, July 21, 1988, unless otherwise noted. EXAMPLES OF SPECIFIC SKILLS ELEMENTS These examples relate to paragraphs (a) § 383.131 Test procedures. and (b) of § 383.113 only. (a) Driver information manuals. Infor- (a) Basic vehicle control skills. All applicants mation on how to obtain a CDL and en- for a CDL must possess and demonstrate the dorsements shall be included in manu- following basic motor vehicle control skills als and made available by States to for each vehicle group which the driver oper- CDL applicants. All information pro- ates or expects to operate. These skills shall vided to the applicant shall include the include: (1) Ability to start, warm-up, and shut following: down the engine; (1) Information on the requirements (2) Ability to put the motor vehicle in mo- described in § 383.71, the implied con- tion and accelerate smoothly, forward and sent to alcohol testing described in backward; § 383.72, the procedures and penalties, (3) Ability to bring the motor vehicle to a contained in § 383.51(b) to which a CDL smooth stop; holder is exposed for refusal to comply (4) Ability to back the motor vehicle in a with such alcohol testing, State proce- straight line, and check path and clearance dures described in § 383.73, and other ap- while backing; propriate driver information contained (5) Ability to position the motor vehicle to in subpart E of this part; negotiate and then make left and right turns; (2) Information on vehicle groups and (6) Ability to shift as required and select endorsements as specified in subpart F appropriate gear for speed and highway con- of this part; ditions; (3) The substance of the knowledge (7) Ability to back along a curved path; and skills which drivers shall have as and outlined in subpart G of this part for (8) Ability to observe the road and the be- the different vehicle groups and en- havior of other motor vehicles, particularly dorsements; before changing speed and direction. (4) Details of testing procedures, in- (b) Safe driving skills. All applicants for a cluding the purpose of the tests, how to CDL must possess and demonstrate the fol- respond, any time limits for taking the lowing safe driving skills for any vehicle group. These skills shall include: test, and any other special procedures (1) Ability to use proper visual search determined by the State of issuance; methods. and (2) Ability to signal appropriately when (5) Directions for taking the tests. changing speed or direction in traffic. (b) Examiner procedures. A State shall (3) Ability to adjust speed to the configura- provide to test examiners details on tion and condition of the roadway, weather testing and any other State-imposed and visibility conditions, traffic conditions, requirements in the examiner’s man- and motor vehicle, cargo and driver condi- ual, and shall ensure that examiners tions; are qualified to administer tests on the (4) Ability to choose a safe gap for chang- ing lanes, passing other vehicles, as well as basis of training and/or other experi- for crossing or entering traffic; ence. States shall provide standardized (5) Ability to position the motor vehicle scoring sheets for the skills tests, as correctly before and during a turn to prevent well as standardized driving instruc- other vehicles from passing on the wrong tions for the applicants. Such examin- side as well as to prevent problems caused by ers’ manuals shall contain the follow- off-tracking; ing: (6) Ability to maintain a safe following dis- (1) Information on driver application tance depending on the condition of the road, procedures contained in § 383.71, State on visibility, and on vehicle weight; and procedures described in § 383.73, and (7) Ability to adjust operation of the motor vehicle to prevailing weather conditions in- other appropriate driver information cluding speed selection, braking, direction contained in subpart E of this part; changes and following distance to maintain (2) Details on information which control. must be given to the applicant;
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(3) Details on how to conduct the are sufficient to ensure fairness of pass/ tests; fail rates. (4) Scoring procedures and minimum passing scores; § 383.135 Minimum passing scores. (5) Information for selecting driving (a) The driver applicant must cor- test routes; rectly answer at least 80 percent of the (6) List of the skills to be tested; questions on each knowledge test in (7) Instructions on where and how the order to achieve a passing score on skills will be tested; such knowledge test. (8) How performance of the skills will (b) To achieve a passing score on the be scored; and skills test, the driver applicant must (9) Causes for automatic failure of demonstrate that he/she can success- skills tests. fully perform all of the skills listed in [53 FR 27657, July 21, 1988, as amended at 53 § 383.113. FR 39051, Oct. 4, 1988] (c) If the driver applicant does not obey traffic laws, or causes an accident § 383.133 Testing methods. during the test, he/she shall automati- (a) All tests shall be constructed in cally fail the test. such a way as to determine if the appli- (d) The scoring of the basic knowl- cant possesses the required knowledge edge and skills tests shall be adjusted and skills contained in subpart G of as follows to allow for the air brake re- this part for the type of motor vehicle striction (§ 383.95): or endorsement the applicant wishes to (1) If the applicant scores less than 80 obtain. percent on the air brake component of (b) States shall develop their own the basic knowledge test as described specifications for the tests for each ve- in § 383.111(g), the driver will have hicle group and endorsement which failed the air brake component and, if must be at least as stringent as the the driver is issued a CDL, an air brake Federal standards. restriction shall be indicated on the li- (c) States shall determine specific cense; and methods for scoring the knowledge and (2) If the applicant performs the skills tests. skills test in a vehicle not equipped (d) Passing scores must meet those with air brakes, the driver will have standards contained in § 383.135. omitted the air brake component as de- (e) Knowledge and skills tests shall scribed in § 383.113(c) and, if the driver be based solely on the information con- is issued a CDL, the air brake restric- tained in the driver manuals referred tion shall be indicated on the license. to in § 383.131(a). (f) Each knowledge test shall be valid and reliable so as to assure that driver Subpart I [Reserved] applicants possess the knowledge re- quired under § 383.111. Subpart J—Commercial Driver’s (g) Each basic knowledge test, i.e., License Document the test covering the areas referred to in § 383.111 for the applicable vehicle group, shall contain at least 30 items, SOURCE: 53 FR 27657, July 21, 1988, unless otherwise noted. exclusive of the number of items test- ing air brake knowledge. Each endorse- § 383.151 General. ment knowledge test, and the air brake component of the basic knowledge test The CDL shall be a document that is as described in § 383.111(g), shall con- easy to recognize as a CDL. At a mini- tain a number of questions that is suf- mum, the document shall contain in- ficient to test the driver applicant’s formation specified in § 383.153. knowledge of the required subject mat- ter with validity and reliability. § 383.153 Information on the document (h) The skills tests shall have admin- and application. istrative procedures, designed to (a) All CDLs shall contain the follow- achieve interexaminer reliability, that ing information:
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(1) The prominent statement that the (2) The State must provide the Social license is a ‘‘Commercial Driver’s Li- Security Number to the CDLIS. cense’’ or ‘‘CDL,’’ except as specified in § 383.153(b). § 383.155 Tamperproofing require- (2) The full name, signature, and ments. mailing address of the person to whom States shall make the CDL such license is issued; tamperproof to the maximum extent (3) Physical and other information to practicable. At a minimum, a State identify and describe such person in- shall use the same tamperproof method cluding date of birth (month, day, and used for noncommercial drivers’ li- year), sex, and height; censes. (4) Color photograph of the driver; (5) The driver’s State license number; PART 384—STATE COMPLIANCE (6) The name of the State which WITH COMMERCIAL DRIVER’S LI- issued the license; CENSE PROGRAM (7) The date of issuance and the date of expiration of the license; Subpart A—General (8) The group or groups of commer- cial motor vehicle(s) that the driver is Sec. authorized to operate, indicated as fol- 384.101 Purpose and scope. 384.103 Applicability. lows: 384.105 Definitions. (i) A for Combination Vehicle; (ii) B for Heavy Straight Vehicle; and Subpart B—Minimum Standards for (iii) C for Small Vehicle. Substantial Compliance by States (9) The endorsement(s) for which the driver has qualified, if any, indicated 384.201 Testing program. 384.202 Test standards. as follows: 384.203 Driving while under the influence. (i) T for double/triple trailers; 384.204 CDL issuance and information. (ii) P for passenger; 384.205 CDLIS information. (iii) N for tank vehicle; 384.206 State record checks. (iv) H for hazardous materials; 384.207 Notification of licensing. (v) X for a combination of the tank 384.208 [Reserved] vehicle and hazardous materials en- 384.209 Notification of traffic violations. 384.210 Limitation on licensing. dorsements; and 384.211 Return of old licenses. (vi) At the discretion of the State, 384.212 Domicile requirement. additional codes for additional 384.213 Penalties for driving without a prop- groupings of endorsements, as long as er CDL. each such discretionary code is fully 384.214 Reciprocity. explained on the front or back of the 384.215 First offenses. CDL document. 384.216 Second offenses. 384.217 Drug offenses. (b) If the CDL is a Nonresident CDL, 384.218 Second serious traffic violation. it shall contain the prominent state- 384.219 Third serious traffic violation. ment that the license is a ‘‘Nonresident 384.220 National Driver Register informa- Commercial Driver’s License’’ or ‘‘Non- tion. resident CDL.’’ The word ‘‘Non- 384.221 Out-of-service regulations (intoxi- resident’’ must be conspicuously and cating beverage). unmistakably displayed, but may be 384.222—384.230 [Reserved] noncontiguous with the words ‘‘Com- 384.231 Satisfaction of State disqualifica- tion requirement. mercial Driver’s License’’ or ‘‘CDL.’’ 384.232 Required timing of record checks. (c) If the State has issued the appli- cant an air brake restriction as speci- Subpart C—Procedures for Determining fied in § 383.95, that restriction must be State Compliance indicated on the license. (d) Except in the case of a Non- 384.301 Substantial compliance—general re- quirement. resident CDL: 384.303 State certification for Federal fiscal (1) A driver applicant must provide year (FY) 1994. his/her Social Security Number on the 384.305 State certifications for Federal fis- application of a CDL; and cal years after FY 1994.
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384.307 FHWA program reviews of State (1) A State fails to submit timely cer- compliance. tification as prescribed in subpart C of 384.309 Results of compliance determina- this part; or tion. (2) The State does not meet one or more of the standards of subpart B of Subpart D—Consequences of State this part, based on a final determina- Noncompliance tion by the FHWA under § 384.307(c) of 384.401 Withholding of funds based on non- this part. compliance. 384.403 Period of availability; effect of com- Subpart B—Minimum Standards pliance and noncompliance. for Substantial Compliance by AUTHORITY: 49 U.S.C. 31136, 49 U.S.C. 31301 States et seq., 31502; 49 CFR 1.48. § 384.201 Testing program. SOURCE: 59 FR 26039, May 18, 1994, unless otherwise noted. The State shall adopt and administer a program for testing and ensuring the fitness of persons to operate commer- Subpart A—General cial motor vehicles (CMVs) in accord- ance with the minimum Federal stand- § 384.101 Purpose and scope. ards contained in part 383 of this title. (a) Purpose. The purpose of this part is to ensure that the States comply § 384.202 Test standards. with the provisions of section 12009(a) No State shall authorize a person to of the Commercial Motor Vehicle Safe- operate a CMV unless such person ty Act of 1986 (49 U.S.C. 31311(a)). passes a knowledge and driving skills (b) Scope. This part: test for the operation of a CMV in ac- (1) Includes the minimum standards cordance with part 383 of this title. for the actions States must take to be in substantial compliance with each of § 384.203 Driving while under the in- the 22 requirements of 49 U.S.C. fluence. 31311(a); The State shall have in effect and en- (2) Establishes procedures for deter- force through licensing sanctions the minations to be made of such compli- disqualifications prescribed in ance by States; and § 383.51(b) at the 0.04 percent blood alco- (3) Specifies the consequences of hol concentration level. State noncompliance. § 384.204 CDL issuance and informa- [62 FR 37152, July 11, 1997] tion. (a) General rule. The State shall au- § 384.103 Applicability. thorize a person to operate a CMV only The rules in this part apply to all by issuance of a CDL, unless a waiver States. under the provisions of § 383.7 applies, which contains, at a minimum, the in- § 384.105 Definitions. formation specified in part 383, subpart J, of this title. (a) The definitions in part 383 of this (b) Exceptions—(1) Training. The State title apply to this part, except where may authorize a person, who does not otherwise specifically noted. hold a CDL valid in the type of vehicle (b) As used in this part: in which training occurs, to undergo Issue and issuance mean initial licen- behind-the-wheel training in a CMV sure, license transfers, license renew- only by means of a learner’s permit als, license upgrades, and nonresident issued and used in accordance with commercial driver’s licenses (CDLs), as § 383.23(c) of this title. described in § 383.73 of this title. (2) Confiscation of CDL pending en- Licensing entity means the agency of forcement. A State may allow a CDL State government that is authorized to holder whose CDL is held in trust by issue drivers’ licenses. that State or any other State in the Year of noncompliance means any Fed- course of enforcement of the motor ve- eral fiscal year during which— hicle traffic code, but who has not been
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convicted of a disqualifying offense tor of the CDLIS, in conjunction with under § 383.51 based on such enforce- the previous State of record and the ment, to drive a CMV while holding a operator of the CDLIS. dated receipt for such CDL. § 384.208 [Reserved] § 384.205 CDLIS information. Before issuing a CDL to any person, § 384.209 Notification of traffic viola- tions. the State shall, within the period of time specified in § 384.232, perform the (a) Required notification with respect to check of the Commercial Driver’s Li- CDL holders. Whenever a person who cense Information System (CDLIS) in holds a CDL from another State is con- accordance with § 383.73(a)(3)(ii) of this victed of a violation, in any type of ve- title, and, based on that information, hicle, of any State or local law relating shall issue the license, or, in the case to motor vehicle traffic control (other of adverse information, promptly im- than a parking violation), the licensing plement the disqualifications, licensing entity of the State in which the convic- limitations, denials, and/or penalties tion occurs shall notify the licensing that are called for in any applicable entity of the person’s State of licen- section(s) of this subpart. sure of the conviction as expeditiously as possible. § 384.206 State record checks. (b) Required notification with respect to (a) Required checks—(1) Issuing State’s non-CDL holders. Whenever a person records. Before issuing a CDL to any who does not hold a CDL, but who is li- person, the State shall, within the pe- censed to drive by another State, is riod of time specified in § 384.232, check convicted of a violation, in a CMV, of its own driving record for such person any State or local law relating to in accordance with § 383.73(a)(3) of this motor vehicle traffic control (other title. than a parking violation), the licensing (2) Other States’ records. Before initial entity of the State in which the convic- or transfer issuance of a CDL to a per- tion occurs shall notify the licensing son, the issuing State shall, within the entity of the person’s State of licen- period of time specified in § 384.232, ob- sure of such conviction. tain from any other State or jurisdic- tion which has issued a CDL to such § 384.210 Limitation on licensing. person, and such other State(s) shall The State shall not knowingly issue provide, all information pertaining to a CDL to a person during a period in the driving record of such person in ac- which: cordance with § 383.73(a)(3) of this title. (a) Such person is disqualified from (b) Required action. Based on the find- operating a CMV, as disqualification is ings of the State record checks pre- defined in § 383.5 of this title, or under scribed in this section, the State shall the provisions of § 384.231(b)(2). issue the license, or, in the case of ad- (b) Any type of driver’s license held verse information, promptly imple- by such person is suspended, revoked, ment the disqualifications, licensing or canceled by the State or jurisdiction limitations, denials, and/or penalties of licensure for driving related offenses that are called for in any applicable which in the judgment of the licensing section(s) of this subpart. State are based on valid information; or § 384.207 Notification of licensing. (c) Such person is subject to the pen- Within the period defined in § 383.73(f) alties for false information contained of this title, the State shall: in § 383.73(g) of this title. (a) Notify the operator of the CDLIS of each CDL issuance; § 384.211 Return of old licenses. (b) Notify the operator of the CDLIS The State shall not issue a CDL to a of any changes in driver identification person who possesses a driver’s license information; and issued by another State or jurisdiction (c) In the case of transfer issuances, unless such person first surrenders the implement the Change State of Record driver’s license issued by such other transaction, as specified by the opera- State or jurisdiction in accordance
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with §§ 383.71(a)(7) and (b)(4) of this specified in § 383.51(b)(2) (i) through (iv) title. of this title, for no less than one year. (b) Special rule for hazardous materials § 384.212 Domicile requirement. offenses. If the offense under paragraph (a) The State shall issue CDLs only (a) of this section occurred while the to those persons for whom such State driver was operating a vehicle trans- is the State of domicile as defined in porting hazardous materials required § 383.5 of this title; except that the to be placarded under the Hazardous State may issue a nonresident CDL Materials Transportation Act (imple- under the conditions specified in menting regulations at 49 CFR 177.823), §§ 383.23(b), 383.71(e), and 383.73(e) of this the State shall disqualify the person title. for no less than three years. (b) The State shall require any per- son holding a CDL issued by another § 384.216 Second offenses. State to apply for a transfer CDL from (a) General rule. The State shall dis- the State within 30 days after estab- qualify for life from operating a CMV lishing domicile in the State, as speci- each person who is convicted, as de- fied in § 383.71(b) of this title. fined in § 383.5 of this title, in any State or jurisdiction, of a subsequent offense § 384.213 Penalties for driving without as described in § 383.51(b)(3)(iv) of this a proper CDL. title. The State shall impose civil and (b) Special rule for certain lifetime dis- criminal penalties for operating a CMV qualifications. The State where the dis- while not possessing a CDL that is qualified driver resides after 10 years of valid for the type of CMV being driven; disqualification have elapsed may re- while having a driver’s license sus- duce the lifetime disqualification of a pended, revoked, or canceled; or while person disqualified for life under being disqualified from operating a § 383.51(b)(3)(iv) of this title, to a mini- CMV. In determining the appropriate- mum of ten years in accordance with ness of such penalties, the State shall § 383.51(b)(3)(v) of this title. consider their effectiveness in deter- ring this type of violation. The State § 384.217 Drug offenses. shall impose penalties on CMV drivers The State shall disqualify from oper- that are at least as stringent as those ating a CMV for life each person who is imposed on noncommercial drivers for convicted, as defined in § 383.5 of this the same or analogous offenses. title, in any State or jurisdiction, of § 384.214 Reciprocity. using a CMV in the commission of a felony described in §§ 383.51(b)(2)(v) and The State shall allow any person to 383.51(b)(3)(iii) of this title. The State operate a CMV in the State who is not shall not apply the special rule in disqualified from operating a CMV and § 384.216(b) to lifetime disqualifications who holds a CDL which is— imposed for controlled substance felo- (a) Issued to him or her by any other nies as detailed in §§ 383.51(b)(2)(v) and State or jurisdiction in accordance 383.51(b)(3)(iii) of this title. with part 383 of this title; (b) Not suspended, revoked, or can- § 384.218 Second serious traffic viola- celed; and tion. (c) Valid, under the terms of part 383, The State shall disqualify from oper- subpart F, of this title, for the type of ating a CMV for a period of not less vehicle being driven. than 60 days each person who, in a three-year period, is convicted, as de- § 384.215 First offenses. fined in § 383.5 of this title, in any (a) General rule. The State shall dis- State(s) or jurisdiction(s), of two seri- qualify from operating a CMV each ous traffic violations involving a CMV person who is convicted, as defined in operated by such person, as specified in § 383.5 of this title, in any State or ju- §§ 383.51(c)(1) and 383.51(c)(2)(i) of this risdiction, of a disqualifying offense title.
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§ 384.219 Third serious traffic viola- (2) Non-CDL holders applies on and tion. after May 18, 1997. A State shall satisfy the requirement of this subpart that The State shall disqualify from oper- the State disqualify a non-CDL holder ating a CMV for a period of not less who is convicted of an offense or of- than 120 days each person who, in a fenses necessitating disqualification three-year period, is convicted, as de- under § 383.51 by, at a minimum, imple- fined in § 383.5 of this title, in any menting the limitation on licensing State(s) or jurisdiction(s), of three seri- provisions of § 384.210 and the timing ous traffic violations involving a CMV and recordkeeping requirements of operated by such person, as specified in paragraphs (c) and (d) of this section so §§ 383.51 (c)(1) and (c)(2)(ii) of this title. as to prevent such non-CDL holder This disqualification period shall be in from legally obtaining a CDL from any addition to any other previous period State during the applicable disquali- of disqualification. fication period(s) specified in this sub- part. § 384.220 National Driver Register in- (c) Required timing. The State shall formation. disqualify a driver as expeditiously as Before issuing a CDL to any person, possible. the State shall, within the period of (d) Recordkeeping requirements. The time specified in § 384.232, perform the State shall maintain such driver check of the National Driver Register records and cause such driver identi- in accordance with § 383.73(a)(3)(iii) of fication data to be retained on the this title, and, based on that informa- CDLIS as the operator of the CDLIS tion, promptly implement the disquali- specifies are necessary to the imple- fications, licensing limitations, and/or mentation and enforcement of the dis- penalties that are called for in any ap- qualifications called for in §§ 384.215 plicable section(s) of this subpart. through 384.219. [59 FR 26039, May 18, 1994, as amended at 60 § 384.221 Out-of-service regulations FR 57545, Nov. 16, 1995] (intoxicating beverage). The State shall adopt, and enforce on § 384.232 Required timing of record operators of CMVs as defined in §§ 383.5 checks. and 390.5 of this title, the provisions of The State shall perform the record § 392.5 (a) and (c) of this title in accord- checks prescribed in §§ 384.205, 384.206, ance with the Motor Carrier Safety As- and 384.220, no earlier than 10 days sistance Program as contained in 49 prior to issuance for licenses issued be- CFR part 350 and applicable policy and fore October 1, 1995. For licenses issued guidelines. after September 30, 1995, the State shall perform the record checks no ear- §§ 384.222—384.230 [Reserved] lier than 24 hours prior to issuance if the license is issued to a driver who § 384.231 Satisfaction of State disquali- does not currently possess a valid CDL fication requirement. from the same State and no earlier (a) Applicability. The provisions of than 10 days prior to issuance for all §§ 384.203, 384.206(b), 384.210, 384.213, other drivers. 384.215 through 384.219, 384.221, and 384.231 apply to the State of licensure Subpart C—Procedures for of the person affected by the provision. Determining State Compliance The provisions of § 384.210 also apply to any State to which a person makes ap- § 384.301 Substantial compliance—gen- plication for a transfer CDL. eral requirement. (b) Required action—(1) CDL holders. A To be in substantial compliance with State shall satisfy the requirement of 49 U.S.C. 31311(a), a State must meet this part that the State disqualify a each and every standard of subpart B of person who holds a CDL by, at a mini- this part by means of the demonstrable mum, suspending, revoking, or cancel- combined effect of its statutes, regula- ing the person’s CDL for the applicable tions, administrative procedures and period of disqualification. practices, organizational structures,
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internal control mechanisms, resource monwealth) has continuously been in assignments (facilities, equipment, and substantial compliance with all re- personnel), and enforcement practices. quirements of 49 U.S.C. 31311(a), as de- fined in 49 CFR 384.301, since [the first [62 FR 37152, July 11, 1997] day of the current Federal fiscal year], § 384.303 State certification for Fed- and contemplates no changes in stat- eral fiscal year (FY) 1994. utes, regulations, or administrative procedures, or in the enforcement (a) FY 1994 certification requirement. thereof, which would affect such sub- Prior to July 18, 1994, each State shall stantial compliance through [the last review its compliance with this part date of the current Federal fiscal and certify to the Federal Highway Ad- year].’’ ministrator as prescribed in paragraph (b) of this section. The certification (Approved by the Office of Management and shall be submitted as a signed original Budget under control number 2125–0542) and four copies to the State Director or [59 FR 26039, May 18, 1994, as amended at 62 Officer-in-Charge, Office of Motor Car- FR 37152, July 11, 1997] riers, Federal Highway Administration, located in that State. § 384.307 FHWA program reviews of (b) FY 1994 certification content. The State compliance. certification shall consist of a state- (a) FHWA program reviews. Each ment signed by the Governor of the State’s CDL program shall be subject State, or by an official designated by to review to determine whether or not the Governor, and reading as follows: the State meets the general require- ment for substantial compliance in I (name of certifying official), (position § 384.301. The State shall cooperate with title), of the State (Commonwealth) of and provide information in conjunction lllll, do hereby certify that the State (Commonwealth) is in substantial compli- with any program reviews under this ance with all requirements of 49 U.S.C. app. section. 2708(a), as defined in 49 CFR 384.301, and con- (b) Preliminary FHWA determination templates no changes in statutes, regula- and State response. If, after review, a tions, or administrative procedures, or in the preliminary determination is made enforcement thereof, which would affect that a State does not meet one or more such substantial compliance through [the of the standards of subpart B of this last date of the current Federal fiscal year]. part, the State will be informed accord- (Approved by the Office of Management and ingly prior to July 1 of the fiscal year Budget under control number 2125–0542) in which the preliminary determina- tion is made. The State will have up to § 384.305 State certifications for Fed- thirty calendar days to respond to the eral fiscal years after FY 1994. preliminary determination. Upon re- (a) Certification requirement. Prior to quest by the State, an informal con- January 1 of each Federal fiscal year ference will be provided during this after FY 1994, each State shall review time. its compliance with this part and cer- (c) Final FHWA determination. If, after tify to the Federal Highway Adminis- reviewing any timely response by the trator as prescribed in paragraph (b) of State to the preliminary determina- this section. The certification shall be tion, a final determination is made submitted as a signed original and four that the State is not in compliance copies to the State Director or Officer- with the affected standard, the State in-Charge, Office of Motor Carriers, will be notified of the final determina- Federal Highway Administration, lo- tion. cated in that State. (b) Certification content. The certifi- § 384.309 Results of compliance deter- cation shall consist of a statement mination. signed by the Governor of the State, or (a) A State shall be determined not by an official designated by the Gov- substantially in compliance with 49 ernor, and reading as follows: ‘‘I (name U.S.C. 31311(a) for any fiscal year in of certifying official), (position title), which it: of the State (Commonwealth) of lll, (1) Fails to submit the certification do hereby certify that the State (Com- as prescribed in this subpart; or
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(2) Does not meet one or more of the year following the fiscal year for which standards of subpart B of this part, as such funds are authorized to be appro- established in a final determination by priated. the FHWA under § 384.307(c). (2) Funds withheld after September 30, (b) A State shall be in substantial 1995. No funds withheld under this sub- compliance with 49 U.S.C. 31311(a) for part from apportionment to any State any fiscal year in which neither of the after September 30, 1995, shall be avail- eventualities in paragraph (a) of this able for apportionment to such State. section occurs. (b) Apportionment of withheld funds [62 FR 37152, July 11, 1997] after compliance. If, before September 10 of the last fiscal year for which funds Subpart D—Consequences of withheld under this subpart from ap- portionment are to remain available State Noncompliance for apportionment to a State under § 384.401 Withholding of funds based paragraph (a) of this section, the State on noncompliance. makes the certification called for in § 384.305 and a determination is made (a) Following first year of noncompli- that the State has met the standards of ance. An amount equal to five percent subpart B of this part for a period of 365 of the funds required to be apportioned days and continues to meet such stand- to any State under each of sections ards, the withheld funds remaining 104(b)(1), 104(b)(3), and 104(b)(5) of title available for apportionment to such 23, U.S.C., shall be withheld on the first State shall be apportioned to the State day of the fiscal year following such on the day following the last day of State’s first year of noncompliance such fiscal year. under this part. (c) (b) Following second and subsequent Period of availability of subse- Any funds year(s) of noncompliance. An amount quently apportioned funds. equal to ten percent of the funds re- apportioned pursuant to paragraph (b) quired to be apportioned to any State of this section shall remain available under each of sections 104(b)(1), for expenditure until the end of the 104(b)(3), and 104(b)(5) of title 23, U.S.C., third fiscal year succeeding the fiscal shall be withheld on the first day of the year in which such funds are appor- fiscal year following such State’s sec- tioned. Sums not obligated at the end ond or subsequent year of noncompli- of such period shall lapse or, in the ance under this part. case of funds apportioned under 23 U.S.C. 104(b)(5), shall lapse and be made § 384.403 Period of availability; effect available by the Secretary for projects of compliance and noncompliance. in accordance with 23 U.S.C. 118(b). (a) Period of availability—(1) Funds (d) Effect of noncompliance. If, at the withheld on or before September 30, 1995. end of the period for which funds with- Any funds withheld under this subpart held under this subpart from appor- from apportionment to any State on or tionment are available for apportion- before September 30, 1995, shall remain ment under paragraph (a) of this sec- available for apportionment to such tion, the State has not met the stand- State as follows: ards of subpart B of this part for a 365- (i) If such funds would have been ap- day period, such funds shall lapse or, in portioned under 23 U.S.C. 104(b)(5)(B) the case of funds apportioned under 23 but for the provisions of this subpart, U.S.C. 104(b)(5), shall lapse and be made such funds shall remain available until available by the Secretary for projects the end of the second fiscal year fol- in accordance with 23 U.S.C. 118(b). lowing the fiscal year for which such funds are authorized to be appro- PART 385—SAFETY FITNESS priated. PROCEDURES (ii) If such funds would have been ap- portioned under 23 U.S.C. 104(b)(1) or Sec. 104(b)(3) but for the provisions of this 385.1 Purpose and scope. subpart, such funds shall remain avail- 385.3 Definitions. able until the end of the third fiscal 385.5 Safety fitness standard.
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385.7 Factors to be considered in determin- Reviews. For the purposes of this ing a safety rating. part: 385.9 Determination of a safety rating. (1) Compliance review means an on- 385.11 Notification of a safety rating. 385.13 Unsatisfactory rated motor carriers— site examination of motor carrier oper- prohibition on transportation of hazard- ations, such as drivers’ hours of serv- ous materials and passengers; ineligibil- ice, maintenance and inspection, driver ity for Federal contracts. qualification, commercial drivers li- 385.15 Administrative review. cense requirements, financial respon- 385.17 Change to safety rating based on cor- sibility, accidents, hazardous mate- rective actions. rials, and other safety and transpor- 385.19 Safety fitness information. 385.21 Motor carrier identification report. tation records to determine whether a 385.23 Failure to report. motor carrier meets the safety fitness standard. A compliance review may be APPENDIX A TO PART 385—FORM MCS–150, MOTOR CARRIER IDENTIFICATION REPORT conducted in response to a request to APPENDIX B TO PART 385—EXPLANATION OF change a safety rating, to investigate SAFETY RATING PROCESS potential violations of safety regula-
AUTHORITY: 49 U.S.C. 104, 504, 521(b)(5)(A), tions by motor carriers, or to inves- 5113, 31136, 31144, 31502; and 49 CFR 1.48. tigate complaints or other evidence of safety violations. The compliance re- SOURCE: 53 FR 50968, Dec. 19, 1988, unless ohterwise noted. view may result in the initiation of an enforcement action. § 385.1 Purpose and scope. (2) [Reserved] (a) This part establishes procedures (3) Safety management controls means to determine the safety fitness of the systems, policies programs, prac- motor carriers, to assign safety rat- tices, and procedures used by a motor ings, to take remedial action when re- carrier to ensure compliance with ap- quired, and to prohibit motor carriers plicable safety and hazardous materials receiving a safety rating of ‘‘unsatis- regulations which ensure the safe factory’’ from operating a commercial movement of products and passengers motor vehicle: through the transportation system, (1) To provide transportation of haz- and to reduce the risk of highway acci- ardous materials for which vehicle dents and hazardous materials inci- placarding is required in accordance dents resulting in fatalities, injuries, with part 172, subpart F of this title; or and property damage. (2) To transport more than 15 pas- Safety ratings: (1) Satisfactory safety sengers, including the driver. rating means that a motor carrier has (b) The provisions of this part apply in place and functioning adequate safe- to all motor carriers subject to the re- ty management controls to meet the quirements of this subchapter. safety fitness standard prescribed in [56 FR 40805, Aug. 16, 1991] § 385.5. Safety management controls are adequate if they are appropriate for the § 385.3 Definitions. size and type of operation of the par- Applicable safety regulations or require- ticular motor carrier. ments means 49 CFR subtitle B, chapter (2) Conditional safety rating means a III, Subchapter B—Federal Motor Car- motor carrier does not have adequate rier Safety Regulations; and 49 CFR safety management controls in place to subtitle B, chapter I, Subchapter C— ensure compliance with the safety fit- Hazardous Materials Regulations. ness standard that could result in oc- Commercial motor vehicle shall have currences listed in § 385.5 (a) through the same meaning as described in § 390.5 (k). of this subchapter. (3) Unsatisfactory safety rating means Preventable accident on the part of a a motor carrier does not have adequate motor carrier means an accident (1) safety management controls in place to that involved a commercial motor ve- ensure compliance with the safety fit- hicle, and (2) that could have been ness standard which has resulted in oc- averted but for an act, or failure to act, currences listed in § 385.5 (a) through by the motor carrier or the driver. (k).
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(4) Unrated carrier means that a safe- to be substantially below the norm for ty rating has not been assigned to the similar carriers. Violations, accidents motor carrier by the FHWA. or incidents substantially above the [53 FR 50968, Dec. 19, 1988, as amended at 56 norm for similar carriers will be strong FR 40805, Aug. 16, 1991; 62 FR 60042, Nov. 6, evidence that management controls 1997] are either inadequate or not function- ing properly. § 385.5 Safety fitness standard. (b) Frequency and severity of regu- The satisfactory safety rating is latory violations. based on the degree of compliance with (c) Frequency and severity of driver/ the safety fitness standard for motor vehicle regulatory violations identified carriers. To meet the safety fitness in roadside inspections. standard, the motor carrier shall dem- (d) Number and frequency of out-of- onstrate that it has adequate safety service driver/vehicle violations. management controls in place, which (e) Increase or decrease in similar function effectively to ensure accept- types of regulatory violations discov- able compliance with applicable safety ered during safety or compliance re- requirements to reduce the risk associ- views. ated with: (f) Frequency of accidents; hazardous (a) Commercial driver’s license materials incidents; accident rate per standard violations (part 383), million miles; preventable accident (b) Inadequate levels of financial re- rate per million miles; and other acci- sponsibility (part 387), dent indicators; and whether these ac- (c) The use of unqualified drivers cident and incident indicators have im- (part 391), proved or deteriorated over time. (d) Improper use and driving of motor (g) The number and severity of viola- vehicles (part 392), tions of state safety rules, regulations, (e) Unsafe vehicles operating on the standards, and orders applicable to highways (part 393), commercial motor vehicles and motor (f) Failure to maintain accident reg- carrier safety that are compatible with isters and copies of accident reports Federal rules, regulations, standards, (part 390), and orders. (g) The use of fatigued drivers (part 395), [53 FR 50968, Dec. 19, 1988, as amended at 58 (h) Inadequate inspection, repair, and FR 33776, June 21, 1993] maintenance of vehicles (part 396), § 385.9 Determination of a safety rat- (i) Transportation of hazardous mate- ing. rials, driving and parking rule viola- tions (part 397), (a) Following a compliance review of (j) Violation of hazardous materials a motor carrier operation, the FHWA, regulations (parts 170 through 177), and using the factors prescribed in § 385.7 as (k) Motor vehicle accidents and haz- computed under the Safety Fitness ardous materials incidents. Rating Methodology set forth in appen- dix B of this part, shall determine [53 FR 50968, Dec. 19, 1988, as amended at 58 whether the present operations of the FR 33776, June 21, 1993] motor carrier are consistent with the § 385.7 Factors to be considered in de- safety fitness standard set forth in termining a safety rating. § 385.5, and assign a safety rating ac- cordingly. The factors to be considered in deter- (b) Unless otherwise specifically pro- mining the safety fitness and assigning vided in this part, a safety rating will a safety rating include information be issued to a motor carrier within 30 from safety reviews, compliance re- days following the completion of a views and any other data. The factors compliance review. may include all or some of the follow- ing: [62 FR 60042, Nov. 6, 1997] (a) Adequacy of safety management controls. The adequacy of controls may § 385.11 Notification of a safety rating. be questioned if their degree of for- (a) Except as provided elsewhere in malization, automation, etc., is found this section, written notification of the
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safety rating will be provided to a transportation of the property or pas- motor carrier as soon as practicable sengers referred to in paragraphs (a)(1) after assignment of the rating, but not and (a)(2) of this section. later than 30 days after the review that (c) Penalties. When a carrier subject produced the rating. to the prohibitions in paragraph (a) of (b) Before a safety rating of unsatis- this section is known to transport the factory or conditional, is assigned to any property or passengers referred to motor carrier, the FHWA will issue a therein, an order will be issued placing notice of proposed safety rating. The those operations out of service. Any notice of proposed safety rating will motor carrier that operates commer- list the deficiencies discovered during cial motor vehicles in violation of this the review of the motor carrier’s oper- section will be subject to the penalty ations, for which corrective actions provisions listed in part 386 of this must be taken. A proposed conditional chapter. safety rating (which is an improvement of an existing unsatisfactory safety rat- [62 FR 60042, Nov. 6, 1997] ing) becomes effective as soon as it § 385.15 Administrative review. issued from Washington, D.C., and the carrier may also avail itself of relief (a) Within the 45 day notice period under the § 385.15, Administrative Re- provided in § 385.11(d), or within 45 days view and § 385.17, Change to safety rat- after denial of a request for a change in ing based on corrective actions. rating as provided in § 385.17(g), the (c) A notice of a proposed safety rat- motor carrier may petition the FHWA ing of unsatisfactory will indicate that, for administrative review of a proposed if the unsatisfactory rating becomes or final safety rating by submitting a final, the motor carrier will be subject written request to the Director, Office to the provisions of § 385.13, which pro- of Motor Carrier Field Operations, 400 hibit motor carriers rated unsatisfac- Seventh Street, SW., Washington DC tory from transporting hazardous mate- 20590. rials or passengers, and other con- (b) The petition must state why the sequences that may result from such proposed safety rating is believed to be rating. in error and list all factual and proce- (d) Except as provided in § 385.17, a dural issues in dispute. The petition proposed safety rating issued pursuant may be accompanied by any informa- to paragraph (b) of this section will be- tion or documents the motor carrier is come the motor carrier’s final safety relying upon as the basis for its peti- rating 45 days after the date the notice tion. of proposed safety rating is received by (c) The Director, Office of Motor Car- the motor carrier. rier Field Operations, may request the petitioner to submit additional data [62 FR 60042, Nov. 6, 1997] and attend a conference to discuss the § 385.13 Unsatisfactory rated motor safety rating. Failure to provide the in- carriers—prohibition on transpor- formation requested or attend the con- tation of hazardous materials and ference may result in dismissal of the passengers; ineligibility for Federal petition. contracts. (d) The petitioner shall be notified in (a) A motor carrier rated unsatisfac- writing of the decision on administra- tory is prohibited from operating a tive review. The notification will occur commercial motor vehicle to trans- within 30 days after receipt of a peti- port— tion from a hazardous materials or pas- (1) Hazardous materials for which ve- senger motor carrier. hicle placarding is required pursuant to (e) If the decision on administrative part 172 of chapter 1 of this title; or review results in a final rating of un- (2) More than 15 passengers, includ- satisfactory for a hazardous materials ing the driver. or passenger motor carrier, the deci- (b) A motor carrier subject to the sion shall be accompanied by an appro- provisions of paragraph (a) of this sec- priate out-of-service order. tion is ineligible to contract or sub- (f) All other decisions on administra- contract with any Federal agency for tive review of ratings constitute final
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agency action. Thereafter, improve- 385.7, the motor carrier shall be pro- ment in the rating may be obtained vided with written notification that its under § 385.17 of this part. request has been denied and that the [62 FR 60043, Nov. 6, 1997] proposed safety rating will become final pursuant to § 385.11(d), or that a § 385.17 Change to safety rating based safety rating currently in effect will on corrective actions. not be changed. (a) Within the 45-day period specified (g) Any motor carrier whose request in § 385.11(d), or at any time after a rat- for change is denied pursuant to para- ing has become final, a motor carrier graph (f) of this section may petition may request a change to a proposed or for administrative review pursuant to final safety rating based on evidence § 385.15 within 45 days of the denial of that corrective actions have been the request for rating change. If the taken and that its operations currently proposed rating has become final, it meet the safety standard and factors shall remain in effect during the period specified in § 385.9. of any administrative review unless (b) A request for a change must be stayed by the reviewing official. made, in writing, to the Regional Di- [62 FR 60043, Nov. 6, 1997] rector, Office of Motor Carriers, for the FHWA Region in which the carrier § 385.19 Safety fitness information. maintains its principal place of busi- ness, and must include a written de- (a) Final ratings will be made avail- scription of corrective actions taken able to other Federal and State agen- and other documentation that may be cies in writing, telephonically or by re- relied upon as a basis for the requested mote computer access. change to the proposed rating. (b) The final safety rating assigned to (c) The final determination on the re- a motor carrier will be made available quest for change will be based upon the to the public upon request. Any person documentation submitted and any ad- requesting the assigned rating of a ditional investigation deemed nec- motor carrier shall provide the FHWA essary. with the motor carrier’s name, prin- (d) The filing of a request for change cipal office address, and, if known, the to a proposed rating under this section DOT number or the ICC docket num- does not stay the 45-day period estab- ber, if any. lished in § 385.11(d), after which a pro- (c) Requests shall be addressed to the posed safety rating becomes final. If Office of Motor Carrier Information the motor carrier has submitted evi- Management and Analysis, HIA–1, Fed- dence that corrective actions have been eral Highway Administration, 400 Sev- taken pursuant to this section and a enth Street, SW., Washington, D.C. final determination cannot be made 20590. within the 45-day period, the period be- (d) Oral requests by telephone to (800) fore the proposed safety rating be- 832–5660 will be given an oral response. comes effective may be extended for up to 10 days at the discretion of the Re- [62 FR 60043, Nov. 6, 1997] gional Director. (e) If it is determined that the motor § 385.21 Motor carrier identification report. carrier has taken the corrective ac- tions required and that its operations (a) All motor carriers currently con- currently meet the safety standard and ducting operations in interstate or for- factors specified in § 385.9, the motor eign commerce shall file a Motor Car- carrier will be provided with written rier Identification Report, Form MCS– notification that the proposed rating 150, within 90 days after the effective will not be assigned, or, if already as- date of this rule. Exception: The provi- signed, rescinded. sions of this section do not apply to a (f) If it is determined that the motor motor carrier that has received written carrier has not taken all the corrective notification of a safety rating from the actions required or that its operations FHWA. still fail to meet the safety standards (b) All motor carriers beginning oper- and factors specified in § § 385.5 and ation after the effective date of this
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rule shall file the Motor Carrier Identi- ment and Analysis, 400 Seventh Street, fication Report, Form MCS–150, within SW., Washington, DC 20590. 90 days after beginning operations. (c) The Motor Carrier Identification § 385.23 Failure to report. Report, Form MCS–150, is available Failure by a motor carrier to file a from all FHWA region and division Motor Carrier Identification Report, motor carrier safety offices nationwide Form MCS–150, pursuant to the provi- and from FHWA Office of Motor Carrier sions of § 385.21, or furnishing mislead- Information Management and Analy- ing information or making false state- sis, 400 Seventh Street, SW., Washing- ments upon the MCS–150 shall subject ton, DC 20590. (d) The completed Motor Carrier the offender to the penalties prescribed Identification Report, Form MCS–150, in title 49, United States Code, 522(b). shall be filed with the FHWA, Office of [53 FR 50968, Dec. 19, 1988, as amended at 60 Motor Carrier Information Manage- FR 38743, July 28, 1995]
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APPENDIX A TO PART 385—FORM MCS–150, MOTOR CARRIER IDENTIFICATION REPORT
(Approved by OMB under control number 2125–0544)
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NOTICE U.S. Department of Transportation, if known. Otherwise, enter ‘‘unknown.’’ The Form MCS–150, Motor Carrier Identi- 11. Circle appropriate classification. Circle fication Report, must be filed by all motor all that apply. If F ‘‘other’’ is circled, carriers operating in interstate or foreign enter the type of operation in the space commerce. A new motor carrier must file provided. Form MCS–150 within 90 days after beginning operations. Exception: A motor carrier that A. Authorized For Hire has received written notification of a safety B. Exempt For Hire rating from the Federal Highway Adminis- C. Private tration (FHWA) need not file the report. To D. Migrant mail, fold the completed report so that the E. U.S. Mail self-addressed postage paid panel is on the F. Other llllllllll outside. This report is required by 49 CFR Authorized For Hire— transportation for Part 385 and authorized by 49 U.S.C. 504 (1982 compensation as a common or contract & Supp. III 1985). carrier of property, owned by others, or The public reporting burden for this collec- passengers under the provisions of the tion of information on the Form MCS–150 is ICC. estimated by the FHWA to average 20 min- Exempt For Hire— transportation for com- utes. If you wish to comment on the accu- pensation of property exempt from the racy of the estimate or make suggestions for economic regulation by the ICC. reducing this burden, please direct your com- Private— transportation of property, owned ments to Office of Management and Budget or leased by the motor carrier, in fur- and the FHWA at the following addresses: therance of a commercial enterprise Office of Management and Budget, Paper- other than for-hire transportation. work Reduction Project, Washington, DC Migrant— interstate transportation, in- 20503 cluding a contract carrier, but not a and common carrier of 3 or more migrant Federal Highway Administration, Office of workers to or from their employment by Motor Carrier Field Operations, HFO–10, any motor vehicle other than a passenger 400 7th Street, SW, Washington, DC 20590 automobile or station wagon. U.S. Mail— transportation of U.S. Mail INSTRUCTIONS FOR COMPLETING THE MOTOR under contract with the U.S. Postal CARRIER IDENTIFICATION REPORT (MCS–150) Service. 12. Circle the letter of the types of cargo you (Please Print or Type All Information) usually transport. If Z ‘‘other,’’ is circled 1. Enter the name of the business entity (i.e. enter the name of the commodity in the corporation, partnership, or individual) space provided. that owns and controls the motor carrier 13. Circle the appropriate type of operation. operation. A. Interstate 2. If the business entity is operating under a B. Intrastate, transporting hazardous ma- name other than that in Block 1, i.e. terials (49 CFR 100–178) ‘‘trade name’’, enter that name. Other- C. Intrastate, NOT transporting hazardous wise, leave blank. materials. 3. Enter the principal place of business Interstate— transportation of persons or (where all safety records are maintained) property across State lines, including street address. international boundaries, or wholly within 4. Enter the city where the principal place of one State as part of a through movement business is located. that originates or terminates in another 5. Enter the name of the county in which the State or country. principal place of business is located. Intrastate— transportation of persons or 6. Enter the two-letter postal abbreviation property wholly within one State. for the State, or the name of the Cana- 14. Circle the letter of all of the types of haz- dian Province or Mexican State, in which ardous materials (HM) you transport. In the principal place of business is located. the columns following the HM types, ei- 7. Enter the zip code number corresponding ther circle T if the HM is transported in with the street address. cargo tanks or P if the HM is transported 8. Enter the telephone number including area in other packages. code of the principal place of business. 15. Enter the total number of vehicles owned, 9. Enter the motor carrier ‘MC’ number term leased and trip leased, that are, or under which the Interstate Commerce can be, operational the day this form is Commission (ICC) issued your operating completed. authority, if appropriate. Otherwise, 16. Enter the number of drivers used on an enter ‘‘N/A.’’ average work day. Part-time, casual, 10. Enter the identification number assigned term leased, trip leased and company to your motor carrier operation by the drivers are to be included.
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100 mile radius driver— a driver that oper- (b) The CR is an in-depth examination of a ates within a 100 air-mile radius of the motor carrier’s operations and is used (1) to normal work reporting location. rate unrated motor carriers, (2) to conduct a 17. Print or type the name, in the space pro- follow-up investigation on motor carriers vided, of the individual authorized to rated unsatisfactory or conditional as a result sign documents on behalf of the entity of a previous review, (3) to investigate com- listed in Block 1. That individual must plaints, or (4) in response to a request by a sign, date, and show his or her title in motor carrier to reevaluate its safety rating. the spaces provided. (Certification State- Documents such as those contained in driver ment, see 49 CFR 385.21 and 385.23) qualification files, records of duty status, ve- hicle maintenance records, and other records [56 FR 5365, Feb. 11, 1991] are thoroughly examined for compliance with the FMCSRs and HMRs. Violations are APPENDIX B TO PART 385—EXPLANATION cited on the CR document. Performance- OF SAFETY RATING PROCESS based information, when available, is uti- lized to evaluate the carrier’s compliance (a) Section 215 of the Motor Carrier Safety with the vehicle regulations. Recordable ac- Act of 1984 (49 U.S.C. 31144) directed the Sec- cident information is also collected. retary of Transportation to establish a pro- cedure to determine the safety fitness of II. CONVERTING CR INFORMATION INTO A owners and operators of commercial motor SAFETY RATING vehicles operating in interstate or foreign (a) The FHWA gathers information commerce. The Secretary, in turn, delegated through an in-depth examination of the this responsibility to the Federal Highway motor carrier’s compliance with identified Administration (FHWA). ‘‘acute’’ or ‘‘critical’’ regulations of the (b) As directed, FHWA promulgated a safe- FMCSRs and HMRs. ty fitness regulation, entitled ‘‘Safety Fit- (b) Acute regulations are those identified ness Procedures,’’ which established a proce- as such where noncompliance is so severe as dure to determine the safety fitness of motor to require immediate corrective actions by a carriers through the assignment of safety motor carrier regardless of the overall safety ratings and established a ‘‘safety fitness posture of the motor carrier. An example of standard’’ which a motor carrier must meet an acute regulation is § 383.37(b), allowing, to obtain a satisfactory safety rating. requiring, permitting, or authorizing an em- (c) To meet the safety fitness standard, a ployee with more than one Commercial Driv- motor carrier must demonstrate to the er’s License (CDL) to operate a commercial FHWA that it has adequate safety manage- motor vehicle. Noncompliance with ment controls in place which function effec- § 383.37(b) is usually discovered when the tively to ensure acceptable compliance with motor carrier’s driver qualification file re- the applicable safety requirements. A ‘‘safe- flects that the motor carrier had knowledge ty fitness rating methodology’’ (SFRM) was of a driver with more than one CDL, and still developed by the FHWA, which uses data permitted the driver to operate a commer- from compliance reviews (CRs) and roadside cial motor vehicle. If the motor carrier did inspections to rate motor carriers. not have such knowledge or could not rea- (d) The safety rating process developed by sonably be expected to have such knowledge, FHWA’s Office of Motor Carriers is used to: then a violation would not be cited. 1. Evaluate safety fitness and assign one of (c) Critical regulations are those identified three safety ratings (satisfactory, conditional as such where noncompliance relates to man- or unsatisfactory) to motor carriers operating agement and/or operational controls. These in interstate commerce. This process con- are indicative of breakdowns in a carrier’s forms to 49 CFR 385.5, Safety fitness stand- management controls. An example of a criti- ard, and § 385.7, Factors to be considered in cal regulation is § 395.3(a)(1), requiring or determining a safety rating. permitting a driver to drive more than 10 hours. 2. Identify motor carriers needing improve- (d) The list of the acute and critical regu- ment in their compliance with the Federal lations which are used in determining safety Motor Carrier Safety Regulations (FMCSRs) ratings is included at the end of this docu- and applicable Hazardous Material Regula- ment. tions (HMRs). These are carriers rated unsat- (e) Noncompliance with acute regulations isfactory or conditional. and patterns of non-compliance with critical I. SOURCE OF DATA FOR RATING METHODOLOGY regulations are quantitatively linked to in- adequate safety management controls and (a) The FHWA’s rating process is built usually higher than average accident rates. upon the operational tool known as the CR. The FHWA has used noncompliance with This tool was developed to assist Federal and acute regulations and patterns of noncompli- State safety specialists in gathering perti- ance with critical regulations since 1989 to nent motor carrier compliance and accident determine motor carriers’ adherence to the information. Safety fitness standard in § 385.5.
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(f) The regulatory factors, evaluated on the (b) Nearly two million vehicle inspections basis of the adequacy of the carrier’s safety occur on the roadside each year. This vehicle management controls, are (1) Parts 387 and inspection information is retained in the 390; (2) Parts 382, 383 and 391; (3) Parts 392 and MCMIS and is integral to evaluating motor 395; (4) Parts 393 and 396 when there are less carriers’ ability to successfully maintain than three vehicle inspections in the last 12 their vehicles, thus preventing them from months to evaluate; and (5) Parts 397, 171, 177 being placed OOS during roadside inspec- and 180. tions. Since many of the roadside inspections (g) For each instance of noncompliance are targeted to visibly defective vehicles and with an acute regulation or each pattern of since there are a limited number of inspec- noncompliance with a critical regulation tions for many motor carriers, the use of during the CR, one point will be assessed. A that data is limited. Each CR will continue pattern is more than one violation. When a to have the requirements of Part 396, Inspec- number of documents are reviewed, the num- tion, Repair, and Maintenance, reviewed as ber of violations required to meet a pattern indicated by the above explanation. is equal to at least 10 percent of those exam- B. Accident Factor ined. (h) However, each pattern of noncompli- (a) In addition to the five regulatory rating ance with a critical regulation relative to factors, a sixth factor is included in the proc- Part 395, Hours of Service of Drivers, will be ess to address the accident history of the assessed two points. motor carrier. This factor is the recordable accident rate which the carrier has experi- A. Vehicle Factor enced during the past 12 months. Recordable (a) When a total of three or more inspections accident, as defined in 49 CFR 390.5, means are recorded in the Motor Carrier Management an accident involving a commercial motor Information System (MCMIS) during the twelve vehicle operating on a public road in inter- months prior to the CR or performed at the time state or intrastate commerce which results in a fatality; bodily injury to a person who, of the review, the Vehicle Factor (Parts 393 as a result of the injury, immediately re- and 396) will be evaluated on the basis of the ceives medical treatment away from the Out-of-Service (OOS) rates and noncompli- scene of the accident; one or more motor ve- ance with acute regulations and/or a pattern hicles incurring disabling damage as a result of noncompliance with critical regulations. of the accident requiring the motor vehicle The results of the review of the OOS rate to be transported away from the scene by a will affect the Vehicle Factor rating as fol- tow truck or other motor vehicle. lows: (b) Recordable accidents per million miles 1. If a motor carrier has three or more were computed for each CR performed in Fis- roadside vehicle inspections in the twelve cal Years 1994,1995 and 1996. The national av- months prior to the carrier review, or three erage for all carriers rated was 0.747, and .839 vehicles inspected at the time of the review, for carriers operating entirely within the 100 or a combination of the two totaling three or air mile radius. more, and the vehicle OOS rate is 34 percent (c) Experience has shown that urban car- or greater, the initial factor rating will be riers, those motor carriers operating pri- conditional. The requirements of Part 396, In- marily within a radius of less than 100 air spection, Repair, and Maintenance, will be miles (normally in urban areas) have a high- examined during each review. The results of er exposure to accident situations because of the examination could lower the factor rat- their environment and normally have higher ing to unsatisfactory if noncompliance with accident rates. an acute regulation or a pattern of non- (d) The recordable accident rate will be compliance with a critical regulation is dis- used to rate Factor 6, Accident. It will be covered. If the examination of the Part 396 used only when a motor carrier incurs two or requirements reveals no such problems with more recordable accidents occurred within the systems the motor carrier is required to the 12 months prior to the CR. An urban car- maintain for compliance, the Vehicle Factor rier (a carrier operating entirely within a ra- remains conditional. dius of 100 air miles) with a recordable acci- 2. If a carrier’s vehicle OOS rate is less dent rate greater than 1.7 will receive an un- than percent, the initial factor rating will be satisfactory rating for the accident factor. All satisfactory. If noncompliance with an acute other carriers with a recordable accident regulation or a pattern of noncompliance rate greater than 1.5 will receive an unsatis- with a critical regulation is discovered dur- factory factor rating. The rates are a result ing the examination of Part 396 require- of roughly doubling the national average ac- ments, the factor rating will be lowered to cident rate for each type of carrier rated in conditional. If the examination of Part 396 re- Fiscal Years 1994, 1995 and 1996. quirements discovers no such problems with (e) The FHWA will continue to consider the systems the motor carrier is required to preventability when a motor carrier contests maintain for compliance, the Vehicle Factor a rating by presenting compelling evidence remains satisfactory. that the recordable rate is not a fair means
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of evaluating its accident factor. Prevent- mation will appear after the last entry on ability will be determined according to the the CR, MCS–151, Part B. following standard: ‘‘If a driver, who exer- ‘‘Your proposed safety rating is SATIS- cises normal judgment and foresight could FACTORY.’’ have foreseen the possibility of the accident Your proposed safety rating is CONDI- that in fact occurred, and avoided it by tak- TIONAL.’’ The proposed rating will become ing steps within his/her control which would the final rating 45 after you receive this no- not have risked causing another kind of mis- tice. hap, the accident was preventable.’’ OR C. Factor Ratings ‘‘Your proposed safety rating is UNSATIS- (a) Parts of the FMCSRs and the HMRs FACTORY.’’ The safety rating will become having similar characteristics are combined the final safety rating 45 days after you re- together into five regulatory areas called ceive this notice. ‘‘factors.’’ (b) Proposed safety ratings of conditional or (b) The following table shows the five regu- unsatisfactory will list the deficiencies dis- latory factors, parts of the FMCSRs and covered during the CR for which corrective HMRs associated with each factor, and the actions must be taken. accident factor. Factor Ratings are deter- (c) Proposed unsatisfactory safety ratings mined as follows: will indicate that, if the unsatisfactory rating becomes final, the motor carrier will be sub- FACTORS ject to the provision of § 385.13, which pro- hibits motor carriers rated unsatisfactory Factor 1 General=Parts 387 and 390 from transporting hazardous materials re- Factor 2 Driver=Parts 382, 383 and 391 quiring placarding or 15 passengers or more Factor 3 Operational=Parts 392 and 395 including the driver. Factor 4 Vehicle=Parts 393 and 396 Factor 5 Haz. Mat.=Parts 397, 171, 177 and IV. ASSIGNMENT OF FINAL RATING/MOTOR 180 CARRIER NOTIFICATION Factor 6 Accident Factor=Recordable Rate When the official rating is determined in ‘‘Satisfactory’’—if the acute and/or criti- Washington, D.C., the FHWA notifies the cal=0 points motor carrier in writing of its safety rating ‘‘Conditional’’—if the acute and/or critical=1 as prescribed in § 385.11. A proposed condi- point tional safety rating (which is an improve- ‘‘Unsatisfactory’’—if the acute and/or criti- ment of an existing unsatisfactory rating) be- cal=2 or more points comes effective as soon as the official safety rating from Washington, D.C. is issued, and III. SAFETY RATING the carrier may also avail itself of relief under the § 385.15, Administrative Review and A. Rating Table § 385.17, Change to safety rating based on cor- (a) The ratings for the six factors are then rective actions. entered into a rating table which establishes V. MOTOR CARRIER RIGHTS TO A CHANGE IN the motor carrier’s safety rating. THE SAFETY RATING (b) The FHWA has developed a computer- ized rating formula for assessing the infor- Under §§ 385.15 and 385.17, motor carriers mation obtained from the CR document and have the right to petition for a review of is using that formula in assigning a safety their ratings if there are factual or procedural rating. disputes, and to request another review after corrective actions have been taken. They are MOTOR CARRIER SAFETY RATING TABLE the procedural avenues a motor carrier which believes its safety rating to be in error Factor ratings may exercise, and the means to request an- other review after corrective action has been Unsatisfac- Condi- Overall safety rating tory tional taken.
0 ...... 2 or less .. SATISFACTORY. VI. CONCLUSION 0 ...... more than CONDITIONAL. (a) The FHWA believes this ‘‘safety fitness 2. rating methodology’’ is a reasonable ap- 0 ...... 2 or less .. CONDITIONAL. 1 ...... more than UNSATISFACTORY. proach for assigning a safety rating which 2. best describes the current safety fitness pos- 2 or more 0 or more UNSATISFACTORY. ture of a motor carrier as required by the safety fitness regulations (§ 385.9). This meth- B. Proposed Safety Rating odology has the capability to incorporate regulatory changes as they occur. (a) The proposed safety rating will appear (b) Improved compliance with the regula- on the CR. The following appropriate infor- tions leads to an improved rating, which in
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turn increases safety. This increased safety § 383.23(a) Operating a commercial motor is our regulatory goal. vehicle without a valid commercial driv- er’s license. (critical) VII. LIST OF ACUTE AND CRITICAL § 383.37(a) Allowing, requiring, permitting, REGULATIONS or authorizing an employee with a Com- § 382.115(c) Failing to implement an alcohol mercial Driver’s License which is sus- and/or controlled substance testing pro- pended, revoked, or canceled by a state or gram. (acute) who is disqualified to operate a commer- cial motor vehicle. (acute) § 382.201 Using a driver who has an alcohol concentration of 0.04 or greater. (acute) § 383.37(b) Allowing, requiring, permitting, or authorizing an employee with more § 382.211 Using a driver who has refused to than one Commercial Driver’s License to submit to an alcohol controlled substances operate a commercial motor vehicle. test required under Part 382. (acute) (acute) § 382.213(b) Using a driver who has used a § 383.51(a) Allowing, requiring, permitting, controlled substance. (acute) or authorizing a driver to drive who is dis- § 382.215 Using a driver who has tested posi- qualified to drive a commercial motor ve- tive for a controlled substance. (acute) hicle. (acute) § 382.301(a) Using a driver before the motor § 387.7(a) Operating a motor vehicle without carrier has received negative pre-employ- having in effect the required minimum lev- ment controlled substance test results. els of financial responsibility coverage. (critical) (acute) § 382.303(a) Failing to conduct post accident § 387.7(d) Failing to maintain at principal testing on driver for alcohol and/or con- place of business required proof of finan- trolled substances. (critical) cial responsibility. (critical) § 382.305 Failing to implement a random § 387.31(a) Operating a passenger carrying controlled substances and/or an alcohol vehicle without having in effect the re- testing program. (acute) quired minimum levels of financial respon- § 382.305(b)(1) Failing to conduct random al- sibility. (acute) cohol testing at an annual rate of not less § 387.31(d) Failing to maintain at principal than 25 percent of the average number of place of business required proof of finan- driver positions. (critical) cial responsibility for passenger vehicles. § 382.305(b)(2) Failing to conduct random (critical) controlled substances testing at an annual § 390.15(b)(2) Failing to maintain copies of rate of not less than 50 percent of the aver- all accident reports required by State or age number of driver positions. (critical) other governmental entities or insurers. § 382.309(a) Using a driver who has not un- (critical) dergone a return-to-duty alcohol test with § 390.35 Making, or causing to make fraudu- a result indicating an alcohol concentra- lent or intentionally false statements or tion of less than 0.02. (acute) records and/or reproducing fraudulent § 382.309(b) Using a driver who has not un- records. (acute) dergone a return-to-duty controlled sub- § 391.11(a)/391.95 Using an unqualified driver, stances test with a result indicating a veri- a driver who has tested positive for con- fied negative result for controlled sub- trolled substances, or refused to be tested stances. (acute) as required. (acute) § 382.503 Driver performing safety sensitive § 391.11(b)(6) Using a physically unqualified function, after engaging in conduct prohib- driver. (acute) ited by Subpart B, without being evaluated § 391.15(a) Using a disqualified driver. by substance abuse professional, as re- (acute) quired by § 382.605. (critical) § 391.45(a) Using a driver not medically ex- § 382.505(a) Using a driver within 24 hours amined and certified. (critical) after being found to have an alcohol con- § 391.45(b) Using a driver not medically ex- centration of 0.02 or greater but less than amined and certified each 24 months. (crit- 0.04. (acute) ical) § 382.605(c)(1) Using a driver who has not un- § 391.51(a) Failing to maintain driver quali- dergone a return-to-duty alcohol test with fication file on each driver employed. (crit- a result indicating an alcohol concentra- ical) tion of less than .02 or with verified nega- § 391.51(b)(1) Failing to maintain medical tive test result, after engaging in conduct examiner’s certificate in driver’s qualifica- prohibited by Part 382 Subpart B. (acute) tion file. (critical) § 382.605(c)(2)(ii) Failing to subject a driver § 391.51(c)(1) Failing to maintain medical ex- who has been identified as needing assist- aminer’s certificate in driver’s qualifica- ance to at least six unannounced follow-up tion file. (critical) alcohol and controlled substance tests in § 391.51(c)(3) Failing to maintain inquiries the first 12 months following the driver’s into driver’s driving record in driver’s return to duty. (critical) qualification file. (critical)
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§ 391.51(d)(1) Failing to maintain medical § 395.3(a)(2) Requiring or permitting driver examiner’s certificate in driver’s qualifica- to drive after having been on duty 15 hours. tion file. (critical) (critical) § 391.87(f)(5) Failing to retain in the driver’s § 395.3(b) Requiring or permitting driver to qualification file test finding, either ‘‘Neg- drive after having been on duty more than ative’’ and, if ‘‘Positive’’, the controlled 60 hours in 7 consecutive days. (critical) substances identified. (critical) § 395.3(b) Requiring or permitting driver to § 391.93(a) Failing to implement a controlled drive after having been on duty more than substances testing program. (acute) 70 hours in 8 consecutive days. (critical) § 391.99(a) Failing to require a driver to be § 395.8(a) Failing to require driver to make a tested for the use of controlled substances, record of duty status. (critical) upon reasonable cause. (acute) § 395.8(e) False reports of records of duty § 391.103(a) Failing to require a driver-appli- status. (critical) cant whom the motor carrier intends to § 395.8(i) Failing to require driver to forward hire or use to be tested for the use of con- within 13 days of completion, the original trolled substances as a pre-qualification of the record of duty status. (critical) condition. (critical) § 395.8(k)(1) Failing to preserve driver’s § 391.109(a) Failing to conduct controlled record of duty status for 6 months. (criti- substance testing at a 50% annualized rate. cal) (critical) § 395.8(k)(1) Failing to preserve driver’s § 391.115(c) Failing to ensure post-accident records of duty status supporting docu- controlled substances testing is conducted ments for 6 months. (critical) and conforms with 49 CFR Part 40. (criti- § 396.3(b) Failing to keep minimum records cal) of inspection and vehicle maintenance. § 392.2 Operating a motor vehicle not in ac- (critical) cordance with the laws, ordinances, and § 396.9(c)(2) Requiring or permitting the op- regulations of the jurisdiction in which it eration of a motor vehicle declared ‘‘out- is being operated. (critical) of-service’’ before repairs were made. (acute) § 392.4(b) Requiring or permitting a driver § 396.11(a) Failing to require driver to pre- to drive while under the influence of, or in pare driver vehicle inspection report. (crit- possession of, a narcotic drug, amphet- ical) amine, or any other substance capable of rendering the driver incapable of safely op- § 396.11(c) Failing to correct Out-of-Service erating a motor vehicle. (acute) defects listed by driver in a driver vehicle inspection report. (acute) § 392.5(b)(1) Requiring or permitting a driver § 396.17(a) Using a commercial motor vehi- to drive a motor vehicle while under the cle not periodically inspected. (critical) influence of, or in possession of, an intoxi- § 396.17(g) Failing to promptly repair parts cating beverage. (acute) and accessories not meeting minimum § 392.5(b)(2) Requiring or permitting a driver periodic inspection standards. (acute) who has consumed an intoxicating bev- § 397.5(a) Failing to ensure a motor vehicle erage within 4 hours to operate a motor ve- containing Class A or B explosives, (Class hicle. (acute) 1.1, 1.2, or 1.3) is attended at all times by § 392.6 Scheduling a run which would neces- its driver or a qualified representative. sitate the vehicle being operated at speeds (acute) in excess of those prescribed. (critical) § 397.7(a)(1) Parking a motor vehicle con- § 392.9(a)(1) Requiring or permitting a driver taining Class A or B explosives (1.1, 1.2, 1.3) to drive without the vehicle’s cargo being within 5 feet of traveled portion of high- properly distributed and adequately se- way. (critical) cured. (critical) § 397.7(b) Parking a motor vehicle contain- § 395.1(i)(1)(i) Requiring or permitting a ing hazardous material(s) within 5 feet of driver to drive more than 15 hours. (Driv- traveled portion of highway or street. ing in Alaska.) (critical) (critical) § 395.1(i)(1)(ii) Requiring or permitting a § 397.13(a) Permitting a person to smoke or driver to drive after having been on duty 20 carry a lighted cigarette, cigar or pipe hours. (Driving in Alaska.) (critical) within 25 feet of a motor vehicle contain- § 395.1(i)(1)(iii) Requiring or permitting ing explosives, oxidizing materials, or driver to drive after having been on duty flammable materials. (critical) more than 70 hours in 7 consecutive days. § 397.19(a) Failing to furnish driver of motor (Driving in Alaska.) (critical) vehicle transporting Class A or B explo- § 395.1(i)(1)(iv) Requiring or permitting driv- sives (Class 1.1, 1.2, 1.3) with a copy of the er to drive after having been § on duty rules of Part 397 and/or emergency re- more than 80 hours in 8 consecutive days. sponse instructions. (critical) (Driving in Alaska.) (critical) § 397.67(d) Requiring or permitting the oper- § 395.3(a)(1) Requiring or permitting driver ation of a motor vehicle containing Divi- to drive more than 10 hours. (critical) sion 1.1, 1.2, or 1.3 (explosive) material that
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is not accompanied by a written route 386.16 Action on petitions or replies. plan. (critical) 386.17 Intervention. § 171.15 Carrier failing to give immediate telephone notice of an incident involving Subpart C—Compliance and Consent hazardous materials. (critical) Orders § 171.16 Carrier failing to make a written re- port of an incident involving hazardous 386.21 Compliance order. materials. (critical) 386.22 Consent order. § 177.800(c) Failing to instruct a category of 386.23 Content of consent order. employees in hazardous materials regula- tions. (critical) Subpart D—General Rules and Hearings § 177.817(a) Transporting a shipment of haz- ardous materials not accompanied by a 386.31 Service. properly prepared shipping paper. (critical) 386.32 Computation of time. § 177.817(e) Failing to maintain proper ac- 386.33 Extension of time. cessibility of shipping papers. (critical) 386.34 Official notice. § 177.823(a) Moving a transport vehicle con- 386.35 Motions. taining hazardous material that is not 386.36 Motions to dismiss and motions for a properly marked or placarded. (critical) more definite statement. § 177.841(e) Transporting a package bearing 386.37 Discovery methods. a poison label in the same transport vehi- 386.38 Scope of discovery. cle with material marked or known to be 386.39 Protective orders. foodstuff, feed, or any edible material in- 386.40 Supplementation of responses. tended for consumption by humans or ani- 386.41 Stipulations regarding discovery. mals. (acute) § 180.407(a) Transporting a shipment of haz- 386.42 Written interrogatories to parties. ardous material in cargo tank that has not 386.43 Production of documents and other been inspected or retested in accordance evidence; entry upon land for inspection with § 180.407. (critical) and other purposes; and physical and § 180.407(c) Failing to periodically test and mental examination. inspect a cargo tank. (critical) 386.44 Request for admissions. § 180.415 Failing to mark a cargo tank which 386.45 Motion to compel discovery. passed an inspection or test required by 386.46 Depositions. § 180.407. (critical) 386.47 Use of deposition at hearings. § 180.417(a)(1) Failing to retain cargo tank 386.48 Medical records and physicians’ re- manufacturer’s data report certificate and ports. related papers, as required. (critical) 386.49 Form of written evidence. § 180.417(a)(2) Failing to retain copies of 386.50 Appearances and rights of witnesses. cargo tank manufacturer’s certificate and 386.51 Amendment and withdrawal of plead- related papers (or alternative report) as re- ings. quired. (critical) 386.52 Appeals from interlocutory rulings. [62 FR 60043, Nov. 6, 1997] 386.53 Subpoenas, witness fees. 386.54 Administrative law judge. 386.55 Prehearing conferences. PART 386—RULES OF PRACTICE 386.56 Hearings. FOR MOTOR CARRIER SAFETY 386.57 Proposed findings of fact, conclusions AND HAZARDOUS MATERIALS of law. PROCEEDINGS 386.58 Burden of proof.
Subpart A—Scope of Rules; Definitions Subpart E—Decision Sec. 386.61 Decision. 386.1 Scope of rules in this part. 386.62 Review of administrative law judge’s 386.2 Definitions. decision. 386.63 Decision on review. Subpart B—Commencement of 386.64 Reconsideration. Proceedings, Pleadings 386.65 Failure to comply with final order. 386.66 Motions for rehearing or for modifica- 386.11 Commencement of proceedings. tion. 386.12 Complaint. 386.67 Appeal. 386.13 Petitions to review and request for hearing: Driver qualification proceed- Subpart F—Injunctions and Imminent ings. Hazards 386.14 Replies and request for hearing: Civil forfeiture proceedings. 386.71 Injunctions. 386.15 [Reserved] 386.72 Imminent hazard.
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Subpart G—Penalties § 386.2 Definitions. 386.81 General. Abate or abatement means to dis- 386.82 Civil penalties for violations of no- continue regulatory violations by re- tices and orders. fraining from or taking actions identi- APPENDIX A TO PART 386—PENALTY SCHED- fied in a notice to correct noncompli- ULE; VIOLATIONS OF NOTICES AND ORDERS ance. APPENDIX B TO PART 386—PENALTY SCHED- Administration means the Federal ULE; VIOLATIONS AND MAXIMUM MONE- Highway Administration. TARY PENALTIES Administrative law judge means an ad- ministrative law judge appointed pur- AUTHORITY: 49 U.S.C. 104(c)(2), 501 et seq., suant to the provisions of 5 U.S.C. 3105. Chapter 51, 31131–31133, 31135–31139, 31142– 31147, Chapter 313, 31501 et seq., Pub. L. 104–34, Associate Administrator means the As- title III, chapter 10, Sec. 31001, par. (s), 110 sociate Administrator for Motor Car- Stat. 1321–373, and 49 CFR 1.45 and 1.48. riers of the Federal Highway Adminis- tration or his/her authorized delegate. SOURCE: 50 FR 40306, Oct. 2, 1985, unless Civil forfeiture proceedings means pro- otherwise noted. ceedings to collect civil penalties for violations under the Commercial Subpart A—Scope of Rules; Motor Vehicle Safety Act of 1986, title Definitions XII of Public Law 99–570, 100 Stat. 3207– 170 (49 U.S.C. 2701 et seq.); the Hazard- § 386.1 Scope of rules in this part. ous Materials Transportation Act, 49 The rules in this part govern proce- U.S.C. 1809; 49 U.S.C. 3102; the Motor dures in proceedings before the Associ- Carrier Safety Act of 1984, 49 U.S.C. ate Administrator authorized by the 2501 et seq.; section 30 of the Motor Car- Commercial Motor Vehicle Safety Act rier Act of 1980, 49 U.S.C. 10927, note; or of 1986, title XII of Public Law 99–570, section 18 of the Bus Regulatory Re- 100 Stat. 3207–170 (49 U.S.C. 2701 et. seq.); form Act of 1982, 49 U.S.C. 10927, note. Claimant means the representative of the Motor Carrier Safety Act of 1984, the Federal Highway Administration Public Law 98–554, 98 Stat. 2829 (49 authorized to make claims. U.S.C. 2501 et. seq); the recodification of Compliance Order means a written di- title 49, United States Code, Transpor- rection to a respondent under this part tation, Public Law 97–449, 96 Stat. 2413 requiring the performance of certain (49 U.S.C. 104(c)(2), 501 set seq., 3101 et acts which, based upon the findings in seq.); the Hazardous Materials Trans- the proceeding, are considered nec- portation Act, Public Law 93–633, 88 essary to bring respondent into compli- STat. 2156 (49 U.S.C. 1801 et seq.); the ance with the regulations found to Bus Regulatory Reform Act of 1982, have been violated. Public Law 97–261, 96 Stat. 1121 (49 Consent Order means a compliance U.S.C. 10927, note) and the Motor Car- order which has been agreed to by re- rier Act of 1980, Public Law 96–296, 94 spondent in the settlement of a civil Stat. 820, as amended by Public Law forfeiture proceeding. 97–424, 96 Stat. 2158 (49 U.S.C. 10927, Driver qualification proceeding means note). The purpose of the proceedings is a proceeding commenced under 49 CFR to enable the Associate Administrator 391.47 or by issuance of a letter of dis- to determine whether any motor car- qualification. rier, its agent, employee or other per- Motor carrier means a motor carrier, son subject to the jurisdiction of the motor contract carrier, motor private FHWA under any of the above-men- carrier, or motor carrier of migrant tioned Acts has failed to comply with workers as defined in 49 U.S.C. 3101 and any provision or requirement of those 10102. statutes or regulations issued under Petitioner means a party petitioning them and, if such a violation is found, to overturn a determination in a driver to issue an appropriate order to compel qualification proceeding. compliance with the statute or regula- Respondent means a party against tion, assess a civil penalty, or both. whom relief is sought or claim is made. [50 FR 40306, Oct. 2, 1985, as amended at 53 FR [50 FR 40306, Oct. 2, 1985, as amended at 53 FR 2036, Jan. 26, 1988] 2036, Jan. 26, 1988; 56 FR 10182, Mar. 11, 1991]
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Subpart B—Commencement of claimant that the respondent intends Proceedings, Pleadings to contest the notice, and that if the notice is contested the respondent will § 386.11 Commencement of proceed- be afforded an opportunity for a hear- ings. ing. (a) Driver qualification proceedings. (2) In addition to the information re- These proceedings are commenced by quired by paragraph (b)(1) of this sec- the issuance of a determination by the tion, the letter may contain such other Director, Office of Motor Carrier matters as the FHWA deems appro- Standards, in a case arising under priate, including a notice to abate. § 391.47 of this chapter or by the (3) In proceedings for collection of issuance of a letter of disqualification. civil penalties for violations of the (1) Such determination and letters motor carrier safety regulations under must be accompanied by the following: the Motor Carrier Safety Act of 1984, (i) A citation of the regulation under the claimant may require the respond- which the action is being taken; ent to post a copy of the claim letter in (ii) A copy of all documentary evi- such place or places and for such dura- dence relied on or considered in taking tion as the claimant may determine such action, or in the case of volumi- appropriate to aid in the enforcement nous evidence a summary of such evi- of the law and regulations. dence; (iii) Notice to the driver and motor (c) Notice of investigation. This is a no- carrier involved in the case that they tice to respondent that FHWA has dis- may petition for review of the action; covered violations of the Federal (iv) Notice that a hearing will be Motor Carrier Safety regulations or granted if the Associate Administrator Hazardous Materials Regulations under determines there are material factual circumstances which may require a issues in dispute; compliance order and/or monetary pen- (v) Notice that failure to petition for alty. The proposed form of the compli- review will constitute a waiver of the ance order will be included in the no- right to contest the action; and tice. The Associate Administrator may (vi) Notice that the burden or proof issue a Notice of Investigation in his or will be on the petitioner in cases aris- her own discretion or upon a complaint ing under § 391.47 of this chapter. filed pursuant to § 386.12. (2) At any time before the close of (1) Each notice of investigation must hearing, upon application of a party, include the following: the letter or determination may be (i) A statement of the legal authority amended at the discretion of the ad- and jurisdiction for the institution of ministrative law judge upon such the proceedings; terms as he/she approves. (ii) The name and address of each (b) Civil forfeitures. These proceedings motor carrier against whom relief is are commenced by the issuance of a sought; Claim Letter or a Notice of Investiga- (iii) One or more clear, concise, and tion. separately numbered paragraphs stat- (1) Each claim letter must contain ing the facts alleged to constitute a the following: (i) A statement of the provisions of violation of the law; law alleged to have been violated; (iv) The relief demanded which, (ii) A brief statement of the facts where practical, should be in the form constituting each violation; of an order for the Associate Adminis- (iii) Notice of the amount being trator’s signature, and which shall fix claimed, and notice of the maximum a reasonable time for abatement of the amount authorized to be claimed under violations and may specify actions to the statute; be taken in order to abate the viola- (iv) The form in which and the place tions; where the respondent may pay the (v) A statement that the rules in this claim; and part require a reply to be filed within (v) Notice that the respondent may, 30 days of service of the notice of inves- within 15 days of service, notify the tigation, and
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(vi) A certificate that the notice of for investigation and action by the Ad- investigation was served in accordance ministration. If he/she determines that with § 386.31. the complaint states such grounds, the (2) At any time before the close of Associate Administrator shall issue, or hearing or upon application of a party, authorize the issuance of, a notice of the notice of investigation may be investigation under § 386.11(c). If he/she amended at the discretion of the ad- determines that the complaint does not ministrative law judge upon such state reasonable grounds for investiga- terms as he/she deems appropriate. tion and action by the Administration, (3) A Claim Letter may be combined the Associate Administrator shall dis- with a Notice of Investigation in a sin- miss it. gle proceeding. In such proceeding, the (c) Complaint of substantial violation. 30-day reply period in paragraph (c)(1) Any person may file a written com- of this section shall apply. plaint with the Associate Adminis- (4) A notice to abate contained in a trator alleging that a substantial vio- Claim Letter or Notice of Investigation lation of any regulation issued under shall specify what must be done by the the Motor Carrier Safety Act of 1984 is respondent, a reasonable time within occurring or has occurred within the which abatement must be achieved, preceding 60 days. A substantial viola- and that failure to abate subjects the tion is one which could reasonably lead respondent to additional penalties as to, or has resulted in, serious personal prescribed in subpart G of this part. injury or death. Each complaint must [50 FR 40306, Oct. 2, 1985, as amended at 53 FR be signed by the complainant and must 2036, Jan. 26, 1988; 56 FR 10182, Mar. 11, 1991] contain: (1) The name, address, and telephone § 386.12 Complaint. number of the person who files it; (a) Filing of a complaint. Except as (2) The name and address of the al- otherwise provided in paragraph (c) of leged violator and, with respect to each this section, any person, State board, alleged violator, the specific provisions organization, or body politic may file a of the regulations that the complain- written complaint with the Associate ant believes were violated; and Administrator, requesting the issuance (3) A concise but complete statement of a notice of investigation under of the facts relied upon to substantiate § 386.11(c). Each complaint must con- each allegation, including the date of tain: each alleged violation. (1) The name and address of the party (d) Action on complaint of substantial who files it, and a statement specifying violation. Upon the filing of a com- the authority for a party (other than a plaint of a substantial violation under natural person) to file the complaint; paragraph (c) of this section, the Asso- (2) A statement of the interest of the ciate Administrator shall determine party in the proceedings; whether it is nonfrivolous and meets (3) The name and address of each the requirements of paragraph (c) of motor carrier against who relief is this section. If the Associate Adminis- sought; trator determines that the complaint (4) The reasons why the party be- is nonfrivolous and meets the require- lieves that a notice of investigation ments of paragraph (c), he/she shall in- should be issued; vestigate the complaint. The complain- (5) A statement of any prior action ant shall be timely notified of findings which the party has taken to redress resulting from such investigation. The the violations of law alleged in the Associate Administrator shall not be complaint and the results of that ac- required to conduct separate investiga- tion; and tions of duplicative complaints. If the (6) The relief which the party be- Associate Administrator determines lieves the Administration should seek. that the complaint is frivalous or does (b) Action on paragraph (a) complaint. not meet the requirements of para- Upon the filing of a complaint under graph (c), he/she shall dismiss the com- paragraph (a) of this section, the Asso- plaint and notify the complainant in ciate Administrator shall determine writing of the reasons for such dismis- whether it states reasonable grounds sal.
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(e) Notwithstanding the provisions of based on the evidence and arguments section 552 of title 5, United States submitted. Code, the Associate Administrator shall not disclose the identity of com- § 386.14 Replies and request for hear- plainants unless it is determined that ing: Civil forfeiture proceedings. such disclosure is necessary to pros- (a) Time for reply. The respondent ecute a violation. If disclosure becomes must reply within 15 days after a Claim necessary, the Associate Administrator Letter is served, or 30 days after a No- shall take every practical means with- tice of Investigation is received. in the Associate Administrator’s au- (b) Contents of reply. The reply must thority to assure that the complainant contain the following: is not subject to harassment, intimida- (1) An admission or denial of each al- tion, disciplinary action, discrimina- legation of the claim or notice and a tion, or financial loss as a result of concise statement of facts constituting such disclosure. each defense; (2) If the respondent contests the § 386.13 Petitions to review and re- claim or notice, a request for an oral quest for hearing: Driver qualifica- hearing or notice of intent to submit tion proceedings. evidence without an oral hearing must (a) Within 60 days after service of the be contained in the reply. A request for determination under § 391.47 of this a hearing must list all material facts chapter or the letter of disqualifica- believed to be in dispute. Failure to re- tion, the driver or carrier may petition quest a hearing within 15 days after the to review such action. Such petitions Claim Letter is served, or 30 days in must be submitted to the Associate Ad- the case of a Notice of Investigation, ministrator and must contain the fol- shall constitute a waiver of any right lowing: to a hearing; (1) Identification of what action the (3) A statement of whether the re- petitioner wants overturned; spondent wishes to negotiate the terms (2) Copies of all evidence upon which of payment or settlement of the petitioner relies in the form set out in amount claimed, or the terms and con- § 386.49; ditions of the order; and (3) All legal and other arguments (4) Certification that the reply has which the petitioner wishes to make in been served in accordance with § 386.31. support of his/her position; (c) Submission of evidence. If a notice (4) A request for oral hearing, if one of intent to submit evidence without is desired, which must set forth mate- oral hearing is filed, or if no hearing is rial factual issues believed to be in dis- requested under paragraph (b)(2) of this pute; section, and the respondent contests (5) Certification that the reply has the claim or the contents of the notice, been filed in accordance with § 386.31; all evidence must be served in written and form no later than the 40th day follow- (6) Any other pertinent material. ing service of the Claim Letter or No- (b) Failure to submit a petition as tice of Investigation. Evidence must be specified in paragraph (a) of this sec- served in the form specified in § 386.49. tion shall constitute a waiver of the (d) Complainant’s request for a hearing. right to petition for review of the de- If the respondent files a notice of in- termination or letter of disqualifica- tent to submit evidence without formal tion. In these cases, the determination hearing, the complainant may, within or disqualification issued automati- 15 days after that reply is filed, submit cally becomes the final decision of the a request for a formal hearing. The re- Associate Administrator 30 days after quest must include a listing of all fac- the time to submit the reply or peti- tual issues believed to be in dispute. tion to review has expired, unless the (e) Failure to reply or request a hear- Associate Administrator orders other- ing. If the respondent does not reply to wise. a Claim Letter within the time pre- (c) If the petition does not request a scribed in this section, the Claim Let- hearing, the Associate Administrator ter becomes the final agency order in may issue a final decision and order the proceeding 25 days after it is
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served. When no reply to the Notice of found to be valid, and the original Investigation is received, the Associate amount claimed will be due imme- Administrator may, on motion of any diately. party, issue a final order in the pro- (2) Any settlement agreement may ceeding. contain a consent order. (f) Non-compliance with final order. (3) An executed settlement agree- Failure to pay the civil penalty as di- ment is binding on the respondent and rected in a final order constitutes a the claimant according to its terms. violation of that order subjecting the The respondent’s consent to a settle- respondent to an additional penalty as ment agreement that has not been exe- prescribed in subpart G of this part. cuted by the Associate Administrator [50 FR 40306, Oct. 2, 1985, as amended at 56 FR may not be withdrawn for a period of 30 10183, Mar. 11, 1991] days after it is executed by the re- spondent. § 386.15 [Reserved] [50 FR 40306, Oct. 2, 1985, as amended at 56 FR § 386.16 Action on petitions or replies. 10183, Mar. 11, 1991] (a) Replies not requesting an oral hear- § 386.17 Intervention. ing. If the reply submitted does not re- After the matter is called for hearing quest an oral hearing, the Associate and before the date set for the hearing Administrator may issue a final deci- to begin, any person may petition for sion and order based on the evidence leave to intervene. The petition is to be and arguments submitted. served on the administrative law judge. (b) Request for oral hearing. If a re- The petition must set forth the reasons quest for an oral hearing has been filed, why the petitioner alleges he/she is en- the Associate Administrator shall de- titled to intervene. The petition must termine whether there are any mate- be served on all parties in accordance rial factual issues in dispute. If there with § 386.31. Any party may file a re- are, he/she shall call the matter for a sponse within 10 days of service of the hearing. If there are none, he/she shall petition. The administrative law judge issue an order to that effect and set a shall then determine whether to permit time for submission of argument by the or deny the petition. The petition will parties. Upon the submission of argu- be allowed if the administrative law ment he/she shall decide the case. judge determines that the final deci- (c) Settlement of civil forfeitures. (1) sion could directly and adversely affect When negotiations produce an agree- the petitioner or the class he/she rep- ment as to the amount or terms of pay- resents, and if the petitioner may con- ment of a civil penalty or the terms tribute materially to the disposition of and conditions of an order, a settle- the proceedings and his/her interest is ment agreement shall be drawn and not adequately represented by existing signed by the respondent and the Asso- parties. Once admitted, a petitioner is ciate Administrator. Such settlement a party for the purpose of all subse- agreement must contain the following: quent proceedings. (i) The statutory basis of the claim; (ii) A brief statement of the viola- tions; Subpart C—Compliance and (iii) The amount claimed and the Consent Orders amount paid; (iv) The date, time, and place and § 386.21 Compliance order. form of payment; (a) When a respondent contests a No- (v) A statement that the agreement tice of Investigation or fails to reply to is not binding on the agency until exe- such notice, the final order disposing of cuted by the Associate Administrator; the proceeding may contain a compli- and ance order. (vi) A statement that failure to pay (b) A compliance order shall be exe- in accordance with the terms of the cuted by the Associate Administrator agreement which has been adopted as a and shall contain the following: Final Order will result in the loss of (1) A statement of jurisdictional any reductions in penalties for claims facts;
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(2) Findings of facts, or reference deems appropriate. If the Associate Ad- thereto in an accompanying decision, ministrator accepts the agreement, he/ as determined by a hearing officer or she shall enter an order in accordance by the Associate Administrator upon with its terms. respondent’s failure to reply to the no- [50 FR 40306, Oct. 2, 1985. Redesignated at 56 tice, which establish the violations FR 10183, Mar. 11, 1991] charged; (3) A specific direction to the re- § 386.23 Content of consent order. spondent to comply with the regula- (a) Every agreement filed with the tions violated within time limits pro- Associate Administrator under § 386.22 vided; must contain: (4) Other directions to the respondent (1) An order for the disposition of the to take reasonable measures, in the case in a form suitable for the Associ- time and manner specified, to assure ate Administrator’s signature that has future compliance; (5) A statement of the consequences been signed by the respondent; (2) An admission of all jurisdictional for failure to meet the terms of the order; facts; (6) Provision that the Notice of In- (3) A waiver of further procedural vestigation and the final decision of steps, of the requirement that the deci- the hearing officer or Associate Admin- sion or order must contain findings of istrator may be used to construe the fact and conclusions of law, and of all terms of the order; and right to seek judicial review or other- (7) A statement that the order con- wise challenge or contest the validity stitutes final agency action, subject to of the order; review as provided in 49 U.S.C. 521(b)(8) (4) Provisions that the notice of in- for violations of regulations issued vestigation or settlement agreement under the authority of 49 U.S.C. 3102, may be used to construe the terms of the Motor Carrier Safety Act of 1984 or the order; 12002, 12003, 12004, 12005(b), or 12008(d)(2) (5) Provisions that the order has the of the Commercial Motor Vehicle Safe- same force and effect, becomes final, ty Act of 1986; or as provided in 5 U.S.C. and may be modified, altered, or set 701 et seq., for violations of regulations aside in the same manner as other or- issued under the authority of 49 U.S.C. ders issued under 49 U.S.C. 501 et seq., App. 1804 (hazardous materials proceed- 2501 et seq., 3101 et seq., and 10927, note; ings) or 49 U.S.C. 10947 note (financial and responsibility proceedings). (6) Provisions that the agreement (c) Notice of imminent hazard. A com- will not be part of the record in the pliance order may also contain notice proceeding unless and until the Associ- that further violations of the same reg- ate Administrator executes it. ulations may constitute an imminent (b) A consent order may also contain hazard subjecting respondent to an any of the provisions enumerated in order under subpart F of this part. § 386.21—Compliance Order. [56 FR 10183, Mar. 11, 1991] [50 FR 40306, Oct. 2, 1985. Redesignated and amended at 56 FR 10183, Mar. 11, 1991] § 386.22 Consent order. When a respondent has filed an elec- Subpart D—General Rules and tion not to contest under § 386.15(a), or Hearings has agreed to settlement of a civil for- feiture, and at any time before the § 386.31 Service. hearing is concluded, the parties may (a) All service required by these rules execute an appropriate agreement for shall be by mail or by personal deliv- disposing of the case by consent for the ery. Service by mail is complete upon consideration of the Associate Admin- mailing. istrator. The agreement is filed with (b) A certificate of service shall ac- the Associate Administrator who may company all pleadings, motions, and (a) accept it, (b) reject it and direct documents when they are tendered for that proceedings in the case continue, filing, and shall consist of a certificate or (c) take such other action as he/she of personal delivery or a certificate of
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mailing, executed by the person mak- those requests showing good cause will ing the personal delivery or mailing be granted. No motion for continuance the document. The first pleading of the or postponement of a hearing date filed Government in a proceeding initiated within 7 days of the date set for a hear- under this part shall have attached to ing will be granted unless it is accom- it a service list of persons to be served. panied by an affidavit showing that ex- This list shall be updated as necessary. traordinary circumstances warrant a (c) Copies of all pleadings, motions, continuance. and documents must be served on the docket clerk and upon all parties to § 386.34 Official notice. the proceedings by the person filing The Associate Administrator or ad- them, in the number of copies indi- ministrative law judge may take offi- cated on the Government’s initial serv- cial notice of any fact not appearing in ice list. evidence if he/she notifies all parties he/she intends to do so. Any party ob- § 386.32 Computation of time. jecting to the official notice shall file (a) Generally, in computing any time an objection within 10 days after serv- period set out in these rules or in an ice of the notice. order issued hereunder, the time com- putation begins with the day following § 386.35 Motions. the act, event, or default. The last day of the period is included unless it is a (a) General. An application for an Saturday, Sunday, or legal Federal hol- order or ruling not otherwise covered iday in which case the time period by these rules shall be by motion. All shall run to the end of the next day motions filed prior to the calling of the that is not a Saturday, Sunday, or matter for a hearing shall be to the As- legal Federal holiday. All Saturdays, sociate Administrator. All motions Sundays, and legal Federal holidays ex- filed after the matter is called for hear- cept those falling on the last day of the ing shall be to the administrative law period shall be computed. judge. (b) Date of entry of orders. In comput- (b) Form. Unless made during hear- ing any period of time involving the ing, motions shall be made in writing, date of the entry of an order, the date shall state with particularity the of entry shall be the date the order is grounds for relief sought, and shall be served. accompanied by affidavits or other evi- (c) Computation of time for delivery by dence relied upon. mail. (1) Documents are not deemed (c) Answers. Except when a motion is filed until received by the docket filed during a hearing, any party may clerk. However, when documents are file an answer in support or opposition filed by mail, 5 days shall be added to to a motion, accompanied by affidavits the prescribed period. or other evidence relied upon. Such an- (2) Service of all documents is swers shall be served within 7 days deemed effected at the time of mailing. after the motion is served or within (3) Whenever a party has the right or such other time as the Associate Ad- is required to take some action within ministrator or administrative law a prescribed period after the service of judge may set. a pleading, notice, or other document (d) Argument. Oral argument or briefs upon said party, and the pleading, no- on a motion may be ordered by the As- tice, or document is served upon said sociate Administrator or the adminis- party by mail, 5 days shall be added to trative law judge. the prescribed period. (e) Disposition. Motions may be ruled on immediately or at any other time § 386.33 Extension of time. specified by the administrative law All requests for extensions of time judge or the Associate Administrator. shall be filed with the Associate Ad- (f) Suspension of time. The pendency of ministrator or, if the matter has been a motion shall not affect any time lim- called for a hearing, with the adminis- its set in these rules unless expressly trative law judge. All requests must ordered by the Associate Adminis- state the reasons for the request. Only trator or administrative law judge.
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§ 386.36 Motions to dismiss and mo- of this section and prepared in antici- tions for a more definite statement. pation of or for the hearing by or for (a) Motions to dismiss must be made another party’s representative (includ- within the time set for reply or peti- ing his or her attorney, consultant, tion to review, except motions to dis- surety, indemnitor, insurer, or agent) miss for lack of jurisdiction, which only upon a showing that the party may be made at any time. seeking discovery has substantial need (b) Motions for a more definite state- of the materials in the preparation of ment may be made in lieu of a reply. his or her case and that he or she is un- The motion must point out the defects able without undue hardship to obtain complained of and the details desired. the substantial equivalent of the mate- If the motion is granted, the pleading rials by other means. In ordering dis- complained of must be remedied within covery of such materials when the re- 15 days of the granting of the motion quired showing has been made, the As- or it will be stricken. If the motion is sociate Administrator or the adminis- denied, the party who requested the trative law judge shall protect against more definite statement must file his/ disclosure of the mental impressions, her pleading within 10 days after the conclusions, opinions, or legal theories denial. of an attorney or other representative of a party concerning the proceeding. § 386.37 Discovery methods. Parties may obtain discovery by one § 386.39 Protective orders. or more of the following methods: Upon motion by a party or other per- Depositions upon oral examination or son from whom discovery is sought, written questions; written interrog- and for good cause shown, the Associ- atories; production of documents or ate Administrator or the administra- other evidence for inspection and other tive law judge, if one has been ap- purposes; physical and mental exami- pointed, may make any order which nations; and requests for admission. justice requires to protect a party or Unless the Associate Administrator or, person from annoyance, embarrass- in cases that have been called for a ment, oppression, or undue burden or hearing, the administrative law judge expense, including one or more of the orders otherwise, the fequency or se- following: quence of these methods is not limited. (a) The discovery not be had; (b) The discovery may be had only on § 386.38 Scope of discovery. specified terms and conditions, includ- (a) Unless otherwise limited by order ing a designation of the time or place; of the Associate Administrator or, in (c) The discovery may be had only by cases that have been called for a hear- a method of discovery other than that ing, the administrative law judge, in selected by the party seeking discov- accordance with these rules, the par- ery; ties may obtain discovery regarding (d) Certain matters not relevant may any matter, not privileged, which is not be inquired into, or that the scope relevant to the subject matter involved of discovery be limited to certain mat- in the proceeding, including the exist- ters; ence, description, nature, custody, con- (e) Discovery be conducted with no dition, and location of any books, docu- one present except persons designated ments, or other tangible things and the by the Associate Administrator or the identity and location of persons having administrative law judge; or knowledge of any discoverable matter. (f) A trade secret or other confiden- (b) It is not ground for objection that tial research, development, or commer- information sought will not be admissi- cial information may not be disclosed ble at the hearing if the information or be disclosed only in a designated sought appears reasonably calculated way. to lead to the discovery of admissible evidence. § 386.40 Supplementation of responses. (c) A party may obtain discovery of A party who has responded to a re- documents and tangible things other- quest for discovery with a response wise discoverable under paragraph (a) that was complete when made is under
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no duty to supplement his/her response available to the party. A copy of the to include information thereafter ac- interrogatories, answers, and all relat- quired, except as follows: ed pleadings shall be served on the As- (a) A party is under a duty to supple- sociate Administrator or, in cases that ment timely his/her response with re- have been called to a hearing, on the spect to any question directly ad- administrative law judge, and upon all dressed to: parties to the proceeding. (1) The identity and location of per- (b) Each interrogatory shall be an- sons having knowledge of discoverable swered separately and fully in writing matters; and under oath or affirmation, unless it is (2) The identity of each person ex- objected to, in which event the reasons pected to be called as an expert witness for objection shall be stated in lieu of at the hearing, the subject matter on an answer. The answers and objections which he or she is expected to testify shall be signed by the person making and the substance of his or her testi- them. The party upon whom the inter- mony. rogatories were served shall serve a (b) A party is under a duty to amend copy of the answer and objections upon timely a prior response if he or she all parties to the proceeding within 30 later obtains information upon the days after service of the interrog- basis of which: atories, or within such shortened or (1) he or she knows the response was longer period as the Associate Admin- incorrect when made; or istrator or the administrative law (2) he or she knows that the response judge may allow. though correct when made is no longer (c) An interrogatory otherwise proper true and the circumstances are such that a failure to amend the response is is not necessarily objectionable merely in substance a knowing concealment. because an answer to the interrogatory (c) A duty to supplement responses involves an opinion or contention that may be imposed by order of the Associ- relates to fact or the application of law ate Administrator or the administra- to fact, but the Associate Adminis- tive law judge or agreement of the par- trator or administrative law judge may ties. order that such an interrogatory need not be answered until after designated § 386.41 Stipulations regarding discov- discovery has been completed or until a ery. prehearing conference or other later Unless otherwise ordered, a written time. stipulation entered into by all the par- ties and filed with the Associate Ad- § 386.43 Production of documents and other evidence; entry upon land for ministrator or the administrative law inspection and other purposes; and judge, if one has been appointed, may: physical and mental examination. (a) Provide that depositions be taken before any person, at any time or (a) Any party may serve on any other place, upon sufficient notice, and in party a request to: any manner, and when so taken may be (1) Produce and permit the party used like other depositions, and making the request, or a person acting (b) Modify the procedures provided by on his or her behalf, to inspect and these rules for other methods of discov- copy any designated documents, or to ery. inspect and copy, test, or sample any tangible things which are in the posses- § 386.42 Written interrogatories to par- sion, custody, or control of the party ties. upon whom the request is served; or (a) Any party may serve upon any (2) Permit entry upon designated other party written interrogatories to land or other property in the posses- be answered in writing by the party sion or control of the party upon whom served, or if the party served is a public the request is served for the purpose of or private corporation or a partnership inspection and measuring, or association or governmental agency, photographing, testing, or for other by any authorized officer or agent, who purposes as stated in paragraph (a)(1) shall furnish such information as is of this section.
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(3) Submit to a physical or mental ten answer signed by the party or his/ examination by a physician. her attorney. (b) The request may be served on any (3) Each answer must specify whether party without leave of the Associate the party admits or denies the matter. Administrator or administrative law If the matter cannot be admitted or de- judge. nied, the party shall set out in detail (c) The request shall: the reasons. (1) Set forth the items to be in- (4) A party may not issue a denial or spected either by individual item or fail to answer on the ground that he/ category; she lacks knowledge unless he/she has (2) Describe each item or category made reasonable inquiry to ascertain with reasonable particularity; information sufficient to allow him/her (3) Specify a reasonable time, place, to admit or deny. and manner of making the inspection (5) A party may file an objection to a and performing the related acts; request for admission within 10 days after service. Such motion shall be (4) Specify the time, place, manner, filed with the administrative law judge conditions, and scope of the physical or if one has been appointed, otherwise it mental examination and the person or shall be filed with the Associate Ad- persons by whom it is to be made. A re- ministrator. An objection must explain port of examining physician shall be in detail the reasons the party should made in accordance with Rule 35(b) of not answer. A reply to the objection the Federal Rules of Civil Procedure, may be served by the party requesting title 28, U.S. Code, as amended. the admission within 10 days after (d) The party upon whom the request service of the objection. It is not suffi- is served shall serve on the party sub- cient ground for objection to claim mitting the request a written response that the matter about which an admis- within 30 days after service of the re- sion is requested presents an issue of quest. fact for hearing. (e) The response shall state, with re- (b) Effect of admission. Any matter ad- spect to each item or category: mitted is conclusively established un- (1) That inspection and related ac- less the Associate Administrator or ad- tivities will be permitted as requested; ministrative law judge permits with- or drawal or amendment. Any admission (2) That objection is made in whole under this rule is for the purpose of the or in part, in which case the reasons pending action only and may not be for objection shall be stated. used in any other proceeding. (f) A copy of each request for produc- (c) If a party refuses to admit a mat- tion and each written response shall be ter or the authenticity of a document served on all parties and filed with the which is later proved, the party re- Associate Administrator or the admin- questing the admission may move for istrative law judge, if one has been ap- an award of expenses incurred in mak- pointed. ing the proof. Such a motion shall be granted unless there was a good reason § 386.44 Request for admissions. for failure to admit. (a) Request for admission. (1) Any party may serve upon any other party § 386.45 Motion to compel discovery. a request for admission of any relevant (a) If a deponent fails to answer a matter or the authenticity of any rel- question propounded or a party upon evant document. Copies of any docu- whom a request is made pursuant to ment about which an admission is re- §§ 386.42 through 386.44, or a party upon quested must accompany the request. whom interrogatories are served fails (2) Each matter for which an admis- to respond adequately or objects to the sion is requested shall be separately set request, or any part thereof, or fails to forth and numbered. The matter is ad- permit inspection as requested, the dis- mitted unless within 15 days after serv- covering party may move the Associate ice of the request, the party to whom Administrator or the administrative the request is directed serves upon the law judge, if one has been appointed, party requesting the admission a writ- for an order compelling a response or
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inspection in accordance with the re- tion in an envelope and mail the same quest. by certified mail to the Associate Ad- (b) The motion shall set forth: ministrator or the administrative law (1) The nature of the questions or re- judge, if one has been appointed. Sub- quest; ject to such objections to the questions (2) The response or objections of the and answers as were noted at the time party upon whom the request was of taking the deposition and which served; and would have been valid if the witness (3) Arguments in support of the mo- were personally present and testifying, tion. such deposition may be read and of- (c) For purposes of this section, an fered in evidence by the party taking it evasive answer or incomplete answer or as against any party who was present response shall be treated as a failure to or represented at the taking of the dep- answer or respond. osition or who had due notice thereof. (d) In ruling on a motion made pursu- (e) Motion to terminate or limit exam- ant to this section, the Associate Ad- ination. During the taking of a deposi- ministrator or the administrative law tion, a party or deponent may request judge, if one has been appointed, may suspension of the deposition on make and enter a protective order such grounds of bad faith in the conduct of as he or she is authorized to enter on a the examination, oppression of a depo- motion made pursuant to § 386.39(a). nent or party or improper questions § 386.46 Depositions. propounded. The deposition will then be adjourned. However, the objecting (a) When, how, and by whom taken. party or deponent must immediately The deposition of any witness may be move the Associate Administrator or taken at any stage of the proceeding at administrative law judge for a ruling reasonable times. Depositions may be on his or her objections to the deposi- taken by oral examination or upon tion conduct or proceedings. The Asso- written interrogatories before any per- ciate Administrator or administrative son having power to administer oaths. law judge may then limit the scope or (b) Application. Any party desiring to manner of the taking of the deposition. take the deposition of a witness shall indicate to the witness and all other § 386.47 Use of deposition at hearings. parties the time when, the place where, and the name and post office address of (a) Generally. At the hearing, any the person before whom the deposition part or all of a deposition, so far as ad- is to be taken; the name and address of missible under the rules of evidence, each witness; and the subject matter may be used against any party who was concerning which each such witness is present or represented at the taking of expected to testify. the deposition or who had due notice (c) Notice. Notice shall be given for thereof in accordance with any one of the taking of a deposition, which shall the following provisions: be not less than 5 days written notice (1) Any deposition may be used by when the deposition is to be taken any party for the purpose of con- within the continental United States tradicting or impeaching the testi- and not less than 20 days written no- mony of the deponent as a witness. tice when the deposition is to be taken (2) The deposition of expert wit- elsewhere. nesses, particularly the deposition of (d) Taking and receiving in evidence. physicians, may be used by any party Each witness testifying upon deposi- for any purpose, unless the Associate tion shall be sworn, and any other Administrator or administrative law party shall have the right to cross-ex- judge rules that such use would be un- amine. The questions propounded and fair or a violation of due process. the answers thereto, together with all (3) The deposition of a party or of objections made, shall be reduced to anyone who at the time of taking the writing; read by or to, and subscribed deposition was an officer, director, or by the witness; and certified by the duly authorized agent of a public or person administering the oath. There- private organization, partnership, or after, such officer shall seal the deposi- association which is a party, may be
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used by any other party for any pur- (3) Objections to the form or written pose. interrogatories are waived unless (4) The deposition of a witness, served in writing upon the party pro- whether or not a party, may be used by pounding them. any party for any purpose if the presid- (c) Effect of taking using depositions. A ing officer finds: party shall not be deemed to make a (i) That the witness is dead; or person his or her own witness for any (ii) That the witness is out of the purpose by taking his or her deposi- United States or more than 100 miles tion. The introduction in evidence of from the place of hearing unless it ap- the deposition or any part thereof for pears that the absence of the witness any purpose other than that of con- was procured by the party offering the tradicting or impeaching the deponent deposition; or makes the deponent the witness of the (iii) That the witness is unable to at- party introducing the deposition, but tend to testify because of age, sickness, this shall not apply to the use by any infirmity, or imprisonment; or other party of a deposition as described (iv) That the party offering the depo- in paragraph (a)(2) of this section. At sition has been unable to procure the the hearing, any party may rebut any attendance of the witness by subpoena; relevant evidence contained in a depo- or sition whether introduced by him or (v) Upon application and notice, that her or by any other party. such exceptional circumstances exist as to make it desirable, in the interest § 386.48 Medical records and physi- cians’ reports. of justice and with due regard to the importance of presenting the testi- In cases involving the physical quali- mony of witnesses orally in open hear- fications of drivers, copies of all physi- ing, to allow the deposition to be used. cians’ reports, test results, and other (5) If only part of a deposition is of- medical records that a party intends to fered in evidence by a party, any other rely upon shall be served on all other party may require him or her to intro- parties at least 30 days prior to the duce all of it which is relevant to the date set for a hearing. Except as part introduced, and any party may in- waived by the Director, Office of Motor troduce any other parts. Carrier Standards, reports, test results (b) Objections to admissibility. Except and medical records not served under as provided in this paragraph, objec- this rule shall be excluded from evi- tion may be made at the hearing to re- dence at any hearing. ceiving in evidence any deposition or [50 FR 40306, Oct. 2, 1985, as amended at 53 FR part thereof for any reason which 2036, Jan. 26, 1988] would require the exclusion of the evi- dence if the witness were then present § 386.49 Form of written evidence. and testifying. All written evidence shall be submit- (1) Objections to the competency of a ted in the following forms: witness or to the competency, rel- (a) An affidavit of a person having evancy or materiality of testimony are personal knowledge of the facts al- not waived by failure to make them be- leged, or fore or during the taking of the deposi- (b) Documentary evidence in the tion, unless the ground of the objection form of exhibits attached to an affida- is one which might have been obviated vit identifying the exhibit and giving or removed if presented at that time. its source. (2) Errors and irregularities occur- ring at the oral examination in the § 386.50 Appearances and rights of wit- manner of taking the deposition, in the nesses. form of the questions or answers, in (a) Any party to a proceeding may the oath or affirmation, or in the con- appear and be heard in person or by at- duct of parties and errors of any kind torney. A regular employee of a party which might be obviated, removed, or who appears on behalf of the party may cured if promptly presented, are waived be required by the administrative law unless reasonable objection thereto is judge to show his or her authority to so made at the taking of the deposition. appear.
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(b) Any person submits data or evi- The motion must be filed with the offi- dence in a proceeding governed by this cial who approved the subpoena. The part may, upon timely request and filing of a motion shall stay the effect payment of costs, procure a copy of of the subpoena until a decision is any document submitted by him/her or reached. of any transcript. Original documents, (b) Witnesses shall be entitled to the data or evidence may be retained upon same fees and mileage as are paid wit- permission of the administrative law nesses in the courts of the United judge or Associate Administrator upon States. The fees shall be paid by the substitution of copy therefor. party at whose instance the witness is subpoenaed or appears. § 386.51 Amendment and withdrawal (c) Paragraph (a) of this section shall of pleadings. not apply to the Administrator or em- (a) Except in instances covered by ployees of the FHWA or to the produc- other rules, anytime more than 15 days tion of documents in their custody. Ap- prior to the hearing, a party may plications for the attendance of such amend his/her pleadings by serving the persons or the production of such docu- amended pleading on the Associate Ad- ments at a hearing shall be made to ministrator or the administrative law the Associate Administrator or admin- judge, if one has been appointed, and istrative law judge, if one is appointed, on all parties. Within 15 days prior to and shall set forth the need for such the hearing, an amendment shall be al- evidence and its relevancy. lowed only at the discretion of the Ad- ministrative law judge. When an § 386.54 Administrative law judge. amended pleading is filed, other parties (a) Appointment. After the matter is may file a response and objection with- called for hearing, the Associate Ad- in 10 days. ministrator shall appoint an adminis- (b) A party may withdraw his/her trative law judge. pleading only on approval of the ad- ministrative law judge or Associate (b) Power and duties. Except as pro- Administrator. vided in paragraph (c) of this section, the administrative law judge has power § 386.52 Appeals from interlocutory to take any action and to make all rulings. needful rules and regulations to govern Rulings of the administrative law the conduct of the proceedings to en- judge may not be appealed to the Asso- sure a fair and impartial hearing, and ciate Administrator prior to his/her to avoid delay in the disposition of the consideration of the entire proceeding proceedings. his/her powers include the except under exceptional cir- following: cumstances and with the consent of the (1) To administer oaths and affirma- administrative law judge. In deciding tions; whether to allow appeals, the adminis- (2) To issue orders permitting inspec- trative law judge shall determine tion and examination of lands, build- whether the appeal is necessary to pre- ings, equipment, and any other phys- vent undue prejudice to a party or to ical thing and the copying of any docu- prevent substantial detriment to the ment; public interest. (3) To issue subpoenas for the attend- ance of witnesses and the production of § 386.53 Subpoenas, witness fees. evidence as authorized by law; (a) Applications for the issuance of (4) To rule on offers of proof and re- subpoenas must be submitted to the ceive evidence; Associate Administrator, or in cases (5) To regulate the course of the that have been called for a hearing, to hearing and the conduct of participants the administrative law judge. The ap- in it; plication must show the general rel- (6) To consider and rule upon all pro- evance and reasonable scope of the evi- cedural and other motions, including dence sought. Any person served with a motions to dismiss, except motions subpoena may, within 7 days after serv- which, under this part, are made di- ice, file a motion to quash or modify. rectly to the Associate Administrator;
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(7) To hold conferences for settle- hearing. Hearings are open to the pub- ment, simplification of issues, or any lic unless the administrative law judge other proper purpose; orders otherwise. (8) To make and file decisions; and (c) Evidence. Except as otherwise pro- (9) To take any other action author- vided in these rules and the Adminis- ized by these rules and permitted by trative Procedure Act, 5 U.S.C. 551 et law. seq., the Federal Rules of Evidence shall be followed. [50 FR 40306, Oct. 2, 1985, as amended at 53 FR 2036, Jan. 26, 1988] (d) Information obtained by investiga- tion. Any document, physical exhibit, § 386.55 Prehearing conferences. or other material obtained by the Ad- (a) Convening. At any time before the ministration in an investigation under hearing begins, the administrative law its statutory authority may be dis- judge, on his/her own motion or on mo- closed by the Administration during tion by a party, may direct the parties the proceeding and may be offered in or their counsel to participate with evidence by counsel for the Adminis- him/her in a prehearing conference to tration. consider the following: (e) Record. The hearing shall be (1) Simplification and clarification of stenographically transcribed and re- the issues; ported. The transcript, exhibits, and (2) Necessity or desirability of other documents filed in the proceed- amending pleadings; ings shall constitute the official record (3) Stipulations as to the facts and of the proceedings. A copy of the tran- the contents and authenticity of docu- script and exhibits will be made avail- ments; able to any person upon payment of (4) Issuance of and responses to sub- prescribed costs. poenas; § 386.57 Proposed findings of fact, con- (5) Taking of depositions and the use clusions of law. of depositions in the proceedings; (6) Orders for discovery, inspection The administrative law judge shall and examination of premises, produc- afford the parties reasonable oppor- tion of documents and other physical tunity to submit proposed findings of objects, and responses to such orders; fact, conclusions of law, and supportng (7) Disclosure of the names and ad- reasons therefor. If the administrative dresses of witnesses and the exchange law judge orders written proposals and of documents intended to be offered in arguments, each proposed finding must evidence; and include a citation to the specific por- (8) Any other matter that will tend tion of the record relied on to support to simplify the issues or expedite the it. Written submissions, if any, must be proceedings. served within the time period set by (b) Order. The administrative law the administrative law judge. judge shall issue an order which recites § 386.58 Burden of proof. the matters discussed, the agreements reached, and the rulings made at the (a) Enforcement cases. The burden of prehearing conference. The order shall proof shall be on the Administration in be served on the parties and filed in the enforcement cases. record of the proceedings. (b) Conflict of medical opinion. The burden of proof in cases arising under § 386.56 Hearings. § 391.47 of this chapter shall be on the (a) As soon as practicable after his/ party petitioning for review under her appointment, the administrative § 386.13(a). law judge shall issue an order setting the date, time, and place for the hear- Subpart E—Decision ing. The order shall be served on the parties and become a part of the record § 386.61 Decision. of the proceedings. The order may be After receiving the proposed findings amended for good cause shown. of fact, conclusions of law, and argu- (b) Conduct of hearing. The adminis- ments of the parties, the administra- trative law judge presides over the tive law judge shall issue a decision. If
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the proposed findings of fact, conclu- less the Associate Administrator so or- sions of law, and arguments were oral, ders. he/she may issue an oral decision. The decision of the administrative law § 386.65 Failure to comply with final judge becomes the final decision of the order. Associate Administrator 45 days after If, within 30 days of receipt of a final it is served unless a petition or motion agency order issued under this part, for review is filed under § 386.62. The de- the respondent does not submit in writ- cision shall be served on all parties and ing his/her acceptance of the terms of on the Associate Administrator. an order directing compliance, or, where appropriate, pay a civil penalty, § 386.62 Review of administrative law or file an appeal under § 386.67, the case judge’s decision. may be referred to the Attorney Gen- (a) All petitions to review must be eral with a request that an action be accompanied by exceptions and briefs. brought in the appropriate United Each petition must set out in detail ob- States District Court to enforce the jections to the initial decision and terms of a compliance order or collect shall state whether such objections are the civil penalty. related to alleged errors of law or fact. It shall also state the relief requested. § 386.66 Motions for rehearing or for modification. Failure to object to any error in the initial decision shall waive the right to (a) No motion for rehearing or for allege such error in subsequent pro- modification of an order shall be enter- ceedings. tained for 1 year following the date the (b) Reply briefs may be filed within Associate Administrator’s order goes 30 days after service of the appeal brief. into effect. After 1 year, any party may (c) No other briefs shall be permitted file a motion with the Associate Ad- except upon request of the Associate ministrator requesting a rehearing or Administrator. modification of the order. The motion (d) Copies of all briefs must be served must contain the following: on all parties. (1) A copy of the order about which the change is requested; (e) No oral argument will be per- (2) A statement of the changed cir- mitted except on order of the Associate cumstances justifying the request; and Administrator. (3) Copies of all evidence intended to be relied on by the party submitting § 386.63 Decision on review. the motion. Upon review of a decision, the Associ- (b) Upon receipt of the motion, the ate Administrator may adopt, modify, Associate Administrator may make a or set aside the administrative law decision denying the motion or modify- judge’s findings of fact and conclusions ing the order in whole or in part. He/ of law. He/she may also remand pro- she may also, prior to making his/her ceedings to the administrative law decision, order such other proceedings judge with instructions for such fur- under these rules as he/she deems nec- ther proceedings as he/she deems ap- essary and may request additional in- propriate. If not remanded, the Associ- formation from the party making the ate Administrator shall issue a final motion. order disposing of the proceedings, and serve it on all parties. § 386.67 Appeal. Any aggrieved person, who, after a § 386.64 Reconsideration. hearing, is adversely affected by a final Within 20 days after the Associate order issued under 49 U.S.C. 521 may, Administrator’s final order is issued, within 30 days, petition for review of any party may petition the Associate the order in the United States Court of Administrator for reconsideration of Appeals in the circuit wherein the vio- his/her findings of fact, conclusions of lation is alleged to have occurred or law, or final order. The filing of a peti- where the violator has his/her principal tion for reconsideration does not stay place of business or residence, or in the the effectiveness of the final order un- United States Court of Appeals for the
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District of Columbia Circuit. Review of Carrier and Highway Safety Law may the order shall be based on a deter- bring, or request the United States At- mination of whether the Associate Ad- torney General to bring, an action in ministrator’s findings and conclusions the appropriate United States District were supported by substantial evi- Court for an order suspending or re- dence, or were otherwise not in accord- stricting the transportation by motor ance with law. No objection that has vehicle of the hazardous material or for not been urged before the Associate such other order as is necessary to Administrator shall be considered by eliminate or ameliorate the imminent the court, unless reasonable grounds hazard, as provided by section 111(b) of existed for failure or neglect to do so. the Hazardous Materials Transpor- The commencement of proceedings tation Act (49 U.S.C. 1810). under this section shall not, unless or- (b)(1) Whenever it is determined that dered by the court, operate as a stay of a violation of 49 U.S.C. 3102 or the the order of the Associate Adminis- Motor Carrier Safety Act of 1984 or the trator. Commercial Motor Vehicle Safety Act of 1986 or a regulation issued under Subpart F—Injunctions and such section or Acts, or combination of Imminent Hazards such violations, poses an imminent hazard to safety, the Director, Motor § 386.71 Injunctions. Carrier Safety Field Operations or the Whenever it is determined that a per- Regional Director of Motor Carriers, or son has engaged, or is about to engage, his or her delegate, shall order a vehi- in any act or practice constituting a cle or employee operating such vehicle violation of section 3102 of title 49, out of service, or order an employer to United States Code, or the Motor Car- cease all or part of the employer’s com- rier Safety Act of 1984, or the Hazard- mercial motor vehicle operations as ous Materials Transportation Act, or provided by section 213(b) of the Motor any regulation or order issued under Carrier Safety Act of 1984 and section that section or those Acts for which 12012(d) of the Commercial Motor Vehi- the Federal Highway Administrator ex- cle Safety Act of 1986. (49 U.S.C. ercises enforcement responsibility, the 521(b)(5)). In making any such order, no Chief Counsel or the Assistant Chief restrictions shall be imposed on any Counsel for Motor Carrier and Highway employee or employer beyond that re- Safety Law may request the United quired to abate the hazard. In this States Attorney General to bring an paragraph, ‘‘imminent hazard’’ means action in the appropriate United States any condition of vehicle, employee, or District Court for such relief as is nec- commercial motor vehicle operations essary or appropriate, including man- which is likely to result in serious in- datory or prohibitive injunctive relief, jury or death if not discontinued imme- interim equitable relief, and punitive diately. damages, as provided by section 213(c) (2) Upon the issuance of an order of the Motor Carrier Safety Act of 1984 under paragraph (b)(1) of this section, and section 111(a) of the Hazardous Ma- the motor carrier employer or driver terials Transportation Act (49 U.S.C. employee shall comply immediately 507(c), 1810). with such order. Opportunity for re- view shall be provided in accordance § 386.72 Imminent hazard. with 5 U.S.C. 554, except that such re- (a) Whenever it is determined that view shall occur not later than 10 days there is substantial likelihood that after issuance of such order, as pro- death, serious illness, or severe per- vided by section 213(b) of the Motor sonal injury, will result from the trans- Carrier Safety Act of 1984 (49 U.S.C. portation by motor vehicle of a par- 521(b)(5)). An order to an employer to ticular hazardous material before a no- cease all or part of its operations shall tice of investigation proceeding, or not prevent vehicles in transit at the other administrative hearing or formal time the order is served from proceed- proceeding to abate the risk of harm ing to their immediate destinations, can be completed, the Chief Counsel or unless any such vehicle or its driver is the Assistant Chief Counsel for Motor specifically ordered out of service
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forthwith. However, vehicles and driv- orders which are issued under civil for- ers proceeding to their immediate des- feiture proceedings pursuant to 49 tination shall be subject to compliance U.S.C. 521(b). These notices and orders upon arrival. are as follows: (3) For purposes of this section the (1) Notice to abate—§ 386.11 (b)(2) and term ‘‘immediate destination’’ is the (c)(1)(iv); next scheduled stop of the vehicle al- (2) Notice to post—§ 386.11(b)(3); ready in motion where the cargo on (3) Final order—§ 386.14(f); and board can be safely secured. (4) Out-of-service order—§ 386.72(b)(3). (4) Failure to comply immediately (b) A schedule of these additional with an order issued under this section penalties is provided in the appendix A shall subject the motor carrier em- to this part. All the penalties are maxi- ployer or driver to penalties prescribed mums, and discretion will be retained in subpart G of this part. to meet special circumstances by set- [50 FR 40306, Oct. 2, 1985, as amended at 53 FR ting penalties for violations of notices 2036, Jan. 26, 1988; 53 FR 50970, Dec. 19, 1988; and orders, in some cases, at less than 56 FR 10184, Mar. 11, 1991] the maximum. (c) Claims for penalties provided in Subpart G—Penalties this section and in the appendix A to this part shall be made through the SOURCE: 56 FR 10184, Mar. 11, 1991, unless civil forfeiture proceedings contained otherwise noted. in this part. The issues to be decided in such proceedings will be limited to § 386.81 General. whether violations of notices and or- (a) The maximum amounts of civil ders occurred as claimed and the appro- penalties that can be imposed for regu- priate penalty for such violations. latory violations subject to the civil Nothing contained herein shall be con- forfeiture proceedings in this part are strued to authorize the reopening of a set in the statutes authorizing the reg- matter already finally adjudicated ulations. The determination of the ac- under this part. tual civil penalties assessed in each proceeding is based on those defined APPENDIX A TO PART 386—PENALTY limits and consideration of informa- SCHEDULE; VIOLATIONS OF NOTICES tion available at the time the claim is AND ORDERS made concerning the nature, cir- I. Notice to Abate cumstances, extent, and gravity of the violation and, with respect to the vio- a. Violation—failure to cease violations of lator, the degree of culpability, history the regulations in the time prescribed in the notice. of prior offenses, ability to pay, effect on ability to continue to do business, (The time within which to comply with a no- tice to abate shall not begin to run with re- and such other matters as justice and spect to contested violations, i.e., where public safety may require. In adju- there are material issues in dispute under dicating the claims and notices under § 386.14, until such time as the violation has the administrative procedures herein, been established.) additional information may be devel- Penalty—reinstatement of any deferred as- oped regarding those factors that may sessment or payment of a penalty or portion affect the final amount of the claim. thereof. (b) When assessing penalties for vio- b. Violation—failure to comply with spe- lations of notices and orders or settling cific actions prescribed in a notice of inves- claims based on these assessments, tigation, compliance order or consent order, consideration will be given to good other than cessation of violations of the reg- faith efforts to achieve compliance ulations, which were determined to be essen- tial to abatement of future violations. with the terms of the notices and or- Penalty—$1,100 per violation per day. ders. Maximum—$11,000.
§ 386.82 Civil penalties for violations II. Notice to Post of notices and orders. Violation— Failure to post notice of viola- (a) Additional civil penalties are tion (i.e., notice of investigation) as pre- chargeable for violations of notices and scribed.
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Penalty—$550 (A separate violation may be NOTE: Falsification of certification may charged each time a failure to post as or- also result in criminal prosecution under 18 dered is discovered.) U.S.C. 1001.
III. Final Order g. Violation— Operating in violation of an order issued under § 386.72(b) to cease all or Violation— Failure to comply with final part of the employer’s commercial motor ve- agency order, i.e., failure to pay the penalty hicle operations, i.e., failure to cease oper- assessed therein after notice and opportunity ations as ordered. for hearing within time prescribed in the Penalty— Up to $11,000 per day the oper- order. ation continues after the effective date and Penalty— Automatic waiver of any reduc- time of the order to cease. tion in the original claim found to be valid, [56 FR 10184, Mar. 11, 1991, as amended at 63 and immediate restoration to the full FR 12414, Mar. 13, 1998] amount assessed in the Claim Letter or No- tice of Investigation. APPENDIX B TO PART 386—PENALTY IV. Out-of-Service Order SCHEDULE; VIOLATIONS AND MAXI- MUM MONETARY PENALTIES a. Violation— Operation of a commercial vehicle by a driver during the period the The Debt Collection Improvement Act of driver was placed out of service. 1996 [Public Law 104–134, title III, chapter 10, Penalty— Up to $1,100 per violation. Sec. 31001, par. (s), 110 Stat. 1321–373] amend- (For purposes of this violation, the term ed the Federal Civil Penalties Inflation Ad- ‘‘driver’’ means an operator of a commercial justment Act of 1990 to require agencies to motor vehicle, including an independent con- adjust for inflation ‘‘each civil monetary tractor who, while in the course of operating penalty provided by law within the jurisdic- a commercial motor vehicle, is employed or tion of the Federal agency * * *’’ and to pub- used by another person.) lish that regulation in the FEDERAL REG- ISTER. Pursuant to that authority, the infla- b. Violation—Requiring or permitting a tion-adjusted civil penalties listed below su- driver to operate a commercial vehicle dur- persede the corresponding civil penalty ing the period the driver was placed out of amounts listed in title 49, United States service. Code. Penalty— Up to $11,000 per violation. What are the types of violations and maxi- (This violation applies to motor carriers, in- mum monetary penalties? cluding an independent contractor who is (a) Violations of the Federal Motor Carrier not a ‘‘driver,’’ as defined under paragraph Safety Regulations (FMCSRs). IVa above.) (1) Recordkeeping. A person or entity that c. Violation— Operation of a commercial fails to prepare or maintain a record re- motor vehicle by a driver after the vehicle quired by Parts 385 and 390–399 of this sub- was placed out of service and before the re- chapter, or prepares or maintains a required quired repairs are made. record that is incomplete, inaccurate, or Penalty—$1,100 each time the vehicle is so false, is subject to a maximum civil penalty operated. of $550 for each day the violation continues, (This violation applies to drivers as defined up to $2,750. in IVa above.) (2) Serious Pattern of safety violations. These violations of Parts 385 and 390–399 of this sub- d. Violation— Requiring or permitting the chapter constitute a middle range of viola- operation of a commercial motor vehicle tions. They do not include noncompliance placed out of service before the required re- with recordkeeping requirements, while sub- pairs are made. stantial health or safety violations are sub- Penalty— Up to $11,000 each time the vehi- ject to heavier civil penalties. Serious pat- cle is so operated after notice of the defect is terns of safety violations are subject to a received. maximum civil penalty of $1,100 for each vio- (This violation applies to motor carriers, in- lation in a pattern, up to a maximum of cluding an independent owner-operator who $11,000 for each pattern. is not a ‘‘driver,’’ as defined in IVa above.) (3) Substantial Health or Safety Violations. e. Violation— Failure to return written cer- These are violations of Parts 385 and 390–399 tification of correction as required by the of this subchapter which could reasonably out-of-service order. lead to, or have resulted in, serious personal Penalty— Up to $550 per violation. injury or death. Substantial health or safety f. Violation— Knowingly falsifies written violations are subject to a maximum civil certification of correction required by the penalty of $11,000, provided the driver’s ac- out-of-service order. tions constituted gross negligence or reck- Penalty— Considered the same as the viola- less disregard for safety. tions described in paragraphs IVc and IVd (4) Non-recordkeeping violations by drivers. A above, and subject to the same penalties. driver who violates Parts 385 or 390–399 of
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this subchapter, except a recordkeeping re- porting hazardous materials, any violations quirement, is subject to a civil penalty not of the FMCSRs will be considered a violation to exceed $1,100, provided the driver’s actions of the HMRs and subject to a civil penalty of constituted gross negligence or reckless dis- not less than $250 and not more than $27,500. regard for safety. (f) Operating with an unsatisfactory safety (5) Violation of 49 CFR 392.5. A driver placed rating. A motor carrier knowingly transport- out of service for 24 hours for violating the ing hazardous materials in quantities requir- alcohol prohibitions of 49 CFR 392.5(a) or (b) ing placarding, or passengers in a vehicle de- who drives during that period is subject to a signed or used to transport more than 15 pas- civil penalty not to exceed $2,750 for each sengers, on the 46th or any subsequent day violation. after receiving an unsatisfactory safety rat- (b) Commercial driver’s license (CDL) viola- ing, is subject to a civil penalty of not less tions. Any person who violates 49 CFR Sub- than $250 and not more than $27,500. Each parts B, C, E, F, G, or H is subject to a civil day the transportation of hazardous mate- penalty of $2,750. rials continues constitutes a separate viola- (c) Special penalties pertaining to violations tion. of out-of-service orders by CDL-holders. A CDL- holder who is convicted of violating an out- [63 FR 12414, Mar. 13, 1998] of-service order shall be subject to a civil penalty of not less than $1,100 nor more than PART 387—MINIMUM LEVELS OF FI- $2,750. An employer of a CDL-holder who NANCIAL RESPONSIBILITY FOR knowingly allows, requires, permits, or au- thorizes that employee to operate a CMV MOTOR CARRIERS during any period in which the CDL-holder is subject to an out-of-service order, is subject Subpart A—Motor Carriers of Property to a civil penalty of not less than $2,750 or more than $11,000. Sec. (d) Financial responsibility violations. A 387.1 Purpose and scope. motor carrier that fails to maintain the lev- 387.3 Applicability. els of financial responsibility prescribed by 387.5 Definitions. Part 387 of this subchapter is subject to a 387.7 Financial responsibility required. maximum penalty of $11,000 for each viola- 387.9 Financial responsibility, minimum tion. Each day of a continuing violation con- levels. stitutes a separate offense. 387.11 State authority and designation of (e) Violations of the Hazardous Materials agent. Regulations (HMRs). This paragraph applies 387.13 Fiduciaries. to violations by motor carriers, drivers, ship- 387.15 Forms. pers and other persons who transport hazard- 387.17 Violation and penalty. ous materials on the highway in commercial motor vehicles or cause hazardous materials Subpart B—Motor Carriers of Passengers to be so transported. 387.25 Purpose and scope. (1) All knowing violations of 49 U.S.C. 387.27 Applicability. chapter 51 or orders or regulations issued 387.29 Definitions. under the authority of that chapter applica- 387.31 Financial responsibility required. ble to the transportation or shipment of haz- 387.33 Financial responsibility, minimum ardous materials by commercial motor vehi- levels. cle on highways are subject to a civil penalty 387.35 State authority and designation of of not less than $250 and not more than agent. $27,500 for each violation. Each day of a con- 387.37 Fiduciaries. tinuing violation constitutes a separate of- 387.39 Forms. fense. 387.41 Violation and penalty. (2) All knowing violations of 49 U.S.C. chapter 51 or orders, regulations, or exemp- Subpart C—Surety Bonds and Policies of tions issued under the authority of that Insurance for Motor Carriers and Prop- chapter applicable to the manufacture, fab- erty Brokers rication, marking, maintenance, recondi- tioning, repair or testing of a packaging or 387.301 Surety bond, certificate of insur- container which is represented, marked, cer- ance, or other securities. tified or sold as being qualified for use in the 387.303 Security for the protection of the transportation or shipment of hazardous ma- public: Minimum limits. terials by commercial motor vehicle on high- 387.305 Combination vehicles. ways, are subject to a civil penalty of not 387.307 Property broker surety bond or trust less than $250 and not more than $27,500 for fund. each violation. 387.309 Qualifications as a self-insurer and (3) Whenever regulations issued under the other securities or agreements. authority of 49 U.S.C. chapter 51 require 387.311 Bonds and certificates of insurance. compliance with the FMCSRs while trans- 387.313 Forms and procedures.
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387.315 Insurance and surety companies. (c) Exception. (1) The rules in this 387.317 Refusal to accept, or revocation by part do not apply to a motor vehicle the FHWA of surety bonds, etc. that has a gross vehicle weight rating 387.319 Fiduciaries. 387.321 Operations in foreign commerce. (GVWR) of less than 10,000 pounds. This 387.323 Electronic filing of surety bonds, exception does not apply if the vehicle trust fund agreements, certificates of in- is used to transport any quantity of a surance and cancellations. Division 1.1, 1.2, or 1.3 material, any quantity of a Division 2.3, Hazard Zone Subpart D—Surety Bonds and Policies of A, or Division 6.1, Packing Group I, Insurance for Freight Forwarders Hazard Zone A, or to a highway route 387.401 Definitions. controlled quantity of a Class 7 mate- 387.403 General requirements. rial as it is defined in 49 CFR 173.403, in 387.405 Limits of liability. interstate or foreign commerce. 387.407 Surety bonds and certificates of in- (2) The rules in this part do not apply surance. to the transportation of non-bulk oil, 387.409 Insurance and surety companies. 387.411 Qualifications as a self-insurer and non-bulk hazardous materials, sub- other securities or agreements. stances, or wastes in intrastate com- 387.413 Forms and procedure. merce, except that the rules in this 387.415 Acceptance and revocation by the part do apply to the transportation of a FHWA. highway route controlled quantity of a 387.417 Fiduciaries. Class 7 material as defined in 49 CFR 387.419 Electronic filing of surety bonds, 173.403, in intrastate commerce. certificates of insurance and cancella- tions. [46 FR 30982, June 11, 1981; 46 FR 45612, Sept. AUTHORITY: 49 U.S.C. 13101, 13301, 13906, 14, 1981, as amended at 48 FR 5559, Feb. 7, 14701, 31138, and 31139; and 49 CFR 1.48. 1983; 48 FR 52683, Nov. 21, 1983; 49 FR 38290, Sept. 28, 1984; 59 FR 63923, Dec. 12, 1994]
Subpart A—Motor Carriers of § 387.5 Definitions. Property As used in this subpart— § 387.1 Purpose and scope. Accident includes continuous or re- This subpart prescribes the minimum peated exposure to the same conditions levels of financial responsibility re- resulting in public liability which the quired to be maintained by motor car- insured neither expected nor intended. riers of property operating motor vehi- Bodily injury means injury to the cles in interstate, foreign, or intrastate body, sickness, or disease including commerce. The purpose of these regu- death resulting from any of these. lations is to create additional incen- Cancellation of insurance the with- tives to motor carriers to maintain and drawal of insurance coverage by either operate their vehicles in a safe manner the insurer or the insured. and to assure that motor carriers Endorsement an amendment to an in- maintain an appropriate level of finan- surance policy. cial responsibility for motor vehicles Environmental restoration restitution operated on public highways. for the loss, damage, or destruction of [46 FR 30982, June 11, 1981, as amended at 48 natural resources arising out of the ac- FR 52683, Nov. 21, 1983] cidental discharge, dispersal, release or escape into or upon the land, atmos- § 387.3 Applicability. phere, watercourse, or body of water of (a) This subpart applies to for-hire any commodity transported by a motor motor carriers operating motor vehi- carrier. This shall include the cost of cles transporting property in interstate removal and the cost of necessary or foreign commerce. measure taken to minimize or mitigate (b) This subpart applies to motor car- damage to human health, the natural riers operating motor vehicles trans- environment, fish, shellfish, and wild- porting hazardous materials, hazardous life. substances, or hazardous wastes in Evidence of security a surety bond or a interstate, foreign, or intrastate com- policy of insurance with the appro- merce. priate endorsement attached.
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Financial responsibility the financial Samoa, Guam, and the Northern Mari- reserves (e.g., insurance policies or sur- ana Islands. ety bonds) sufficient to satisfy liability [46 FR 30982, June 11, 1981; 46 FR 45612, Sept. amounts set forth in this subpart cov- 14, 1981; 47 FR 12801, Mar. 25, 1982, as amended ering public liability. at 48 FR 52683, Nov. 21, 1983; 51 FR 33856, For-hire carriage means the business Sept. 23, 1986; 53 FR 12160, Apr. 13, 1988; 59 FR of transporting, for compensation, the 63923, Dec. 12, 1994; 62 FR 16709, Apr. 8, 1997; goods or property of another. 63 FR 33275, June 18, 1998] In bulk—the transportation, as cargo, § 387.7 Financial responsibility re- of property, except Division 1.1, 1.2, or quired. 1.3 materials, and Division 2.3, Hazard (a) No motor carrier shall operate a Zone A gases, in containment systems motor vehicle until the motor carrier with capacities in excess of 3500 water has obtained and has in effect the mini- gallons. mum levels of financial responsibility In bulk (Division 1.1, 1.2, and 1.3 explo- as set forth in § 387.9 of this subpart. sives)—the transportation, as cargo, of (b)(1) Policies of insurance, surety any Division 1.1, 1.2, or 1.3 materials in bonds, and endorsements required any quantity. under this section shall remain in ef- In bulk (Division 2.3, Hazard Zone A or fect continuously until terminated. Division 6.1, Packing Group I, Hazard Cancellation may be effected by the in- Zone A materials)—the transportation, surer or the insured motor carrier giv- as cargo, of any Division 2.3, Hazard ing 35 days’ notice in writing to the Zone A, or Division 6.1, packing Group other. The 35 days’ notice shall com- I, Hazard Zone A material, in any mence to run from the date the notice quantity. is mailed. Proof of mailing shall be suf- Insured and principal— the motor car- ficient proof of notice. rier named in the policy of insurance, (2) Exception. Policies of insurance surety bond, endorsement, or notice of and surety bonds may be obtained for a cancellation, and also the fiduciary of finite period of time to cover any lapse such motor carrier. in continuous compliance. Insurance premium the monetary sum (3) Exception. Mexican motor carriers an insured pays an insurer for accept- may meet the minimum financial re- ance of liability for public liability sponsibility requirements of this sub- claims made against the insured. part by obtaining insurance coverage, in the required amounts, for periods of Motor carrier means a for-hire motor 24 hours or longer, from insurers that carrier or a private motor carrier. The meet the requirements of § 387.11 of this term includes, but is not limited to, a subpart. A Mexican motor carrier so motor carrier’s agent, officer, or rep- insured must have available for inspec- resentative; an employee responsible tion in each of its vehicles copies of the for hiring, supervising, training, as- following documents: signing, or dispatching a driver; or an (i) The Certificate of Registration; employee concerned with the installa- (ii) The required insurance endorse- tion, inspection, and maintenance of ment (Form MCS–90); and motor vehicle equipment and/or acces- (iii) An insurance identification card, sories. binder, or other document issued by an Property damage means damage to or authorized insurer which specifies both loss of use of tangible property. the effective date and the expiration Public liability liability for bodily in- date of the temporary insurance cov- jury or property damage and includes erage authorized by this exception. liability for environmental restoration. Mexician motor carriers insured under State means a State of the United this exception are also exempt from States, the District of Columbia, Puer- the notice of cancellation requirements to Rico, the Virgin Islands, American stated on Form MCS–90.
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(c) Policies of insurance and surety (e) The proof of minimum levels of fi- bonds required under this section may nancial responsibility required by this be replaced by other policies of insur- section shall be considered public in- ance or surety bonds. The liability of formation and be produced for review the retiring insurer or surety, as to upon reasonable request by a member events after the termination date, shall of the public. be considered as having terminated on (f) All vehicles operated within the the effective date of the replacement United States by motor carriers domi- policy of insurance or surety bond or at ciled in a contiguous foreign country, the end of the 35 day cancellation pe- riod required in paragraph (b) of this shall have on board the vehicle a leg- section, whichever is sooner. ible copy, in English, of the proof of (d) Proof of the required financial re- the required financial responsibility sponsibility shall be maintained at the (Form MCS–90 or MCS–82) used by the motor carrier’s principal place of busi- motor carrier to comply with para- ness. The proof shall consist of— graph (d) of this section. (1) ‘‘Endorsement(s) for Motor Car- (g) Any motor vehicle in which there rier Policies of Insurance for Public Li- is no evidence of financial responsibil- ability Under Sections 29 and 30 of the ity required by paragraph (f) of this Motor Carrier Act of 1980’’ (Form MCS– section shall be denied entry into the 90) issued by an insurer(s); United States. (2) A ‘‘Motor Carrier Surety Bond for Public Liability Under Section 30 of [46 FR 30982, June 11, 1981; 46 FR 45612, Sept. the Motor Carrier Act of 1980’’ (Form 14, 1981, as amended at 48 FR 5559, Feb. 7, MCS–82) issued by a surety; or 1983; 48 FR 52683, Nov. 21, 1983; 51 FR 22083, (3) A written decision, order, or au- June 18, 1986; 54 FR 49092, Nov. 29, 1989; 59 FR thorization of the Interstate Commerce 63923, Dec. 12, 1994] Commission authorizing a motor car- § 387.9 Financial responsibility, mini- rier to self-insure under § 1043.5 of this mum levels. title, provided the motor carrier main- tains a satisfactory safety rating as de- The minimum levels of financial re- termined by the Federal Highway Ad- sponsibility referred to in § 387.7 of this ministration under part 385 of this subpart are hereby prescribed as fol- title. lows:
SCHEDULE OF LIMITSÐPUBLIC LIABILITY
Type of carriage Commodity transported Jan. 1, 1985
(1) For-hire (In interstate or foreign Property (nonhazardous) ...... $750,000 commerce, with a gross vehicle weight rating of 10,000 or more pounds). (2) For-hire and Private (In inter- Hazardous substances, as defined in 49 CFR 171.8, transported in 5,000,000 state, foreign, or intrastate com- cargo tanks, portable tanks, or hopper-type vehicles with capacities in merce, with a gross vehicle weight excess of 3,500 water gallons; or in bulk Division 1.1, 1.2, and 1.3 rating of 10,000 or more pounds). materials, Division 2.3, Hazard Zone A, or Division 6.1, Packing Group I, Hazard Zone A material; in bulk Division 2.1 or 2.2; or high- way route controlled quantities of a Class 7 material, as defined in 49 CFR 173.403. (3) For-hire and Private (In interstate Oil listed in 49 CFR 172.101; hazardous waste, hazardous materials, 1,000,000 or foreign commerce, in any quan- and hazardous substances defined in 49 CFR 171.8 and listed in 49 tity; or in intrastate commerce, in CFR 172.101, but not mentioned in (2) above or (4) below. bulk only; with a gross vehicle weight rating of 10,000 or more pounds). (4) For-hire and Private (In interstate Any quantity of Division 1.1, 1.2, or 1.3 material; any quantity of a Divi- 5,000,000 or foreign commerce, with a gross sion 2.3, Hazard Zone A, or Division 6.1, Packing Group I, Hazard vehicle weight rating of less than Zone A material; or highway route controlled quantities of a Class 7 10,000 pounds). material as defined in 49 CFR 173.403.
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[59 FR 63923, Dec. 12, 1994] dorsement and surety bond shall be issued in the exact name of the motor § 387.11 State authority and designa- carrier. tion of agent. A policy of insurance or surety bond ILLUSTRATION I does not satisfy the financial respon- Form MCS–90 (3/82) sibility requirements of this subpart Form Approved unless the insurer or surety furnishing OMB No. 2125–0074 the policy or bond is— ENDORSEMENT FOR MOTOR CARRIER POLICIES (a) Legally authorized to issue such OF INSURANCE FOR PUBLIC LIABILITY UNDER policies or bonds in each State in SECTIONS 29 AND 30 OF THE MOTOR CARRIER which the motor carrier operates; or ACT OF 1980 (b) Legally authorized to issue such Issued to llllllllllllllllll policies or bonds in the State in which of llllllllllllllllllllll the motor carrier has its principal Dated at lllllllllllllllllll place of business or domicile, and is this ll day of llllllllll, 19ll willing to designate a person upon Amending Policy No. llllllllllll whom process, issued by or under the Effective Date llllllllllllllll authority of any court having jurisdic- Name of Insurance Company llllllll tion of the subject matter, may be Countersigned by llllllllllll served in any proceeding at law or eq- Authorized Company Representative uity brought in any State in which the The policy to which this endorsement is at- motor carrier operates; or tached provides primary or excess insurance, (c) Legally authorized to issue such as indicated by ‘‘X’’, for the limits shown: b policies or bonds in any State of the This insurance is primary and the com- pany shall not be liable for amounts in ex- United States and eligible as an excess cess of $lllll for each accident. or surplus lines insurer in any State in b This insurance is excess and the company which business is written, and is will- shall not be liable for amounts in excess of ing to designate a person upon whom $lllll for each accident in excess of process, issued by or under the author- the underlying limit of $lllll for each ity of any court having jurisdiction of accident. the subject matter, may be served in Whenever required by the FHWA or the any proceeding at law or equity ICC the company agrees to furnish the brought in any State in which the FHWA or the ICC a duplicate of said policy motor carrier operates. and all its endorsements. The company also agrees, upon telephone request by an author- [46 FR 30982, June 11, 1981, as amended at 48 ized representative of the FHWA or the ICC, FR 52683, Nov. 21, 1983] to verify that the policy is in force as of a particular date. The telephone number to § 387.13 Fiduciaries. call is: llllll The coverage of fiduciaries shall at- Cancellation of this endorsement may be ef- tach at the moment of succession of fected by the company or the insured by giv- ing (1) thirty-five (35) days notice in writing such fiduciaries. to the other party (said 35 days notice to [46 FR 30982, June 11, 1981] commence from the date the notice is mailed, proof of mailing shall be sufficient § 387.15 Forms. proof of notice), and (2) if the insured is sub- ject to the ICC’s jurisdiction, by providing Endorsements for policies of insur- thirty (30) days notice to the ICC (said 30 ance (Illustration I) and surety bonds days notice to commence from the date the (Illustration II) must be in the form notice is received by the ICC at its office in prescribed by the FHWA and approved Washington, DC). by the OMB. Endorsements to policies DEFINITIONS AS USED IN THIS ENDORSEMENT of insurance and surety bonds shall specify that coverage thereunder will Accident includes continuous or repeated ex- remain in effect continuously until ter- posure to conditions which results in bod- minated, as required in § 387.7 of this ily injury, property damage, or environ- mental damage which the insured neither subpart. The continuous coverage re- expected or intended. quirement does not apply to Mexican Motor Vehicle means a land vehicle, machine, motor carriers insured under truck, tractor, trailer, or semitrailer pro- § 387.7(b)(3) of this subpart. The en- pelled or drawn by mechanical power and
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used on a highway for transporting prop- cident, claim, or suit involving a breach of erty, or any combination thereof. the terms of the policy, and for any payment Bodily Injury means injury to the body, sick- that the company would not have been obli- ness, or disease to any person, including gated to make under the provisions of the death resulting from any of these. policy except for the agreement contained in Environmental Restoration means restitution this endorsement. for the loss, damage, or destruction of nat- It is further understood and agreed that, ural resources arising out of the accidental upon failure of the company to pay any final discharge, dispersal, release or escape into judgment recovered against the insured as or upon the land, atmosphere, watercourse, provided herein, the judgment creditor may or body of water, of any commodity trans- maintain an action in any court of com- ported by a motor carrier. This shall in- petent jurisdiction against the company to clude the cost of removal and the cost of compel such payment. necessary measures taken to minimize or The limits of the company’s liability for mitigate damage to human health, the nat- the amounts prescribed in this endorsement ural environment, fish, shellfish, and wild- apply separately to each accident and any life. payment under the policy because of any one Property Damage means damage to or loss of accident shall not operate to reduce the li- use of tangible property. ability of the company for the payment of Public Liability means liability for bodily in- final judgments resulting from any other ac- jury, property damage, and environmental cident. restoration. The insurance policy to which this en- ILLUSTRATION II dorsement is attached provides automobile Form MCS–82 (4/83) liability insurance and is amended to assure (Form approved by Office of Management compliance by the insured, within the limits and Budget under control no. 2125–0075) stated herein, as a motor carrier of property, with sections 29 and 30 of the Motor Carrier OTOR ARRIER UBLIC IABILITY URETY Act of 1980 and the rules and regulations of M C P L S the Federal Highway Administration and the BOND UNDER SECTIONS 29 AND 30 OF THE Interstate Commerce Commission (ICC). MOTOR CARRIER ACT OF 1980 In consideration of the premium stated in Motor carrier prin- the policy to which this endorsement is at- Surety company and cipal, ICC Docket tached, the insurer (the company) agrees to Parties principal place of business address No. and principal pay, within the limits of liability described place of business herein, any final judgment recovered against ...... the insured for public liability resulting ...... from negligence in the operation, mainte- ...... nance or use of motor vehicles subject to the ...... financial responsibility requirements of sec- tions 29 and 30 of the Motor Carrier Act of Purpose— This is an agreement between 1980 regardless of whether or not each motor the Surety and the Principal under which vehicle is specifically described in the policy the Surety, its successors and assigness, and whether or not such negligence occurs agree to be responsible for the payment of on any route or in any territory authorized any final judgment or judgments against the to be served by the insured or elsewhere. Principal for public liability, property dam- Such insurance as is afforded, for public li- age, and environmental restoration liability ability, does not apply to injury to or death claims in the sums prescribed herein; subject of the insured’s employees while engaged in to the governing provisions and the follow- the course of their employment, or property ing conditions. transported by the insured, designated as Governing provisions—(1) Sections 29 and 30 cargo. It is understood and agreed that no of the Motor Carrier Act of 1980 (49 U.S.C. condition, provision, stipulation, or limita- 10927 note). tion contained in the policy, this endorse- (2) Rules and regulations of the Federal ment, or any other endorsement thereon, or Highway Administration. violation thereof, shall relieve the company (3) Rules and regulations of the Interstate from liability or from the payment of any Commerce Commission (ICC). final judgment, within the limits of liability Conditions— The Principal is or intends to herein described, irrespective of the financial become a motor carrier of property subject condition, insolvency or bankruptcy of the to the applicable governing provisions relat- insured. However, all terms, conditions, and ing to financial responsibility for the protec- limitations in the policy to which the en- tion of the public. dorsement is attached shall remain in full This bond assures compliance by the Prin- force and effect as binding between the in- cipal with the applicable governing provi- sured and the company. The insured agrees sions, and shall inure to the benefit of any to reimburse the company for any payment person or persons who shall recover a final made by the company on account of any ac- judgment or judgments against the Principal
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for public liability, property damage, or en- On this lll day of lll, 19ll, before vironmental restoration liability claims (ex- me personally came lllll, who, being by cluding injury to or death of the Principal’s me duly sworn, did depose and say that he/ employees while engaged in the course of she resides in lllll; that he/she is the their employment, and loss of or damange to lllll of the lllll, the corporation property of the principal, and the cargo described in and which executed the fore- transported by the Principal). If every final going instrument; that he/she knows the seal judgment shall be paid for such claims re- of said corporation, that the seal affixed to sulting from the negligent operation, main- said instrument is such corporate seal, that tenance, or use of motor vehicles in trans- portation subject to the applicable governing it was so affixed by order of the board of di- provisions, then this obligation shall be void, rectors of said corporation, that he/she otherwise it will remain in full effect. signed his/her name thereto by like order, Within the limits described herein, the and he/she duly acknowledged to me that he/ Surety extends to such losses regardless of she executed the same for and on behalf of whether such motor vehicles are specifically said corporation. described herein and whether occurring on (OFFICIAL SEAL) the route or in the territory authorized to be llllllllllllllllllllllll served by the Principal or elsewhere. Title of official administering oath lllll The liability of the Surety on each motor Surety Company File No. llllllllll vehicle subject to the financial responsibil- ity requirements of Section’s 29 and 30 of the [46 FR 30982, June 11, 1981, as amended at 48 Motor Carrier Act of 1980 for each accident FR 52683, Nov. 21, 1983; 49 FR 27292, July 2, shall not exceed $lllll, and shall be a 1984; 49 FR 38290, Sept. 28, 1984; 51 FR 33856, continuing one notwithstanding any recov- Sept. 23, 1986; 53 FR 12160, Apr. 13, 1988; 54 FR ery hereunder. 49092, Nov. 29, 1989; 59 FR 63924, Dec. 12, 1994] The surety agrees, upon telephone request by an authorized representative of the § 387.17 Violation and penalty. FHWA or the ICC, to verify that the surety bond is in force as of a particular date. The Any person (except an employee who telephone number is: llllll acts without knowledge) who know- This bond is effective from lll (12:01 ingly violates the rules of this subpart a.m., standard time, at the address of the Principal as stated herein) and shall shall be liable to the United States for countine in force until terminated as de- civil penalty of no more than $10,000 for scribed herein. The principal or the Surety each violation, and if any such viola- may at any time terminate this bond by giv- tion is a continuing one, each day of ing (1) thirty five (35) days notice in writing violation will constitute a separate of- to the other party (said 35 day notice to com- fense. The amount of any such penalty mence from the date the notice is mailed, proof of mailing shall be sufficient proof of shall be assessed by the FHWA’s Asso- notice), and (2) if the Principal is subject to ciate Administrator for the Office of the ICC’s jurisdiction, by providing thirty Motor Carriers, by written notice. In (30) days notice to the ICC (said 30 days no- determining the amount of such pen- tice to commence from the date notice is re- alty, the Associate Administrator, or ceived by the ICC at its office in Washington, DC). The Surety shall not be liable for the his/her authorized delegate shall take payment of any judgment or judgments into account the nature, cir- against the Principal for public liability, cumstances, extent, the gravity of the property damage, or environmental restora- violation committed and, with respect tion claims resulting from accidents which to the person found to have committed occur after the termination of this bond as described herein, but such termination shall such violation, the degree of culpabil- not affect the liability of the Surety for the ity, any history of prior offenses, abil- payment of any such judgment or judgments ity to pay, effect on ability to continue resulting from accidents which occur during to do business, and such other matters the time the bond is in effect. as justice may require. (AFFIX CORPORATE SEAL) Date lllllllllllllllllllll [59 FR 63924, Dec. 12, 1994] Surety llllllllllllllllllll City lllllllllllllllllllll State llllllllllllllllllll Subpart B—Motor Carriers of By llllllllllllllllllllll Passengers
ACKNOWLEDGEMENT OF SURETY SOURCE: 48 FR 52683, Nov. 21, 1983, unless State of lllllllllllllllllll otherwise noted. County of llllllllllllllllll
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§ 387.25 Purpose and scope. sengers and their property, including This subpart prescribes the minimum any compensated transportation of the levels of financial responsibility re- goods or property or another. quired to be maintained by for-hire Insured and principal the motor car- motor carriers of passengers operating rier named in the policy of insurance, motor vehicles in interstate or foreign surety bond, endorsement, or notice of commerce. The purpose of these regu- cancellation, and also the fiduciary of lations is to create additional incen- such motor carrier. tives to carriers to operate their vehi- Insurance premium the monetary sum cles in a safe manner and to assure an insured pays an insurer for accept- that they maintain adequate levels of ance of liability for public liability financial responsibility. claims made against the insured. Motor carrier means a for-hire motor § 387.27 Applicability. carrier. The term includes, but is not (a) This subpart applies to for-hire limited to, a motor carrier’s agent, of- motor carriers transporting passengers ficer, or representative; an employee in interstate or foreign commerce. responsible for hiring, supervising, (b) Exception. The rules in this sub- training, assigning, or dispatching a part do not apply to— driver; or an employee concerned with (1) A motor vehicle transporting only the installation, inspection, and main- school children and teachers to or from tenance of motor vehicle equipment school; and/or accessories. (2) A motor vehicle providing taxicab Property damage means damage to or service and having a seating capacity loss of use of tangible property. of less than 7 passengers and not oper- Public liability liability for bodily in- ated on a regular route or between jury or property damage. specified points; Seating capacity any plan view loca- (3) A motor vehicle carrying less tion capable of accommodating a per- than 16 individuals in a single daily son at least as large as a 5th percentile round trip to commute to and from adult female, if the overall seat con- work; and figuration and design and vehicle de- (4) A motor vehicle operated by a sign is such that the position is likely motor carrier under contract providing to be used as a seating position while transportation of preprimary, primary, the vehicle is in motion, except for and secondary students for extra- auxiliary seating accommodations curricular trips organized, sponsored, such as temporary or folding jump and paid by a school district. seats. Any bench or split bench seat in a passenger car, truck or multi-purpose [48 FR 52683, Nov. 21, 1983, as amended at 63 passenger vehicle with a gross vehicle FR 33275, June 18, 1998] weight rating less than 10,000 pounds, § 387.29 Definitions. having greater than 50 inches of hip room (measured in accordance with As used in this subpart— SEA Standards J1100(a)) shall have not Accident includes continuous or re- less than three designated seating posi- peated exposure to the same conditions tions, unless the seat design or vehicle resulting in public liability which the design is such that the center position insured neither expected nor intended. cannot be used for seating. Bodily injury means injury to the body, sickness, or disease including [48 FR 52683, Nov. 21, 1983, as amended at 63 death resulting from any of these. FR 33276, June 18, 1998] Endorsement an amendment to an in- surance policy. § 387.31 Financial responsibility re- Financial responsibility the financial quired. reserves (e.g., insurance policies or sur- (a) No motor carrier shall operate a ety bonds) sufficient to satisfy liability motor vehicle transporting passengers amounts set forth in this subpart cov- until the motor carrier has obtained ering public liability. and has in effect the minimum levels of For-hire carriage means the business financial responsibility as set forth in of transporting, for compensation, pas- § 387.33 of this subpart.
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(b) Policies of insurance, surety 1982’’ (Form MCS–90B) issued by an in- bonds, and endorsements required surer(s); or under this section shall remain in ef- (2) A ‘‘Motor Carrier of Passengers fect continuously until terminated. Surety Bond for Public Liability Under (1) Cancellation may be effected by Section 18 of the Bus Regulatory Re- the insurer or the insured motor car- form Act of 1982’’ (Form MCS–82B) rier giving 35 days notice in writing to issued by a surety. the other. The 35 days notice shall (e) The proof of minimum levels of fi- commence to run from the date the no- nancial responsibility required by this tice is mailed. Proof of mailing shall be section shall be considered public in- sufficient proof of notice. formation and be produced for review (2) Exception. Policies of insurance upon reasonable request by a member and surety bonds may be obtained for a of the public. finite period of time to cover any lapse (f) All passenger carrying vehicles in continuous compliance. operated within the United States by (3) Exception. Mexican motor carriers motor carriers domiciled in a contig- may meet the minimum financial re- uous foreign country, shall have on sponsibility requirements of this sub- board the vehicle a legible copy, in part by obtaining insurance coverage, English, of the proof of the required fi- in the required amounts, for periods of nancial responsibility (Forms MCS–90B 24 hours or longer, from insurers that or MCS–82B) used by the motor carrier meet the requirements of § 387.35 of this to comply with paragraph (d) of this subpart. A Mexican motor carrier so section. insured must have available for inspec- (g) Any motor vehicle in which there tion in each of its vehicles copies of the is no evidence of financial responsibil- following documents: ity required by paragraph (f) of this (i) The required insurance endorse- section shall be denied entry into the ment (Form MCS–90B); and United States. (ii) An insurance identification card, [48 FR 52683, Nov. 21, 1983, as amended at 50 binder, or other document issued by an FR 7062, Feb. 20, 1985; 54 FR 49092, Nov. 29, authorized insurer which specifies both 1989; 60 FR 38743, July 28, 1995] the effective date and the expiration date of the temporary insurance cov- § 387.33 Financial responsibility, mini- erage authorized by this exception. mum levels. Mexican motor carriers insured under The minimum levels of financial re- this exception are also exempt from sponsibility referred to in § 387.31 of the notice of cancellation requirements this subpart are hereby prescribed as stated on Form MCS–90B. follows: (c) Policies of insurance and surety SCHEDULE OF LIMITS bonds required under this section may be replaced by other policies of insur- Public Liability ance or surety bonds. The liability of For-hire motor carriers of passengers operat- retiring insurer or surety, as to events ing in interstate or foreign commerce. after the termination date, shall be considered as having terminated on the Effective dates effective date of the replacement pol- Vehicle seating capacity Nov. 19, Nov. 19, icy of insurance or surety bond or at 1983 1985 the end or the 35 day cancellation pe- (1) Any vehicle with a seating ca- riod required in paragraph (b) of this pacity of 16 passengers or more $2,500,000 $5,000,000 section, whichever is sooner. (2) Any vehicle with a seating ca- (d) Proof of the required financial re- pacity of 15 passengers or less 1 750,000 1,500,000 sponsibility shall be maintained at the 1 Except as provided in § 387.27(b). motor carrier’s principal place of busi- ness. The proof shall consist of— § 387.35 State authority and designa- (1) ‘‘Endorsement(s) for Motor Car- tion of agent. riers of Passengers Policies of Insur- A policy of insurance or surety bond ance for Public Liability Under Section does not satisfy the financial respon- 18 of the Bus Regulatory Reform Act of sibility requirements of this subpart
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unless the insurer or surety furnishing brought in any State in which the the policy or bond is— motor carrier operates.. (a) Legally authorized to issue such policies or bonds in each State in § 387.37 Fiduciaries. which the motor carrier operates, or The coverage of fiduciaries shall at- (b) Legally authorized to issue such tach at the moment of succession of policies or bonds in the State in which such fiduciaries. the motor carrier has its principal place of business or domicile, and is § 387.39 Forms. willing to designate a person upon whom process, issued by or under the Endorsements for policies of insur- authority of any court having jurisdic- ance (Illustration I) and surety bonds tion of the subject matter, may be (Illustration II) must be in the form served in any proceeding at law or eq- prescribed by the FHWA and approved uity brought in any State in which the by the OMB. Endorsements to policies motor carrier operates; or of insurance and surety bonds shall (c) Legally authorized to issue such specify that coverage thereunder will policies or bonds in any State of the remain in effect continuously until ter- United States and eligible as an excess minated, as required in § 387.31 of this or surplus lines insurer in any State in subpart. The continuous coverage re- which business is written, and is will- quirement does not apply to Mexican ing to designate a person upon whom motor carriers insured under process, issued by or under the author- § 387.31(b)(3) of this subpart. The en- ity of any court having jurisdiction of dorsement and surety bond shall be the subject matter, may be served in issued in the exact name of the motor any proceeding at law or equity carrier.
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(Approved by the Office of Management and Budget under control number 2125–0518) [48 FR 52683, Nov. 21, 1983, as amended at 49 FR 22326, May 29, 1984; 54 FR 49093, Nov. 29, 1989]
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§ 387.41 Violation and penalty. tioned to pay any final judgment re- covered against such motor carrier for Any person (except an employee who bodily injuries to or the death of any acts without knowledge) who know- person resulting from the negligent op- ingly violates the rules of this subpart eration, maintenance or use of motor shall be liable to the United States for vehicles in transportation subject to civil penalty of no more than $10,000 for subchapter II, chapter 105, subtitle IV each violation, and if any such viola- of title 49 of the U.S. Code, or for loss tion is a continuing one, each day of of or damage to property of others, or, violation will constitute a separate of- in the case of motor carriers of prop- fense. The amount of any such penalty erty operating freight vehicles de- shall be assessed by the Associate Ad- scribed in § 387.303(b)(2) of this part, for ministrator for Motor Carriers or his/ environmental restoration. her designee, by written notice. In de- (2) Motor Carriers of property which termining the amount of such penalty, are subject to the conditions set forth the Associate Administrator or his/her in paragraph (a)(1) of this section and designee shall take into account the transport the commodities described in nature, circumstances, extent, the § 387.303(b)(2), are required to obtain se- gravity of the violation committed curity in the minimum limits pre- and, with respect to the person found scribed in § 387.303(b)(2). to have committed such violation, the (b) Common carriers-cargo insurance; degree of culpability, any history of exempt commodities. No common carrier prior offenses, ability to pay, effect on by motor vehicle subject to subchapter ability to continue to do business, and II, chapter 105, subtitle IV of title 49 of such other matters as justice may re- the U.S. Code nor any foreign (Mexi- quire. can) common carrier of exempt com- [53 FR 47543, Nov. 23, 1988] modities shall engage in interstate or foreign commerce, nor shall any cer- tificate be issued to such a carrier or Subpart C—Surety Bonds and Poli- remain in force unless and until there cies of Insurance for Motor shall have been filed with and accepted Carriers and Property Brokers by the Commission, a surety bond, cer- tificate of insurance, proof of qualifica- AUTHORITY 49 U.S.C. 10101, 10321, 11701, tions as a self-insurer, or other securi- 10927; 5 U.S.C. 553. ties or agreements in the amounts pre- scribed in § 387.303, conditioned upon SOURCE: 32 FR 20032, Dec. 20, 1967, unless otherwise noted. Redesignated at 61 FR 54709, such carrier making compensation to Oct. 21, 1996. shippers or consignees for all property belonging to shippers or consignees and CROSS REFERENCE: Prescribed forms relat- coming into the possession of such car- ing to this part are listed in 49 CFR part 1003. rier in connection with its transpor- § 387.301 Surety bond, certificate of in- tation service: Provided, That the re- surance, or other securities. quirements of this paragraph shall not apply in connection with the transpor- (a) Public liability. (1) No common or tation of the following commodities: contract carrier or foreign (Mexican) motor private carrier or foreign motor Agricultural ammonium nitrate. carrier transporting exempt commod- Agricultural nitrate of soda. ities subject to subchapter II, chapter Anhydrous ammonia—used as a fertilizer 105, subtitle IV of title 49 of the U.S. only. Ashes, wood or coal. Code shall engage in interstate or for- Bituminous concrete (also known as black- eign commerce, and no certificate or top or amosite), including mixtures of as- permit shall be issued to such a carrier phalt paving. or remain in force unless and until Cement, dry, in containers or in bulk. there shall have been filed with and ac- Cement, building blocks. cepted by the Commission surety Charcoal. Chemical fertilizer. bonds, certificates of insurance, proof Cinder blocks. of qualifications as self-insurer, or Cinders, coal. other securities or agreements, in the Coal. amounts prescribed in § 387.303, condi- Coke.
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Commercial fertilizer. Waste, hazardous and nonhazardous, trans- Concrete materials and added mixtures. ported solely for purposes of disposal. Corn cobs. Water, other than mineral or prepared— Cottonseed hulls. water. Crushed stone. Wood chips, not processed. Drilling salt. Wooden pallets, unassembled. Dry fertilizer. Wreck or disabled motor vehicles. Fish scrap. Other materials or commodities of low Fly ash. value, upon specific application to and ap- Forest products; viz: Logs, billets, or bolts, proval by the Commission. native woods, Canadian wood or Mexican pine; pulpwood, fuel wood, wood kindling; (c) Continuing compliance required. and wood sawdust or shavings (shingle Such security as is accepted by the tow) other than jewelers’ or paraffined. Commission in accordance with the re- Foundry and factory sweepings. Garbage. quirements of section 10927, subchapter Gravel, other than bird gravel. II, chapter 109, subtitle IV of title 49 of Hardwood and parquet flooring. the U.S. Code, shall remain in effect at Haydite. all times. Highway construction materials, when transported in dump trucks and unloaded [48 FR 51780, Nov. 14, 1983, as amended at 60 at destination by dumping. FR 63981, Dec. 13, 1995; 62 FR 49941, Sept. 24, Ice. 1997] Iron ore. Lime and limestone. § 387.303 Security for the protection of Liquid fertilizer solutions, in bulk, in tank the public: Minimum limits. vehicles. (a) Definitions. (1) Primary security Lumber. means public liability coverage pro- Manure. Meat scraps. vided by the insurance or surety com- Mud drilling salt. pany responsible for the first dollar of Ores, in bulk, including ore concentrates. coverage. Paving materials, unless contain oil hauled (2) Excess security means public liabil- in tank vehicles. ity coverage above the primary secu- Peat moss. rity, or above any additional underly- Peeler cores. ing security, up to and including the Plywood. Poles and piling, other than totem poles. required minimum limits set forth in Potash, used as commercial fertilizer. paragraph (b)(2) of this section. Pumice stone, in bulk in dump vehicles. (b)(1) Motor carriers subject to Salt, in bulk or in bags. § 387.301(a)(1) are required to have secu- Sand, other than asbestos, bird, iron, mona- rity for the required minimum limits zite, processed, or tobacco sand. as follows: Sawdust. Scoria stone. (i) Small freight vehicles: Scrap iron. Transportation pro- Minimum Scrap steel. Kind of equipment vided limits Shells, clam, mussel, or oyster. Slag, other than slag with commercial value Fleet including only ve- Commodities not sub- $300,000 for the further extraction of metals. hicles under 10,000 ject to Slag, derived aggregates—cinders. pounds GVWR. § 387.303(b)(2). Slate, crushed or scrap. Slurry, as waste material. (ii) Passenger carriers Soil, earth or marl, other than infusorial, di- atomaceous, tripoli, or inoculated soil or KIND OF EQUIPMENT earth. Stone, unglazed and unmanufactured, includ- Effective dates ing ground agricultural limestone. Vehicle seating capacity Nov. 19, Nov. 19, Sugar beet pulp. 1983 1985 Sulphate of ammonia, bulk, used as fer- tilizer. (1) Any vehicle with a seating Surfactants. capacity of 16 passengers or Trap rock. more ...... $2,500,000 $5,000,000 Treated poles. (2) Any vehicle with a seating Veneer. capacity of 15 passengers or less ...... 750,000 1,500,000 Volcanic scoria.
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(2) Motor carriers subject to rity for the required minimum limits § 387.301(a)(2) are required to have secu- as follows:
July 1, July 1, Kind of equipment Commodity transported 1983* 1984*
(a) Freight Vehicles of Property (non-hazardous) ...... $500,000 $750,000 10,000 Pounds or More GVWR. (b) Freight Vehicles of Hazardous substances, as defined in § 171.8, transported in cargo tanks, 1,000,000 5,000,000 10,000 Pounds or portable tanks, or hopper-type vehicles with capacities in excess of More GVWR. 3,500 water gallons, or in bulk Class A or B explosives, poison gas (Poison A) liquefied compressed gas or compressed gas, or highway route controlled quantity radioactive materials as defined in § 173.455. (c) Freight Vehicles of Oil listed in § 172.101; hazardous waste, hazardous materials and hazard- 500,000 1,000,000 10,000 Pounds or ous substances defined in § 171.8 and listed in § 172.101, but not men- More GVWR. tioned in (b) above or (d) below. (d) Freight Vehicles Any quantity of Class A or B explosives; any quantity of poison gas (Poi- 1,000,000 5,000,000 Under 10,000 Pounds son A); or highway route controlled quantity radioactive materials as de- GVWR. fined in § 173.455.
*NOTE: The effective date of the current required minimum limit in § 387.303(b)(2) was January 6, 1983, in accordance with the requirements of Pub. L. 97±424, 96 Stat. 2097.
(3) Motor carriers subject to the min- insurance is not required as a condition imum limits governed by this section, to the issuance of a certificate of reg- which are also subject to Department istration. Further, the reference to of Transportation limits requirements, continuous coverage at § 387.313(a)(6) are at no time required to have secu- and the reference to cancellation no- rity for more than the required mini- tice at § 387.313(d) are not applicable to mum limits established by the Sec- these carriers. retary of Transportation in the appli- (c) Motor common carriers: Cargo liabil- cable provisions of 49 CFR Part 387— ity. Security required to compensate Minimum Levels of Financial Respon- shippers or consignees for loss or dam- sibility for Motor Carriers. age to property belonging to shippers (4) Foreign motor carriers and foreign or consignees and coming into the pos- motor private carriers. Foreign motor session of motor carriers in connection carriers and foreign motor private car- riers (Mexican), subject to the require- with their transportation service, (1) ments of 49 U.S.C. 13902(c) and 49 CFR for loss of or damage to property car- part 368 regarding obtaining certifi- ried on any one motor vehicle—$5,000, cates of registration from the Commis- (2) for less of or damage to or aggregate sion, must meet our minimum finan- of losses or damages of or to property cial responsibility requirements by ob- occurring at any one time and place— taining insurance coverage, in the re- $10,000. quired amounts, for periods of 24 hours [47 FR 55944, Dec. 14, 1982, as amended at 48 or longer, from insurance or surety FR 43333, Sept. 23, 1983; 48 FR 45775, Oct. 7, companies, that meet the requirements 1983; 48 FR 51780, Nov. 14, 1983; 49 FR 1991, of 49 CFR 387.315. These carriers must Jan. 17, 1984; 49 FR 27767, July 6, 1984; 50 FR have available for inspection, in each 40030, Oct. 1, 1985; 53 FR 36984, Sept. 23, 1988; vehicle operating in the United States, 54 FR 52034, Dec. 20, 1989; 55 FR 47338, Nov. 13, copies of the following documents: 1990; 62 FR 49941, Sept. 24, 1997] (i) The certificate of registration; (ii) The required insurance endorse- § 387.305 Combination vehicles. ment (Form MCS–90); and The following combinations will be (iii) An insurance identification card, regarded as one motor vehicle for pur- binder, or other document issued by an poses of this part, (a) a tractor and authorized insurer which specifies both trailer or semitrailer when the tractor the effective date and the expiration is engaged solely in drawing the trailer date of the insurance coverage. or semitrailer, and (b) a truck and Notwithstanding the provisions of trailer when both together bear a sin- § 387.301(a)(1), the filing of evidence of gle load.
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§ 387.307 Property broker surety bond bond will be filed with the Commission or trust fund. for the full security limits under sub- (a) Security. A property broker must section (a); or Form BMC–85 broker have a surety bond or trust fund in ef- trust fund agreement will be filed with fect for $10,000. The Commission will the Commission for the full security not issue a property broker license limits under paragraph (a) of this sec- until a surety bond or trust fund for tion. the full limits of liability prescribed (2) Broker surety bonds and trust fund herein is in effect. The broker license agreements in effect continuously. Surety shall remain valid or effective only as bonds and trust fund agreements shall long as a surety bond or trust fund re- specify that coverage thereunder will mains in effect and shall ensure the fi- remain in effect continuously until ter- nancial responsibility of the broker. minated as herein provided. (b) Evidence of Security. Evidence of a (i) Cancellation notice. The surety surety bond must be filed using the bond and the trust fund agreement Commission’s prescribed Form BMC 84. may be cancelled as only upon 30 days’ Evidence of a trust fund with a finan- written notice to the Commission, on cial institution must be filed using the prescribed Form BMC 36, by the prin- Commission’s prescribed Form BMC 85. cipal or surety for the surety bond, and The surety bond or the trust fund shall on prescribed Form BMC 85, by the ensure the financial responsibility of trustor/broker or trustee for the trust the broker by providing for payments fund agreement. The notice period to shippers or motor carriers if the commences upon the actual receipt of broker fails to carry out its contracts, the notice at the Commission’s Wash- agreements, or arrangements for the ington, DC office. (ii) Termination by replacement. supplying of transportation by author- Broker surety bonds or trust fund ized motor carriers. agreements which have been accepted (c) Financial Institution—when used in this section and in forms prescribed by the Commission under these rules under this section, where not otherwise may be replaced by other surety bonds distinctly expressed or manifestly in- or trust fund agreements, and the li- compatible with the intent thereof, ability of the retiring surety or trustee shall mean—Each agent, agency, under such surety bond or trust fund branch or office within the United agreements shall be considered as hav- States of any person, as defined by the ing terminated as of the effective date Interstate Commerce Act, doing busi- of the replacement surety bond or trust ness in one or more of the capacities fund agreement. However, such termi- listed below: nation shall not affect the liability of (1) An insured bank (as defined in the surety or the trustee hereunder for section 3(h) of the Federal Deposit In- the payment of any damages arising as surance Act (12 U.S.C. 1813(h)); the result of contracts, agreements or (2) A commercial bank or trust com- arrangements made by the broker for pany; the supplying of transportation prior (3) An agency or branch of a foreign to the date such termination becomes bank in the United States; effective. (4) An insured institution (as defined (3) Filing and copies. Broker surety in section 401(a) of the National Hous- bonds and trust fund agreements must ing Act (12 U.S.C. 1724(a)); be filed with the Commission in dupli- (5) A thrift institution (savings bank, cate. building and loan association, credit [53 FR 10396, Mar. 31, 1988] union, industrial bank or other); (6) An insurance company; § 387.309 Qualifications as a self-in- (7) A loan or finance company; or surer and other securities or agree- (8) A person subject to supervision by ments. any state or federal bank supervisory (a) As a self-insurer. The Commission authority. will consider and will approve, subject (d) Forms and Procedures—(1) Forms to appropriate and reasonable condi- for broker surety bonds and trust agree- tions, the application of a motor car- ments. Form BMC–84 broker surety rier to qualify as a self-insurer, if the
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carrier furnishes a true and accurate tions for approval of other securities or statement of its financial condition agreements and will approve any such and other evidence that establishes to application if satisfied that the secu- the satisfaction of the Commission the rity or agreement offered will afford ability of the motor carrier to satisfy the security for protection of the pub- its obligation for bodily injury liabil- lic contemplated by 49 U.S.C. 13906. ity, property damage liability, or cargo [48 FR 51780, Nov. 14, 1983 and 51 FR 15008, liability. Application Guidelines: In ad- Apr. 22, 1986, as amended at 52 FR 3815, Feb. dition to filing Form B.M.C. 40, appli- 6, 1987; 62 FR 49941, Sept. 24, 1997] cants for authority to self-insure against bodily injury and property § 387.311 Bonds and certificates of in- damage claims should submit evidence surance. that will allow the Commission to de- (a) Public liability. Each Form BMC 82 termine: surety bond filed with the Commission (1) The adequacy of the tangible net must be for the full limits of liability worth of the motor carrier in relation required under § 387.303(b)(1). Form to the size of operations and the extent MCS–82 surety bonds and other forms of its request for self-insurance author- of similar import prescribed by the De- ity. Applicant should demonstrate that partment of Transportation, may be it will maintain a net worth that will aggregated to comply with the mini- ensure that it will be able to meet its mum security limits required under statutory obligations to the public to § 387.303(b)(1) or § 387.303(b)(2). Each indemnify all claimants in the event of Form BMC 91 certificate of insurance loss. filed with the Commission will always (2) The existence of a sound self-insur- represent the full security minimum ance program. Applicant should dem- limits required for the particular car- onstrate that it has established, and rier, while it remains in force, under will maintain, an insurance program § 387.303(b)(1) or § 387.303(b)(2), which- that will protect the public against all ever is applicable. Any previously exe- claims to the same extent as the mini- cuted Form BMC 91 filed before the mum security limits applicable to ap- current revision which is left on file plicant under § 387.303 of this part. Such with the Commission after the effec- a program may include, but not be lim- tive date of this regulation, and not ited to, one or more of the following: canceled within 30 days of that date Irrevocable letters of credit; irrev- will be deemed to certify the same cov- ocable trust funds; reserves; sinking erage limits as would the filing of a re- funds; third-party financial guarantees, vised Form BMC 91. Each Form BMC parent company or affiliate sureties; 91X certificate of insurance filed with excess insurance coverage; or other the Commission will represent the full similar arrangements. security limits under § 387.303(b)(1) or (3) The existence of an adequate safety § 387.303(b)(2) or the specific security program. Applicant must submit evi- limits of coverage as indicated on the dence of a current ‘‘satisfactory’’ safe- face of the form. If the filing reflects ty rating by the United States Depart- aggregation, the certificate must show ment of Transportation. Non-rated car- clearly whether the insurance is pri- riers need only certify that they have mary or, if excess coverage, the not been rated. Applications by car- amount of underlying coverage as well riers with a less than satisfactory rat- as amount of the maximum limits of ing will be summarily denied. Any self- coverage.* Each Form BMC 91MX cer- insurance authority granted by the tificate of insurance filed with the Commission will automatically expire Commission will represent the security 30 days after a carrier receives a less limits of coverage as indicated on the than satisfactory rating from DOT. (4) Additional information. Applicant must submit such additional informa- *NOTE: Aggregation to meet the require- ment of § 387.303(b)(1) will not be allowed tion to support its application as the until the completion of our rulemaking in Ex Commission may require. Parte No. MC–5 (Sub-No. 2), Motor Carrier and (b) Other securities or agreements. The Freight Forwarder Insurance Procedures and Commission also will consider applica- Minimum Amounts of Liability.
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face of the form. The Form BMC 91MX freight vehicles under 10,000 pounds must show clearly whether the insur- Gross Vehicle Weight Rating, as de- ance is primary or, if excess coverage, fined in § 387.303(b)(1), a separate Form the amount of underlying coverage as BMC 90, with the specific amounts of well as amount of the maximum limits underlying and limits of coverage of coverage. shown thereon or appended thereto, (b) Cargo Liability. Each form B.M.C. and Form BMC 91X certificate is re- 83 surety bond filed with the Commis- quired of each insurer. sion must be for the full limits of li- For aggregation of insurance for all ability required under § 387.303(c). Each other carriers to cover security limits Form B.M.C. 34 certificate of insurance under § 387.303 (b)(1) or (b)(2), a separate filed with the Commission will rep- Department of Transportation pre- resent the full security limits under scribed form endorsement and Form § 387.303(c) or the specific security lim- BMC 91X certificate is required of each its of coverage as indicated on the face insurer. When insurance is provided by of the form. If the filing reflects aggre- more than one insurer to aggregate gation, the certificate must show clear- coverage for security limits under ly whether the insurance is primary or, § 387.303(c) a separate Form BMC 32 en- if excess coverage, the amount of un- dorsement and Form BMC 34 certifi- derlying coverage as well as amount of cate of insurance is required for each the maximum limits of coverage. insurer. (c) Each policy of insurance in con- For aggregation of insurance for for- nection with the certificate of insur- eign motor private carriers of non- ance which is filed with the Commis- hazardous commodities to cover secu- sion, shall be amended by attachment rity limits under § 387.303(b)(4), a sepa- of the appropriate endorsement pre- rate Form BMC 90 with the specific scribed by the Commission or the De- amounts of underlying and limits of partment of Transportation and the coverage shown thereon or appended certificate of insurance filed must ac- thereto, or Department of Transpor- curately reflect that endorsement. tation prescribed form endorsement, [47 FR 55944, Dec. 14, 1982, as amended at 48 and Form BMC 91MX certificate is re- FR 43332, Sept. 23, 1983; 48 FR 51781, Nov. 14, quired for each insurer. 1983; 50 FR 40030, Oct. 1, 1985; 62 FR 49941, (3) Use of Certificates and Endorsements Sept. 24, 1997] in BMC Series. Form BMC 91 certificates § 387.313 Forms and procedures. of insurance will be filed with the Com- mission for the full security limits (a) Forms for endorsements, certificates under § 387.303 (b)(1) or (b)(2). of insurance and others. (1) In form pre- scribed. Endorsements for policies of in- Form BMC 91X certificate of insurance surance and surety bonds, certificates will be filed to represent full coverage of insurance, applications to qualify as or any level of aggregation for the se- a self-insurer, or for approval of other curity limits under § 387.303 (b)(1) or securities or agreements, and notices (b)(2). of cancellation must be in the form Form BMC 90 endorsement will be used prescribed and approved by the Com- with each filing of Form BMC 91 or mission. Form 91X certificate with the Commis- (2) Aggregation of Insurance.** When sion which certifies to coverage not insurance is provided by more than one governed by the requirements of the insurer in order to aggregate security Department of Transportation. Form limits for carriers operating only BMC 32 endorsement and Form BMC 34 certificate of insurance and Form BMC **NOTE: See NOTE for Rule 387.311. Also, it 83 surety bonds are used for the limits should be noted that DOT is considering pre- of cargo liability under § 1043.2(c). scribing adaptations of the Form MCS 90 en- Form BMC 91MX certificate of insur- dorsement and the Form MCS 82 surety bond ance will be filed to represent any level for use by passenger carriers and Rules of aggregation for the security limits §§ 387.311 and 387.313 have been written suffi- under § 387.303(b)(4). ciently broad to provide for this contingency when new forms are prescribed by that Agen- (4) Use of Endorsements in MCS Series. cy. When Security limits certified under
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§ 387.303 (b)(1) or (b)(2) involves cov- Carrier and Broker Surety Bonds, as erage also required by the Department appropriate) by the insurance com- of Transportation a Form MCS endorse- pany, surety or sureties, motor carrier, ment prescribed by the Department of broker or other party thereto, as the Transportation such as, and including, case may be, which period of thirty (30) the Form MCS 90 endorsement is re- days shall commence to run from the quired. date such notice on the prescribed form (5) Surety bonds. When surety bonds is actually received by the Commis- are used rather than certificates of in- sion. surance, Form BMC 82 is required for (e) Termination by replacement. Cer- the security limits under § 1043.2(b)(1) tificates of insurance or surety bonds not subject to regulation by the De- which have been accepted by the Com- partment of Transportation, and Form mission under these rules may be re- MCS 82, or any form of similar import placed by other certificates of insur- prescribed by the Department of Trans- ance, surety bonds or other security, portation, is used for the security lim- and the liability of the retiring insurer its subject also to minimum coverage or surety under such certificates of in- requirements of the Department of surance or surety bonds shall be con- Transportation. sidered as having terminated as of the (6) Surety bonds and certificates in ef- effective date of the replacement cer- fect continuously. Surety bonds and cer- tificate of insurance, surety bond or tificates of insurance shall specify that other security, provided the said re- coverage thereunder will remain in ef- placement certificate, bond or other se- fect continuously until terminated as curity is acceptable to the Commission herein provided, except: (1) When filed under the rules and regulations in this expressly to fill prior gaps or lapses in part. coverage or to cover grants of emer- gency temporary authority of unusu- CROSS REFERENCE: For list of forms pre- scribed, see § 1003.1(b) of this chapter. ally short duration and the filing clear- ly so indicates, or (2) in special or un- [47 FR 55944, Dec. 14, 1982, as amended at 48 usual circumstances, when special per- FR 43334, Sept. 23, 1983; 48 FR 51781, Nov. 14, mission is obtained for filing certifi- 1983; 50 FR 40030, Oct. 1, 1985; 51 FR 34623, cates of insurance or surety bonds on Sept. 30, 1986; 62 FR 49941, Sept. 24, 1997] terms meeting other particular needs § 387.315 Insurance and surety compa- of the situation. nies. (b) Filing and copies. Certificates of insurance, surety bonds, and notices of A certificate of insurance or surety cancellation must be filed with the bond will not be accepted by the Com- Commission in triplicate. mission unless issued by an insurance (c) Name of insured. Certificates of in- or surety company that is authorized surance and surety bonds shall be (licensed or admitted) to issue bonds or issued in the full and correct name of underlying insurance policies: the individual, partnership, corpora- (a) In each state in which the motor tion or other person to whom the cer- carrier is authorized by the Commis- tificate, permit, or license is, or is to sion to operate, or be, issued. In the case of a partnership, (b) In the state in which the motor all partners shall be named. carrier has its principal place of busi- (d) Cancellation notice. Except as pro- ness or domicile, and will designate in vided in paragraph (e) of this section, writing upon request by the Commis- surety bonds, certificates of insurance sion, a person upon whom process, and other securities or agreements issued by or under the authority of a shall not be cancelled or withdrawn court of competent jurisdiction, may until 30 days after written notice has be served in any proceeding at law or been submitted to the Commission at equity brought in any state in which its offices in Washington, DC, on the the carrier operates, or prescribed form (Form BMC–35, Notice (c) In any state, and is eligible as an of Cancellation Motor Carrier Policies excess or surplus lines insurer in any of Insurance under 49 U.S.C. 13906, and state in which business is written, and BMC–36, Notice of Cancellation Motor will make the designation of process
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agent described in paragraph (b) of this of sixty (60) days, it may be cancelled section. or withdrawn only in accordance with § 1043.7. [56 FR 28111, June 19, 1991] [32 FR 20032, Dec. 20, 1967, as amended at 47 § 387.317 Refusal to accept, or revoca- FR 49596, Nov. 1, 1982; 47 FR 55945, Dec. 14, tion by the FHWA of surety bonds, 1982; 55 FR 11197, Mar. 27, 1990] etc. § 387.321 Operations in foreign com- The Commission may, at any time, merce. refuse to accept or may revoke its ac- ceptance of any surety bond, certifi- No motor carrier may operate in the cate of insurance, qualifications as a United States in the course of trans- self-insurer, or other securities or portation between places in a foreign agreements if, in its judgment such se- country or between a place in one for- curity does not comply with these sec- eign country and a place in another tions or for any reason fails to provide foreign country unless and until there satisfactory or adequate protection for shall have been filed with and accepted the public. Revocation of acceptance of by the Commission a certificate of in- any certificate of insurance, surety surance, surety bond, proof of quali- bond or other security shall not relieve fications as a self-insurer, or other se- the motor carrier from compliance curities or agreements in the amount with § 387.301(d). prescribed in § 387.303(b), conditioned to pay any final judgment recovered [47 FR 55945, Dec. 14, 1982, as amended at 62 against such motor carrier for bodily FR 49942, Sept. 24, 1997] injuries to or the death of any person resulting from the negligent operation, § 387.319 Fiduciaries. maintenance, or use of motor vehicles (a) Definitions. The terms ‘‘insured’’ in transportation between places in a and ‘‘principal’’ as used in a certificate foreign country or between a place in of insurance, surety bond, and notice of one foreign country and a place in an- cancellation, filed by or for a motor other foreign country, insofar as such carrier, include the motor carrier and transportation takes place in the its fiduciary as of the moment of suc- United States, or for loss of or damage cession. The term ‘‘fiduciary’’ means to property of others. The security for any person authorized by law to collect the protection of the public required by and preserve property of incapacitated, this section shall be maintained in ef- financially disabled, bankrupt, or de- fect at all times and shall be subject to ceased holders of operating rights, and the provisions of §§ 387.309 through assignees of such holders. 387.319. The requirements of § 387.315(a) (b) Insurance coverage in behalf of fi- shall be satisfied if the insurance or duciaries to apply concurrently. The cov- surety company, in addition to having erage furnished under the provisions of been approved by this Commission, is this section on behalf of fiduciaries legally authorized to issue policies or shall not apply subsequent to the effec- surety bonds in at least one of the tive date of other insurance, or other States in the United States, or one of security, filed with and approved by the Provinces in Canada, and has filed the Commission in behalf of such fidu- with this Commission the name and ad- ciaries. After the coverage provided in dress of a person upon whom legal this section shall have been in effect process may be served in each State in thirty (30) days, it may be cancelled or or through which the motor carrier op- withdrawn within the succeeding pe- erates. Such designation may from riod of thirty (30) days by the insurer, time to time be changed by like des- the insured, the surety, or the prin- ignation similarly filed, but shall be cipal upon ten (10) days’ notice in writ- maintained during the effectiveness of ing to the Commission at its office in any certificate of insurance or surety Washington, DC, which period of ten bond issued by the company, and there- (10) days shall commence to run from after with respect to any claims arising the date such notice is actually re- during the effectiveness of such certifi- ceived by the Commission. After such cate or bond. The term ‘‘motor carrier’’ coverage has been in effect for a total as used in this section shall not include
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private carriers or carriers operating 82, BMC 83, BMC 84, BMC 85, BMC 91, under the partial exemption from regu- and BMC 91X electronically, in lieu of lation in 49 U.S.C. 13503 and 13506. using the prescribed printed forms. [47 FR 55945, Dec. 14, 1982, as amended at 62 (b) Each insurer must obtain author- FR 49942, Sept. 24, 1997] ization to file electronically by reg- istering with the Commission. An indi- § 387.323 Electronic filing of surety vidual account number and password bonds, trust fund agreements, cer- for computer access will be issued to tificates of insurance and cancella- each registered insurer. tions. (c) All files to be transmitted must (a) Insurers may, at their option and be in an ASCII fixed format, i.e., all in accordance with the requirements records must have the same number of and procedures set forth in paragraphs fields and same length. The record lay- (a) through (d) of this section, file outs for electronic filing transactions forms BMC 34, BMC 35, BMC 36, BMC are as described in the following table:
ELECTRONIC INSURANCE FILING TRANSACTIONS
Required F=filing Start End Field name Number of positions Description C=cancel field field B=both
Record type ...... 1 Numeric ...... 1=Filing B 1 1 2=Cancellation Insurer number ...... 8 Text ...... ICC Assigned Insurer Number B 2 9 (Home Office) With Suffix (Issuing Office), If Different, e.g. 12345±01. Filing type ...... 1 Numeric ...... 1 = BI&PD B 10 10 2 = Cargo 3 = Bond 4 = Trust Fund ICC docket number ...... 8 Text ...... ICC Assigned MC or FF Number, B 11 18 e.g., MC000045. Insured legal name ...... 120 Text ...... Legal Name ...... B 19 138 Insured d/b/a name ...... 60 Text ...... Doing Business As Name If Dif- B 139 198 ferent From Legal Name. Insured address ...... 35 Text ...... Either street or mailing address ...... B 199 233 Insured city ...... 30 Text ...... B 234 263 Insured state ...... 2 Text ...... B 264 265 Insured zip code ...... 9 Numeric (Do not include dash if using 9 digit B 266 274 code). Insured country ...... 2 Text ...... (Will default to US) ...... B 275 276 Form code ...... 10 Text ...... BMC±91, BMC±91X, BMC±34, B 277 286 BMC±35, etc. Full, primary or excess 1 Text ...... If BMC±91X, P or E = indicator of F 287 287 coverage. primary or excess policy; 1 = Full under § 387.303(b)(1); 2 = Full under § 387.303(b)(2). Limit of liability ...... 5 Numeric ...... $ in Thousands ...... F 288 292 Underlying limit of liabil- 5 Numeric ...... $ in Thousands (will default to $000 F 293 297 ity. if Primary). Effective date ...... 8 Text ...... MM/DD/YY Format for both Filing or B 298 305 Cancellation. Policy number ...... 25 Text ...... Surety companies may enter bond B 306 330 number.
(d) All registered insurers agree to Subpart D—Surety Bonds and Poli- furnish upon request to the Commis- cies of Insurance for Freight sion a duplicate original of any policy Forwarders (or policies) and all endorsements, sur- ety bond, trust fund agreement, or AUTHORITY: 49 U.S.C. 10102, 10321, and 10927; other filing. 5 U.S.C. 553. [60 FR 16810, Apr. 3, 1995, as amended at 62 SOURCE: 55 FR 11201, Mar. 27, 1990, unless FR 49942, Sept. 24, 1997] otherwise noted. Redesignated at 61 FR 54710, Oct. 21, 1996.
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§ 387.401 Definitions. cles described at 49 CFR 387.303(b)(2), (a) Freight forwarder means a person for environmental restoration, result- holding itself out to the general public ing from the negligent operation, (other than as an express, pipeline, maintenance, or use of motor vehicles rail, sleeping car, motor, or water car- operated by or under its control in per- rier) to provide transportation of prop- forming such service. erty for compensation in interstate [55 FR 11201, Mar. 27, 1990. Redesignated at 61 commerce, and in the ordinary course FR 54710, Oct. 21, 1996, as amended at 62 FR of its business: 49942, Sept. 24, 1997] (1) Performs or provides for assem- bling, consolidating, break-bulk, and § 387.405 Limits of liability. distribution of shipments; and The minimum amounts for cargo and (2) Assumes responsibility for trans- public liability security are identical portation from place of receipt to des- to those prescribed for motor carriers tination; and at 49 CFR 387.303. (3) Uses for any part of the transpor- tation a carrier subject to Commission [55 FR 11201, Mar. 27, 1990. Redesignated at 61 jurisdiction. FR 54710, Oct. 21, 1996, as amended at 62 FR 49942, Sept. 24, 1997] (b) Household goods freight forwarder (HHGFF) means a freight forwarder of § 387.407 Surety bonds and certificates household goods, unaccompanied bag- of insurance. gage, or used automobiles. (a) The limits of liability under (c) Motor vehicle means any vehicle, machine, tractor, trailer, or § 387.405 may be provided by aggrega- semitrailer propelled or drawn by me- tion under the procedures at 49 CFR chanical power and used to transport part 387, subpart C. property, but does not include any ve- (b) Each policy of insurance used in hicle, locomotive, or car operated ex- connection with a certificate of insur- clusively on a rail or rails. The follow- ance filed with the Commission shall ing combinations will be regarded as be amended by attachment of the ap- one motor vehicle: propriate endorsement prescribed by (1) A tractor that draws a trailer or the Commission (or the Department of semitrailer; and Transportation, where applicable). (2) A truck and trailer bearing a sin- [55 FR 11201, Mar. 27, 1990. Redesignated at 61 gle load. FR 54710, Oct. 21, 1996, as amended at 62 FR 49942, Sept. 24, 1997] § 387.403 General requirements. (a) Cargo. A freight forwarder (in- § 387.409 Insurance and surety compa- cluding a HHGFF) may not operate nies. until it has filed with the Commission A certificate of insurance or surety an approriate surety bond, certificate bond will not be accepted by the Com- of insurance, qualifications as a self-in- mission unless issued by an insurance surer, or other securities or agree- or surety company that is authorized ments, in the amounts prescribed at (licensed or admitted) to issue bonds or § 387.405, for loss of or damage to prop- underlying insurance policies: erty. (a) In each state in which the freight (b) Public liability. A HHGFF may not forwarder is authorized by the Commis- perform transfer, collection, and deliv- sion to perform service, or ery service until it has filed with the (b) In the state in which the freight Commission an appropriate surety forwarder has its principal place of bond, certificate of insurance, quali- business or domicile, and will des- fications as a self-insurer, or other se- ignate in writing upon request by the curities or agreements, in the amounts Commission, a person upon whom proc- prescribed at § 387.405, conditioned to ess, issued by or under the authority of pay any final judgment recovered a court of competent jurisdiction, may against such HHGFF for bodily injury be served in any proceeding at law or to or the death of any person, or loss of equity brought in any state in which or damage to property (except cargo) of the freight forwarder performs service; others, or, in the case of freight vehi- or
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(c) In any state, and is eligible as an of insurance, surety bonds, or other se- excess or surplus lines insurer in any curity, and the liability of the retiring state in which business is written, and insurer or surety shall be considered as will make the designation of process having terminated as of the replace- agent prescribed in paragraph (b) of ment’s effective date, if acceptable to this section. the Commission. [56 FR 28111, June 19, 1991] [55 FR 11201, Mar. 27, 1990. Redesignated at 61 § 387.411 Qualifications as a self-in- FR 54710, Oct. 21, 1996, as amended at 62 FR surer and other securities or agree- 49942, Sept. 24, 1997] ments. § 387.415 Acceptance and revocation (a) Self-insurer. The Commission will by the FHWA. approve the application of a freight fowarder to qualify as a self-insurer if The Commission may at any time it is able to meet its obligations for refuse to accept or may revoke its ac- bodily-injury, property-damage, and ceptance of any surety bond, certifi- cargo liability without adversely af- cate of insurance, qualifications as a fecting its business. self-insurer, or other security or agree- (b) Other securities and agreements. ment that does not comply with these The Commission will grant applica- rules or fails to provide adequate pub- tions for approval of other securities lic protection. and agreements if the public will be protected as contemplated by 49 U.S.C. § 387.417 Fiduciaries. 13906(c). (a) Interpretations. The terms ‘‘in- [55 FR 11201, Mar. 27, 1990. Redesignated at 61 sured’’ and ‘‘principal’’ as used in a cer- FR 54710, Oct. 21, 1996, as amended at 62 FR tificate of insurance, surety bond, and 49942, Sept. 24, 1997] notice of cancellation, filed by or for a § 387.413 Forms and procedure. freight forwarder, include the freight forwarder and its fiduciary (as defined (a) Forms. Endorsements for policies at 49 CFR 387.319(a)) as of the moment of insurance, surety bonds, certificates of succession. of insurance, applications to qualify as a self-insurer or for approval of other (b) Span of security coverage. The cov- securities or agreements, and notices erage furnished for a fiduciary shall of cancellation must be in the form not apply after the effective date of prescribed at 49 CFR part 387, subpart other insurance or security, filed with C. and accepted by the Commission for (b) Procedure. Certificates of insur- such fiduciary. After the coverage shall ance, surety bonds, and notices of can- have been in effect 30 days, it may be cellation must be filed with the Com- cancelled or withdrawn within the suc- mission in triplicate. ceeding 30 days by the insurer, the in- (c) Names. Certificates of insurance sured, the surety, or the principal 10 and surety bonds shall be issued in the days after the Commission receives full name (including any trade name) written notice. After such coverage has of the individual, partnership (all part- been in effect 60 days, it may be can- ners named), corporation, or other per- celled or withdrawn only in accordance son holding or to be issued the permit. with § 387.413(d). (d) Cancellation. Except as provided in paragraph (e) of this section, certifi- [55 FR 11201, Mar. 27, 1990. Redesignated at 61 cates of insurance, surety bonds, and FR 54710, Oct. 21, 1996, as amended at 62 FR other securities and agreements shall 49942, Sept. 24, 1997] not be cancelled or withdrawn until 30 days after the Commission receives § 387.419 Electronic filing of surety written notice from the insurance com- bonds, certificates of insurance and cancellations. pany, surety, freight forwarder, or other party, as the case may be. Insurers may, at their option and in (e) Termination by replacement. Cer- accordance with the requirements and tificates of insurance or surety bonds procedures set forth at 49 CFR 387.323, may be replaced by other certificates file certificates of insurance, surety
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bonds, and other securities and agree- § 388.4 Exchange of information. ments electronically. (a) Federal Highway Administration [60 FR 16811, Apr. 3, 1995, as amended at 62 furnishing information to State. Informa- FR 49942, Sept. 24, 1997] tion that comes to the attention of an employee of the Federal Highway Ad- PART 388—COOPERATIVE ministration in the course of his/her of- ficial duties of investigation, inspec- AGREEMENTS WITH STATES tion, or examination of the property, equipment, and records of a motor car- Sec. rier or others, pursuant to 49 U.S.C. 388.1 Eligibility. 504(c), and that is believed to be a vio- 388.2 Extent of acceptance. lation of any law or regulation of the 388.3 Cancellation. State pertaining to unsafe motor car- 388.4 Exchange of information. rier operations and practices, shall be 388.5 Requests for assistance. communicated to the appropriate State 388.6 Joint investigation, inspection, or ex- authority by an official of the Federal amination. 388.7 Joint administrative activities related Highway Administration. to enforcement of safety and hazardous (b) State furnishing information to Fed- materials laws and regulations. eral Highway Administration. Informa- 388.8 Supplemental agreements. tion that comes to the attention of a duly authorized agent of the State in AUTHORITY: 49 U.S.C. 104 and 502; 49 CFR the course of his/her official duties of 1.48. investigation, inspection, or examina- SOURCE: 33 FR 19725, Dec. 25, 1968, unless tion of the property, equipment, and otherwise noted. records of a motor carrier or others, and that is believed to be a violation of § 388.1 Eligibility. any provision of the safety or hazard- Any State may agree with the Fed- ous materials laws of the United States eral Highway Administration to en- concerning highway transportation or force the safety laws and regulations of the regulations of the Federal Highway said State and the United States con- Administration thereunder, shall be cerning motor carrier transportation communicated to the Regional Direc- by filing with the Administrator at tor of Motor Carriers. Washington, DC 20591, a written ac- [51 FR 12621, Apr. 14, 1986] ceptance of the terms herein. § 388.5 Requests for assistance. § 388.2 Extent of acceptance. (a) State request for Federal Highway The written acceptance may be in Administration assistance. Upon written letter form, signed by competent au- request of the appropriate State au- thority of said State charged with reg- thority, the Office of Motor Carriers of- ulations of motor carrier saftey and ficials of the Federal Highway Admin- hazardous materials transportation istration for that State shall, as time, and shall specify the terms herein per- personnel, and funds permit, obtain taining to the obligations of a State in evidence for use by said State in the which said State will participate. To enforcement of its laws and regulations the extent that a State agrees to par- concerning unsafe motor carrier oper- ations. Evidence obtained in this man- ticipate in the terms herein, officials of ner shall be transmitted to the appro- the Federal Highway Administration priate State authority together with will reciprocate. the name and address of an agent or employee, if any, having knowledge of § 388.3 Cancellation. the facts, who shall be made available Cancellation or withdrawal, in whole when necessary to testify as a witness or in part, from any agreement made in an enforcement proceeding or other under this chapter may be effected by action. written notice from either party indi- (b) Federal Highway Administration re- cating the effective date of said can- quest for State assistance. Upon written cellation or withdrawal. request from a Regional Director of
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Motor Carriers, the appropriate State schedule joint conferences of staff authority, shall, as time, personnel, members of both agencies. Information and funds permit, obtain evidence in shall be exchanged as to the nature and the State for use by the Federal High- extent of the authority and capabilities way Administration in its enforcement of the respective agencies to enforce of the safety and hazardous materials the safety and hazardous materials laws and regulations of the United laws and regulations of the State or of States concerning highway transpor- the United States concerning motor tation. Evidence obtained in this man- carrier transportation. The Federal ner shall be transmitted to the Re- Highway Administration and the State gional Director of Motor Carriers, to- (or appropriate State authority) shall gether with the name and address of an use their best efforts to inform each agent or employee, if any, having other of changes in their rules and reg- knowledge of the facts, who shall be ulations and cooperate with and assist made available when necessary to tes- each other in conducting training tify as a witness in an enforcement schools for Federal and State enforce- proceeding or other action. ment officials engaged in such duties. [33 FR 19725, Dec. 25, 1968, as amended at 51 [33 FR 19725, Dec. 25, 1968, as amended at 51 FR 12621, Apr. 14, 1986; 60 FR 38743, July 28, FR 12621, Apr. 14, 1986] 1995] § 388.8 Supplemental agreements. § 388.6 Joint investigation, inspection, or examination. The terms specified in this part may Upon agreement by the Regional Di- be supplemented from time to time by rector of Motor Carriers and the appro- specific agreement between the Federal priate State authority, there will be Highway Administration and the ap- conducted a joint investigation, inspec- propriate State authority in order to tion, or examination of the property, further implement the provisions of 49 equipment, or records of motor carriers U.S.C. 502. or others, for the enforcement of the [51 FR 12621, Apr. 14, 1986] safety and hazardous materials laws and regulations of the United States PART 389—RULEMAKING PROCE- and the State concerning highway DURES—FEDERAL MOTOR CAR- transportation. The said Regional Di- rector of Motor Carriers and the appro- RIER SAFETY REGULATIONS priate State authority shall decide as to the location and time, the objectives Subpart A—General sought, and the identity of the person Sec. who will supervise the joint effort and 389.1 Applicability. make the necessary decisions. Any 389.3 Definitions. agent or employee of either agency 389.5 Regulatory docket. who has personal knowledge of perti- 389.7 Records. nent facts shall be made available when necessary to testify as a witness Subpart B—Procedures for Adoption of in an enforcement proceeding or other Rules action. 389.11 General. [33 FR 19725, Dec. 25, 1968, as amended at 51 389.13 Initiation of rule making. FR 12621, Apr. 14, 1986] 389.15 Contents of notices of proposed rule making. § 388.7 Joint administrative activities 389.17 Participation by interested persons. related to enforcement of safety 389.19 Petitions for extension of time to and hazardous materials laws and comment. regulations. 389.21 Contents of written comments. To facilitate the interchange of in- 389.23 Consideration of comments received. 389.25 Additional rule making proceedings. formation and evidence, and the con- 389.27 Hearings. duct of joint investigation and admin- 389.29 Adoption of final rules. istrative action, the Regional Director 389.31 Petitions for rule making. of Motor Carriers and the appropriate 389.33 Processing of petition. State authority shall, when warranted, 389.35 Petitions for reconsideration.
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389.37 Proceedings on petitions for reconsid- tions of the Secretary of Transpor- eration. tation (part 7 of this title; 32 FR 9284 et AUTHORITY: 49 U.S.C. 104, 501 et seq., 31101 et seq.). seq., 31138, 31139, 31301 et seq., and 31502; 42 [35 FR 9209, June 12, 1970, as amended at 53 U.S.C. 4917; and 49 CFR 1.48. FR 2036, Jan. 26, 1988] SOURCE: 35 FR 9209, June 12, 1970, unless otherwise noted. Subpart B—Procedures for Adoption of Rules Subpart A—General § 389.11 General. § 389.1 Applicability. Unless the Administrator, for good This part prescribes rulemaking pro- cause, finds a notice is impractical, un- cedures that apply to the issuance, necessary, or contrary to the public in- amendment and revocation of rules terest, and incorporates such a finding under an Act. and a brief statement of the reasons for [62 FR 37152, July 11, 1997] it in the rule, a notice of proposed rule- making must be issued, and interested § 389.3 Definitions. persons are invited to participate in Act means statutes granting the Sec- the rulemaking proceedings involving retary authority to regulate motor car- rules under an Act. rier safety. [62 FR 37152, July 11, 1997] Administrator means the Federal Highway Administrator. § 389.13 Initiation of rule making. [62 FR 37152, July 11, 1997] The Administrator initiates rule making on his/her own motion. How- § 389.5 Regulatory docket. ever, in so doing, he/she may, in his/her (a) Information and data deemed rel- discretion, consider the recommenda- evant by the Administrator relating to tions of his/her staff or other agencies rule making actions, including notices of the United States or of other inter- of proposed rule making; comments re- ested persons. ceived in response to notices; petitions [35 FR 9209, June 12, 1970, as amended at 53 for rule making and reconsideration; FR 2036, Jan. 26, 1988] denials of petitions for rule making and reconsideration; records of addi- § 389.15 Contents of notices of pro- tional rule making proceedings under posed rule making. § 389.25; and final rules are maintained (a) Each notice of proposed rule mak- at Headquarters, Federal Highway Ad- ing is published in the FEDERAL REG- ministration, Nassif Building, 400 Sev- ISTER, unless all persons subject to it enth Street, SW., Washington, DC are named and are personally served 20590. with a copy of it. (b) Any person may examine dock- (b) Each notice, whether published in eted material, at any time during regu- the FEDERAL REGISTER or personally lar business hours after the docket is served, includes: established, except material ordered (1) A statement of the time, place, withheld from the public under section and nature of the proposed rule making 552(b) of title 5 of the United States proceeding; Code, and may obtain a copy of it upon (2) A reference to the authority under payment of a fee. which it is issued; [35 FR 9209, June 12, 1970, as amended at 53 (3) A description of the subjects and FR 2036, Jan. 26, 1988] issues involved or the substance and terms of the proposed rule; § 389.7 Records. (4) A statement of the time within Records of the Administrator relat- which written comments must be sub- ing to rule making proceedings are mitted; and available for inspection as provided in (5) A statement of how and to what section 552(b) of title 5 of the United extent interested persons may partici- States Code and part 7 of the regula- pate in the proceeding.
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§ 389.17 Participation by interested he/she finds necessary or desirable. or persons. example, interested persons may be in- (a) Any interested person may par- vited to make oral arguments, to par- ticipate in rule making proceedings by ticipate in conferences between the Ad- submitting comments in writing con- ministrator or his/her representative at taining information, views, or argu- which minutes of the conference are ments. kept, to appear at informal hearings (b) In his/her discretion, the Adminis- presided over by officials designated by trator may invite any interested per- the Administrator at which a tran- son to participate in the rule making script or minutes are kept, or partici- procedures described in § 389.25. pate in any other proceeding to assure informed administrative action and to [35 FR 9209, June 12, 1970, as amended at 53 protect the public interest. FR 2036, Jan. 26, 1988] [35 FR 9209, June 12, 1970, as amended at 53 § 389.19 Petitions for extension of time FR 2036, Jan. 26, 1988] to comment. § 389.27 Hearings. A petition for extension of the time to submit comments must be received (a) Sections 556 and 557 of title 5, in duplicate not later than three (3) United States Code, do not apply to days before expiration of the time stat- hearings held under this part. Unless ed in the notice. The filing of the peti- otherwise specified, hearings held tion does not automatically extend the under this part are informal, non- time for petitioner’s comments. Such a adversary, fact-finding procedures at petition is granted only if the peti- which there are no formal pleadings or tioner shows good cause for the exten- adverse parties. Any rule issued in a sion, and if the extension is consistent case in which an informal hearing is with the public interest. If an exten- held is not necessarily based exclu- sion is granted, it is granted to all per- sively on the record of the hearing. sons, and it is published in the FED- (b) The Administrator designates a ERAL REGISTER. representative to conduct any hearing held under this part. The Chief Counsel § 389.21 Contents of written comments. of the Federal Highway Administration All written comments must be in designates a member of his/her staff to English and submitted in five (5) leg- serve as legal officer at the hearing. ible copies, unless the number of copies [35 FR 9209, June 12, 1970, as amended at 53 is specified in the notice. Any inter- FR 2036, Jan. 26, 1988] ested person must submit as part of his/her written comments all material § 389.29 Adoption of final rules. that he/she considers relevant to any Final rules are prepared by rep- statement of fact made by him/her. In- resentatives of the office concerned corporation of material by reference is and the Office of the Chief Counsel. The to be avoided. However, if such incor- rule is then submitted to the Adminis- poration is necessary, the incorporated trator for his/her consideration. If the material shall be identified with re- Administrator adopts the rule, it is spect to document and page. published in the FEDERAL REGISTER, unless all persons subject to it are § 389.23 Consideration of comments re- ceived. named and are personally served with a copy of it. All timely comments are considered before final action is taken on a rule [35 FR 9209, June 12, 1970, as amended at 53 making proposal. Late filed comments FR 2036, Jan. 26, 1988] may be considered as far as prac- ticable. § 389.31 Petitions for rule making. (a) Any interested person may peti- § 389.25 Additional rule making pro- tion the Administrator to establish, ceedings. amend, or repeal a rule. The Administrator may initiate any (b) Each petition filed under this sec- further rule making proceedings that tion must:
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(1) Be submitted in duplicate to the the complaint and an explanation as to Administrator, Federal Highway Ad- why compliance with the rule is not ministration, 400 Seventh Street, SW., practicable, is unreasonable, or is not Washington, DC 20590; in the public interest. (2) Set forth the text or substance of (b) If the petitioner requests the con- the rule or amendment proposed, or sideration of additional facts, he/she specify the rule that the petitioner must state the reason they were not seeks to have repealed, as the case may presented to the Administrator within be; the prescribed time. (3) Explain the interest of the peti- (c) The Administrator does not con- tioner in the action requested; sider repetitious petitions. (4) Contain any information and ar- (d) Unless the Administrator other- guments available to the petitioner to wise provides, the filing of a petition support the action sought. under this section does not stay the ef- fectiveness of the rule. [35 FR 9209, June 12, 1970, as amended at 45 FR 46424, July 10, 1980; 53 FR 2036, Jan. 26, [35 FR 9209, June 12, 1970, as amended at 53 1988] FR 2036, Jan. 26, 1988]
§ 389.33 Processing of petition. § 389.37 Proceedings on petitions for reconsideration. (a) Unless the Administrator other- wise specifies, no public hearing, argu- The Administrator may grant or ment, or other proceeding is held di- deny, in whole or in part, any petition rectly on a petition before its disposi- for reconsideration without further tion under this section. proceedings. In the event he/she deter- (b) Grants. If the Administrator de- mines to reconsider any rule, he/she termines that the petition contains may issue a final decision on reconsid- adequate justification, he/she initiates eration without further proceedings, or rule making action under this Subpart he/she may provide such opportunity to B. submit comment or information and (c) Denials. If the Administrator de- data as he/she deems appropriate. termines that the petition does not jus- Whenever the Administrator deter- tify rule making, he/she denies the pe- mines that a petition should be granted tition. or denied, he/she prepares a notice of (d) Notification. Whenever the Admin- the grant or denial of a petition for re- istrator determines that a petition consideration, for issuance to the peti- should be granted or denied, the Office tioner, and issues it to the petitioner. of the Chief Counsel prepares a notice The Administrator may consolidate pe- of that grant or denial for issuance to titions relating to the same rule. the petitioner, and the Administrator [35 FR 9209, June 12, 1970, as amended at 53 issues it to the petitioner. FR 2036, Jan. 26, 1988] [35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988] PART 390—FEDERAL MOTOR CAR- RIER SAFETY REGULATIONS; GEN- § 389.35 Petitions for reconsideration. ERAL (a) Any interested person may peti- tion the Administrator for reconsider- Subpart A—General Applicability and ation of any rule issued under this Definitions part. The petition must be in English Sec. and submitted in five (5) legible copies 390.1 Purpose. to the Administrator, Federal Highway 390.3 General applicability. Administration, 400 Seventh Street, 390.5 Definitions. SW., Washington, DC 20590, and re- 390.7 Rules of construction. ceived not later than thirty (30) days after publication of the rule in the Subpart B—General Requirements and FEDERAL REGISTER. Petitions filed Information after that time will be considered as 390.9 State and local laws, effect on. petitions filed under § 389.31. The peti- 390.11 Motor carrier to require observance tion must contain a brief statement of of driver regulations.
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390.13 Aiding or abetting violations. Motor Carriers, are applicable to motor 390.15 Assistance in investigations and spe- carriers as provided in § 387.3 or 387.27 cial studies. of this subchapter. 390.16–390.17 [Reserved] 390.19 Additional equipment and acces- (d) Additional requirements. Nothing in sories. subchapter B of this chapter shall be 390.21 Marking of commercial motor vehi- construed to prohibit an employer from cles. requring and enforcing more stringent 390.23 Relief from regulations. requirements relating to safety of oper- 390.25 Extension of relief from regulations— ation and employee safety and health. emergencies. (e) Knowledge of and compliance 390.27 Locations of regional offices of motor carriers. with the regulations. 390.29 Location of records or documents. (1) Every employer shall be knowl- 390.31 Copies of records or documents. edgeable of and comply with all regula- 390.33 Commercial motor vehicles used for tions contained in this subchapter purposes other than defined. which are applicable to that motor car- 390.35 Certificates, reports, and records: rier’s operations. Falsification, reproduction, or alter- (2) Every driver and employee shall ation. 390.37 Violation and penalty. be instructed regarding, and shall com- ply with, all applicable regulations Subpart C [Reserved] contained in this subchapter. (3) All motor vehicle equipment and Subpart D—Identification of Vehicles accessories required by this subchapter 390.401 Applicability. shall be maintained in compliance with 390.403 Method of identification. all applicable performance and design 390.405 Size, shape, and color. criteria set forth in this subchapter. 390.407 Driveaway service. (f) Exceptions. Unless otherwise spe- AUTHORITY: 49 U.S.C. 13301, 13902, 31132, cifically provided, the rules in this sub- 31133, 31136, 31502, and 31504; sec. 204, Pub. L. chapter do not apply to— 104–88, 109 Stat. 803, 941 (49 U.S.C. 701 note); (1) All school bus operations as de- and 49 CFR 1.48. fined in § 390.5; SOURCE: 53 FR 18052, May 19, 1988, unless (2) Transportation performed by the otherwise noted. Federal government, a State, or any political subdivision of a State, or an Subpart A—General Applicability agency established under a compact be- and Definitions tween States that has been approved by the Congress of the United States; § 390.1 Purpose. (3) The occasional transportation of This part establishes general applica- personal property by individuals not bility, definitions, general require- for compensation nor in the further- ments and information as they pertain ance of a commercial enterprise; to persons subject to this chapter. (4) The transportation of human corpses or sick and injured persons; § 390.3 General applicability. (5) The operation of fire trucks and (a) The rules in subchapter B of this rescue vehicles while involved in emer- chapter are applicable to all employ- gency and related operations. ers, employees, and commercial motor [53 FR 18052, May 19, 1988, as amended at 54 vehicles, which transport property or FR 12202, Mar. 24, 1989; 58 FR 33776, June 21, passengers in interstate commerce. 1993; 59 FR 8752, Feb. 23, 1994; 59 FR 67554, (b) The rules in Part 383, Commercial Dec. 29, 1994; 62 FR 1296, Jan. 9, 1997; 63 FR Driver’s License Standards; Require- 33276, June 18, 1998] ments and Penalties, are applicable to § 390.5 Definitions. every person who operates a commer- cial motor vehicle, as defined in § 383.5 Unless specifically defined elsewhere, of this subchapter, in interstate or in this subchapter: intrastate commerce and to all em- Accident means— ployers of such persons. (1) Except as provided in paragraph (c) The rules in Part 387, Minimum (2) of this definition, an occurrence in- Levels of Financial Responsibility for volving a commercial motor vehicle
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operating on a highway in interstate or (2) Is designed to transport 16 or intrastate commerce which results in: more passengers, including the driver; (i) A fatality; or (ii) Bodily injury to a person who, as (3) Is of any size and is used in the a result of the injury, immediately re- transportation of materials found to be ceives medical treatment away from hazardous for the purposes of the Haz- the scene of the accident; or ardous Materials Transportation Act (iii) One or more motor vehicles in- (49 U.S.C. 5101 et seq.) and which require curring disabling damage as a result of the motor vehicle to be placarded the accident, requiring the motor vehi- under the Hazardous Materials Regula- cle(s) to be transported away from the tions (49 CFR chapter I, subchapter C). scene by a tow truck or other motor Conviction means an unvacated adju- vehicle. dication of guilt, or a determination (2) The term accident does not in- that a person has violated or failed to clude: comply with the law in a court of origi- (i) An occurrence involving only nal jurisdiction or by an authorized ad- boarding and alighting from a station- ministrative tribunal, an unvacated ary motor vehicle; or forfeiture of bail or collateral depos- (ii) An occurrence involving only the ited to secure the person’s appearance loading or unloading of cargo. in court, a plea of guilty or nolo Alcohol concentration (AC) means the contendere accepted by the court, the concentration of alcohol in a person’s payment of a fine or court cost, or vio- blood or breath. When expressed as a lation of a condition of release without percentage it means grams of alcohol bail, regardless of whether or not the per 100 milliliters of blood or grams of penalty is rebated, suspended, or pro- alcohol per 210 liters of breath. bated. Bus means any motor vehicle de- Direct assistance means transpor- signed, constructed, and or used for the tation and other relief services pro- transportation of passengers, including vided by a motor carrier or its driver(s) taxicabs. incident to the immediate restoration Business district means the territory of essential services (such as, elec- contiguous to and including a highway tricity, medial care, sewer, water, tele- when within any 600 feet along such communications, and telecommuni- highway there are buildings in use for cation transmissions) or essential sup- business or industrial purposes, includ- plies (such as, food and fuel). It does ing but not limited to hotels, banks, or not include transportation related to office buildings which occupy at least long-term rehabilitation of damaged 300 feet of frontage on one side or 300 physical infrastructure or routine com- feet collectively on both sides of the mercial deliveries after the initial highway. threat to life and property has passed. Charter transportation of passengers Disabling damage means damage means transportation, using a bus, of a which precludes departure of a motor group of persons who pursuant to a vehicle from the scene of the accident common purpose, under a single con- in its usual manner in daylight after tract, at a fixed charge for the motor simple repairs. vehicle, have acquired the exclusive use of the motor vehicle to travel to- (1) Inclusions. Damage to motor vehi- gether under an itinerary either speci- cles that could have been driven, but fied in advance or modified after hav- would have been further damaged if so ing left the place of origin. driven. Commercial motor vehicle means any (2) Exclusions. self-propelled or towed vehicle used on (i) Damage which can be remedied a highway in interstate commerce to temporarily at the scene of the acci- transport passengers or property when dent without special tools or parts. the vehicle— (ii) Tire disablement without other (1) Has a gross vehicle weight rating damage even if no spare tire is avail- or gross combination weight rating of able. 4,537 kg (10,001 lb) or more; or (iii) Headlamp or taillight damage.
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(iv) Damage to turn signals, horn, or save lives or property or to protect windshield wipers which makes them public health and safety as a result of inoperative. an emergency as defined in this sec- Driveaway-towaway operation means tion. any operation in which a motor vehicle Employee means any individual, other constitutes the commodity being than an employer, who is employed by transported and one or more set of an employer and who in the course of wheels of the motor vehicle being his or her employment directly affects transported are on the surface of the commercial motor vehicle safety. Such roadway during transportation. term includes a driver of a commercial Driver means any person who oper- motor vehicle (including an independ- ates any commercial motor vehicle. ent contractor while in the course of Driving a commercial motor vehicle operating a commercial motor vehicle), while under the influence of alcohol a mechanic, and a freight handler. means committing any one or more of Such term does not include an em- the following acts in a CMV: Driving a ployee of the United States, any State, CMV while the person’s alcohol con- centration is 0.04 percent or more; driv- any political subdivision of a State, or ing under the influence of alcohol, as any agency established under a com- prescribed by State law; or refusal to pact between States and approved by undergo such testing as is required by the Congress of the United States who any State or jurisdiction in the en- is acting within the course of such em- forcement of § 383.51(b)(2)(i)(A) or (B), ployment. or § 392.5(a)(2). Employer means any person engaged Emergency means any hurricane, tor- in a business affecting interstate com- nado, storm (e.g. thunderstorm, snow- merce who owns or leases a commer- storm, icestorm, blizzard, sandstorm, cial motor vehicle in connection with etc.), high water, wind-driven water, that business, or assigns employees to tidal wave, tsunami, earthquake, vol- operate it, but such terms does not in- canic eruption, mud slide, drought, for- clude the United States, any State, any est fire, explosion, blackout or other political subdivision of a State, or an occurrence, natural or man-made, agency established under a compact be- which interrupts the delivery of essen- tween States approved by the Congress tial services (such as, electricity, medi- of the United States. cal care, sewer, water, telecommuni- Exempt intracity zone means the geo- cations, and telecommunication trans- graphic area of a municipality or the missions) or essential supplies (such as, commercial zone of that municipality food and fuel) or otherwise imme- described by the FHWA in 49 CFR part diately threatens human life or public 372, subpart B. The descriptions are welfare, provided such hurricane, tor- printed in appendix F to subchapter B nado, or other event results in: of this chapter. The term ‘‘exempt in- (1) A declaration of an emergency by tracity zone’’ does not include any mu- the President of the United States, the nicipality or commercial zone in the Governor of a State, or their author- ized representatives having authority State of Hawaii. For purposes of to declare emergencies; by the Re- § 391.2(d), a driver may be considered to gional Director of Motor Carriers for operate a commercial motor vehicle the region in which the occurrence wholly within an exempt intracity zone happens; or by other Federal, State or notwithstanding any common control, local government officials having au- management, or arrangement for a thority to declare emergencies, or continuous carriage or shipment to or (2) A request by a police officer for from a point without such zone. tow trucks to move wrecked or dis- Exempt motor carrier means a person abled motor vehicles. engaged in transportation exempt from Emergency relief means an operation economic regulation by the Interstate in which a motor carrier or driver of a Commerce Commission (ICC) under 49 commercial motor vehicle is providing U.S.C. 10526. ‘‘Exempt motor carriers’’ direct assistance to supplement State are subject to the safety regulations and local efforts and capabilities to set forth in this subchapter.
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Farm vehicle driver means a person Hazardous substance means a mate- who drives only a commercial motor rial, and its mixtures or solutions, that vehicle that is— is identified in the appendix to § 172.101, (a) Controlled and operated by a List of Hazardous Substances and Re- farmer as a private motor carrier of portable Quantities, of this title when property; offered for transportation in one pack- (b) Being used to transport either— age, or in one transport motor vehicle (1) Agricultural products, or if not packaged, and when the quantity (2) Farm machinery, farm supplies, of the material therein equals or ex- or both, to or from a farm; ceeds the reportable quantity (RQ). (c) Not being used in the operation of This definition does not apply to petro- a for-hire motor carrier; leum products that are lubricants or (d) Not carrying hazardous materials fuels, or to mixtures or solutions of of a type or quantity that requires the hazardous substances if in a concentra- commercial motor vehicle to be plac- tion less than that shown in the table arded in accordance with § 177.823 of in § 171.8 of this title, based on the re- this subtitle; and portable quantity (RQ) specified for the (e) Being used within 150 air-miles of materials listed in the appendix to the farmer’s farm. § 172.101. Farmer means any person who oper- Hazardous waste means any material ates a farm or is directly involved in that is subject to the hazardous waste the cultivation of land, crops, or live- manifest requirements of the EPA stock which— specified in 40 CFR part 262 or would be (a) Are owned by that person; or subject to these requirements absent (b) Are under the direct control of an interim authorization to a State that person. under 40 CFR part 123, subpart F. Fatality means any injury which re- Highway means any road, street, or sults in the death of a person at the way, whether on public or private prop- time of the motor vehicle accident or erty, open to public travel. ‘‘Open to within 30 days of the accident. public travel’’ means that the road sec- Federal Highway Administrator means tion is available, except during sched- the chief executive of the Federal uled periods, extreme weather or emer- Highway Administration, an agency gency conditions, passable by four- within the Department of Transpor- wheel standard passenger cars, and tation. open to the general public for use with- For-hire motor carrier means a person out restrictive gates, prohibitive signs, engaged in the transportation of goods or regulation other than restrictions or passengers for compensation. based on size, weight, or class of reg- Gross combination weight rating istration. Toll plazas of public toll (GCWR) means the value specified by roads are not considered restrictive the manufacturer as the loaded weight gates. of a combination (articulated) motor Interstate commerce means trade, traf- vehicle. In the absence of a value speci- fic, or transportation in the United fied by the manufacturer, GCWR will States— be determined by adding the GVWR of (1) Between a place in a State and a the power unit and the total weight of place outside of such State (including a the towed unit and any load thereon. place outside of the United States); Gross vehicle weight rating (GVWR) (2) Between two places in a State means the value specified by the manu- through another State or a place out- facturer as the loaded weight of a sin- side of the United States; or gle motor vehicle. (3) Between two places in a State as Hazardous material means a substance part of trade, traffic, or transportation or material which has been determined originating or terminating outside the by the Secretary of Transportation to State or the United States. be capable of posing an unreasonable Intrastate commerce means any trade, risk to health, safety, and property traffic, or transportation in any State when transported in commerce, and which is not described in the term which has been so designated. ‘‘interstate commerce.’’
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Medical examiner means a person who Person means any individual, part- is licensed, certified, and/or registered, nership, association, corporation, busi- in accordance with applicable State ness trust, or any other organized laws and regulations, to perform phys- group of individuals. ical examinations. The term includes Principal place of business means the but is not limited to, doctors of medi- single location designated by the cine, doctors of osteopathy, physician motor carrier, normally its head- assistants, advanced practice nurses, quarters, for purposes of identification and doctors of chiropractic. under this subchapter. The motor car- Motor carrier means a for-hire motor rier must make records required by carrier or a private motor carrier. The parts 382, 387, 390, 391, 395, 396, and 397 term includes a motor carrier’s agents, of this subchapter available for inspec- officers and representatives as well as tion at this location within 48 hours employees responsible for hiring, su- (Saturdays, Sundays, and Federal holi- pervising, training, assigning, or dis- days excluded) after a request has been patching of drivers and employees con- made by a special agent or authorized cerned with the installation, inspec- representative of the Federal Highway tion, and maintenance of motor vehicle Administration. equipment and/or accessories. For pur- Private motor carrier means a person poses of subchapter B, this definition who provides transportation of prop- includes the terms employer, and exempt erty or passengers, by commercial motor carrier. motor vehicle, and is not a for-hire Motor vehicle means any vehicle, ma- motor carrier. chine, tractor, trailer, or semitrailer Private motor carrier of passengers propelled or drawn by mechanical (business) means a private motor car- power and used upon the highways in rier engaged in the interstate transpor- the transportation of passengers or tation of passengers which is provided in the furtherance of a commercial en- property, or any combination thereof terprise and is not available to the pub- determined by the Federal Highway lic at large. Administration, but does not include Private motor carrier of passengers any vehicle, locomotive, or car oper- (nonbusiness) means private motor car- ated exclusively on a rail or rails, or a rier involved in the interstate trans- trolley bus operated by electric power portation of passengers that does not derived from a fixed overhead wire, fur- otherwise meet the definition of a pri- nishing local passenger transportation vate motor carrier of passengers (busi- similar to street-railway service. ness). Multiple-employer driver means a driv- Radar detector means any device or er, who in any period of 7 consecutive mechanism to detect the emission of days, is employed or used as a driver by radio microwaves, laser beams or any more than one motor carrier. other future speed measurement tech- Operator — See driver. nology employed by enforcement per- Other terms — Any other term used in sonnel to measure the speed of com- this subchapter is used in its com- mercial motor vehicles upon public monly accepted meaning, except where roads and highways for enforcement such other term has been defined else- purposes. Excluded from this definition where in this subchapter. In that are radar detection devices that meet event, the definition therein given both of the following requirements: shall apply. (1) Transported outside the driver’s Out-of-service order means a declara- compartment of the commercial motor tion by an authorized enforcement offi- vehicle. For this purpose, the driver’s cer of a Federal, State, Canadian, compartment of a passenger-carrying Mexican, or local jurisdiction that a CMV shall include all space designed to driver, a commercial motor vehicle, or accommodate both the driver and the a motor carrier operation, is out-of- passengers; and service pursuant to §§ 386.72, 392.5, (2) Completely inaccessible to, inop- 395.13, 396.9, or compatible laws, or the erable by, and imperceptible to the North American Uniform Out-of-Serv- driver while operating the commercial ice Criteria. motor vehicle.
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Regional Director of Motor Carriers long or irregularly shaped loads such means the Director of the Office of as poles, pipes, or structural members, Motor Carriers, Federal Highway Ad- which generally are capable of sustain- ministration, for a given geographical ing themselves as beams between the region of the United States. supporting connections. Residential district means the terri- (c) Semitrailer means any motor vehi- tory adjacent to and including a high- cle, other than a pole trailer, which is way which is not a business district designed to be drawn by another motor and for a distance of 300 feet or more vehicle and is constructed so that some along the highway is primarily im- part of its weight rests upon the self- proved with residences. propelled towing motor vehicle. School bus means a passenger motor vehicle which is designed or used to Truck means any self-propelled com- carry more than 10 passengers in addi- mercial motor vehicle except a truck tion to the driver, and which the Sec- tractor, designed and/or used for the retary determines is likely to be sig- transportation of property. nificantly used for the purpose of Truck tractor means a self-propelled transporting preprimary, primary, or commercial motor vehicle designed secondary school students to such and/or used primarily for drawing other schools from home or from such vehicles. schools to home. United States means the 50 States and School bus operation means the use of the District of Columbia. a school bus to transport only school children and/or school personnel from [53 FR 18052, May 19, 1988] home to school and from school to EDITORIAL NOTE: For FEDERAL REGISTER ci- home. tations affecting § 390.5, see the List of CFR Secretary means the Secretary of Sections Affected in the Finding Aids sec- Transportation. tion of this volume. Single-employer driver means a driver who, in any period of 7 consecutive § 390.7 Rules of construction. days, is employed or used as a driver (a) In part 325 of subchapter A and in solely by a single motor carrier. This this subchapter, unless the context re- term includes a driver who operates a quires otherwise: commercial motor vehicle on an inter- (1) Words imparting the singular in- mittent, casual, or occasional basis. clude the plural; Special agent See appendix B to sub- (2) Words imparting the plural in- chapter B — Special agents. clude the singular; State means a State of the United (3) Words imparting the present tense States and the District of Columbia and includes a political subdivision of a include the future tense. State. (b) In this subchapter the word— Trailer includes: (1) Officer includes any person au- (a) Full trailer means any motor vehi- thorized by law to perform the duties cle other than a pole trailer which is of the office; designed to be drawn by another motor (2) Writing includes printing and vehicle and so constructed that no part typewriting; of its weight, except for the towing de- (3) Shall is used in an imperative vice, rests upon the self-propelled tow- sense; ing motor vehicle. A semitrailer (4) Must is used in an imperative equipped with an auxiliary front axle sense; (converter dolly) shall be considered a (5) Should is used in a recommenda- full trailer. tory sense; (b) Pole trailer means any motor vehi- (6) May is used in a permissive sense; cle which is designed to be drawn by and another motor vehicle and attached to (7) Includes is used as a word of inclu- the towing motor vehicle by means of a sion, not limitation. ‘‘reach’’ or ‘‘pole,’’ or by being ‘‘boomed’’ or otherwise secured to the [53 FR 18052, May 19, 1988, as amended at 60 towing motor vehicle, for transporting FR 38744, July 28, 1995]
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Subpart B—General Requirements (iv) Number of injuries, and Information (v) Number of fatalities, and (vi) Whether hazardous materials, § 390.9 State and local laws, effect on. other than fuel spilled from the fuel Except as otherwise specifically indi- tanks of motor vehicles involved in the cated, subchapter B of this chapter is accident, were released. not intended to preclude States or sub- (2) Copies of all accident reports re- divisions thereof from establishing or quired by State or other governmental enforcing State or local laws relating entities or insurers. to safety, the compliance with which would not prevent full compliance with (Approved by the Office of Management and Budget under control number 2125–0526) these regulations by the person subject thereto. [58 FR 6729, February 2, 1993, as amended at 60 FR 38744, July 28, 1995; 60 FR 44441, Aug. 28, § 390.11 Motor carrier to require ob- 1995] servance of driver regulations. Whenever in part 325 of subchapter A §§ 390.16—390.17 [Reserved] or in this subchapter a duty is pre- § 390.19 Additional equipment and ac- scribed for a driver or a prohibition is cessories. imposed upon the driver, it shall be the duty of the motor carrier to require ob- Nothing in this subchapter shall be servance of such duty or prohibition. If construed to prohibit the use of addi- the motor carrier is a driver, the driver tional equipment and accessories, not shall likewise be bound. inconsistent with or prohibited by this subchapter, provided such equipment § 390.13 Aiding or abetting violations. and accessories do not decrease the No person shall aid, abet, encourage, safety of operation of the commercial or require a motor carrier or its em- motor vehicles on which they are used. ployees to violate the rules of this [53 FR 18052, May 19, 1988, as amended at 60 chapter. FR 38744, July 28, 1995] § 390.15 Assistance in investigations and special studies. § 390.21 Marking of commercial motor vehicles. (a) A motor carrier shall make all records and information pertaining to (a) General. Every self-propelled com- an accident available to an authorized mercial motor vehicle operated in representative or special agent of the interstate commerce and subject to the Federal Highway Administration upon rules of subchapter B of this chapter request or as part of any inquiry within must be marked as specified in para- such time as the request or inquiry graphs (b), (c) and (d) of this section. may specify. A motor carrier shall give Self-propelled commercial motor vehi- an authorized representative of the cles operated by for-hire motor carriers Federal Highway Administration all under authority issued by the Inter- reasonable assistance in the investiga- state Commercial Commission (ICC) tion of any accident including provid- may meet the requirements of this sec- ing a full, true and correct answer to tion by complying with the marking any question of the inquiry. requirements set forth in 49 CFR part (b) Motor carriers shall maintain for 390, subpart D. a period of one year after an accident (b) Nature of marking. The marking occurs, an accident register containing must display the following informa- at least the following information: tion: (1) A list of accidents containing for (1) The name or trade name of the each accident: motor carrier operating the self-pro- (i) Date of accident, pelled commercial motor vehicle. (ii) City or town in which or most (2) The city or community and State near where the accident occurred and (name abbreviated), in which the car- the State in which the accident oc- rier maintains its principal place of curred, business or in which the commercial (iii) Driver name, motor vehicle is customarily based.
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(3) The motor carrier identification ness or in which the commercial motor number, if issued by the FHWA, pre- vehicle is customarily based is dis- ceded by the letters ‘‘USDOT’’. played in accordance with paragraphs (4) If the name of any person other (c) and (d) of this section; than the operating carrier appears on (iii) The lessor’s identification num- the commercial motor vehicle operated ber, issued by the FHWA, preceded by under its own power, either alone or in the letters ‘‘USDOT’’ is displayed in combination, the name of the operat- accordance with paragraphs (c) and (d) ing carrier shall be followed by the in- of this section; and formation required by paragraphs (iv) The rental agreement entered (b)(1), (2), and (3) of this section, and be into by the lessor and the renting preceded by the words ‘‘operated by.’’ motor carrier conspicuously contains (5) Other identifying information the following information: may be displayed on the commercial (A) The name and complete physical motor vehicle if it is not inconsistent address of the principal place of busi- with the information required by this ness of the renting motor carrier; paragraph. (B) The identification number issued (c) Size, shape, location, and color of the renting motor carrier by the Fed- marking. The marking must— eral Highway Administration, preceded (1) Appear on both sides of the self- by the letters ‘‘USDOT,’’ if the motor propelled commercial motor vehicle; carrier has been issued such a number. (2) Be in letters that contrast sharply In lieu of the identification number re- in color with the background on which quired in this paragraph, the following the letters are placed; may be shown: (3) Be readily legible, during daylight (1) Information which will indicate if hours, from a distance of 50 feet while the motor carrier is engaged in ‘‘inter- the commercial motor vehicle is sta- state’’ or ‘‘intrastate’’ commerce; and tionary; and (2) Information which will indicate if (4) Be kept and maintained in a man- the renting motor carrier is transport- ner that retains the legibility required ing hazardous materials in the rented by paragraph (c)(3) of this section. commercial motor vehicle; (d) Construction and durability. The (C) The sentence: ‘‘This lessor co- marking may be painted on the com- operates with all federal, state, and mercial motor vehicle or may consist local law enforcement officials nation- of a removable device, if that device wide to provide the identity of cus- meets the identification and legibility tomers who operate this rental com- requirements of this section, and such mercial motor vehicle;’’ and marking shall be maintained in such a manner as to remain legible as re- (v) The rental agreement entered quired by this section. into by the lessor and the renting (e) Rented commercial motor vehicles. A motor carrier is carried on the rental motor carrier operating a self-pro- commercial motor vehicle during the pelled commercial motor vehicle under full term of the rental agreement. a rental agreement having a term not [53 FR 18052, May 19, 1988; 53 FR 27689, July in excess of 30 calendar days may meet 22, 1988, as amended at 53 FR 47543, Nov. 23, the requirements of this section in ei- 1988; 55 FR 6993, Feb. 28, 1990; 57 FR 3142, Jan. ther one of two ways: 28, 1992; 60 FR 38744, July 28, 1995; 62 FR 49942, (1) The commercial motor vehicle is Sept. 24, 1997] marked in accordance with the provi- sions of paragraphs (b) through (d) of § 390.23 Relief from regulations. this section; or (a) Parts 390 through 399 of this chap- (2) The commercial motor vehicle is ter shall not apply to any motor car- marked as set forth below: rier or driver operating a commercial (i) The name or trade name of the motor vehicle to provide emergency re- lessor is displayed in accordance with lief during an emergency, subject to paragraphs (c) and (d) of this section; the following time limits: (ii) The city or community and State (1) Regional emergencies. (i) The ex- (name abbreviated), in which the lessor emption provided by paragraph (a)(1) of maintians its principal place of busi- this section is effective only when:
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(A) An emergency has been declared may return empty to the motor car- by the President of the United States, rier’s terminal or the driver’s normal the Governor of a State, or their au- work reporting location without com- thorized representatives having au- plying with parts 390 through 399 of thority to declare emergencies; or this chapter. However, a driver who in- (B) The Regional Director of Motor forms the motor carrier that he or she Carriers has declared that a regional needs immediate rest shall be per- emergency exists which justifies an ex- mitted at least 8 consecutive hours off emption from parts 390 through 399 of duty before the driver is required to re- this chapter. turn to such terminal or location. Hav- (ii) Except as provided in § 390.25, this ing returned to the terminal or other exemption shall not exceed the dura- location, the driver must be relieved of tion of the motor carrier’s or driver’s all duty and responsibilities. Direct as- direct assistance in providing emer- sistance terminates when a driver or gency relief, or 30 days from the date of commercial motor vehicle is used in the initial declaration of the emer- interstate commerce to transport gency or the exemption from the regu- cargo not destined for the emergency lations by the Regional Director of relief effort, or when the motor carrier Motor Carriers, whichever is less. dispatches such driver or commercial (2) Local emergencies. (i) The exemp- motor vehicle to another location to tion provided by paragraph (a)(2) of begin operations in commerce. this section is effective only when: (c) When the driver has been relieved (A) An emergency has been declared of all duty and responsibilities upon by a Federal, State or local govern- termination of direct assistance to a ment official having authority to de- regional or local emergency relief ef- clare an emergency; or fort, no motor carrier shall permit or (B) The Regional Director of Motor require any driver used by it to drive Carriers has declared that a local nor shall any such driver drive in com- emergency exists which justifies an ex- merce until: emption from parts 390 through 399 of (1) The driver has met the require- this chapter. ments of § 395.3(a) of this chapter; and (ii) This exemption shall not exceed (2) The driver has had at least 24 con- the duration of the motor carrier’s or secutive hours off-duty when: driver’s direct assistance in providing (A) The driver has been on duty for emergency relief, or 5 days from the more than 60 hours in any 7 consecu- date of the initial declaration of the tive days at the time the driver is re- emergency or the exemption from the lieved of all duty if the employing regulations by the Regional Director of motor carrier does not operate every Motor Carriers, whichever is less. day in the week, or (3) Tow trucks responding to emer- (B) The driver has been on duty for gencies. (i) The exemption provided by more than 70 hours in any 8 consecu- paragraph (a)(3) of this section is effec- tive days at the time the driver is re- tive only when a request has been made lieved of all duty if the employing by a Federal, State or local police offi- motor carrier operates every day in the cer for tow trucks to move wrecked or week. disabled motor vehicles. [57 FR 33647, July 30, 1992, as amended at 60 (ii) This exemption shall not exceed FR 38744, July 28, 1995] the length of the motor carrier’s or driver’s direct assistance in providing § 390.25 Extension of relief from regu- emergency relief, or 24 hours from the lations—emergencies. time of the initial request for assist- The Regional Director of Motor Car- ance by the Federal, State or local po- riers may extend the 30-day time pe- lice officer, whichever is less. riod of the exemption contained in (b) Upon termination of direct assist- § 390.23(a)(1), but not the 5-day time pe- ance to the regional or local emer- riod contained in § 390.23(a)(2) or the 24- gency relief effort, the motor carrier or hour period contained in § 390.23(a)(3). driver is subject to the requirements of Any motor carrier or driver seeking to parts 390 through 399 of this chapter, extend the 30-day limit shall obtain ap- with the following exception: A driver proval from the Regional Director of
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Motor Carriers in the region in which the nature of the relief services to be the motor carrier’s principal place of provided by the carrier or driver. If the business is located before the expira- Regional Director of Motor Carriers ap- tion of the 30-day period. The motor proves an extension of the exemption, carrier or driver shall give full details he or she shall establish a new time of the additional relief requested. The limit and place on the motor carrier or Regional Director of Motor Carriers driver any other restrictions deemed shall determine if such relief is nec- necessary. essary taking into account both the se- verity of the ongoing emergency and [57 FR 33647, July 30, 1992]
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§ 390.29 Location of records or docu- all such forms, but an identified speci- ments. men of each form shall be on the film (a) A motor carrier with multiple of- for reference. fices or terminals may maintain the (4) Film used for photographing cop- records and documents required by this ies shall be of permanent record-type subchapter at its principal place of meeting in all respects the minimum business, a regional office, or driver specifications of the National Bureau work-reporting location unless other- of Standards, and all processes rec- wise specified in this subchapter. ommended by the manufacturer shall (b) All records and documents re- be observed to protect it from deterio- quired by this subchapter which are ration or accidental destruction. maintained at a regional office or driv- (5) Each roll of film shall include a er work-reporting location shall be microfilm of a certificate or certifi- made available for inspection upon re- cates stating that the photographs are quest by a special agent or authorized representative of the Federal Highway direct or facsimile reproductions of the Administration at the motor carrier’s original records. Such certificate(s) principal place of business or other lo- shall be executed by a person or per- cation specified by the agent or rep- sons having personal knowledge of the resentative within 48 hours after a re- material covered thereby. quest is made. Saturdays, Sundays, and (c) All records and documents re- Federal holidays are excluded from the quired to be maintained under this sub- computation of the 48-hour period of chapter may be destroyed after they time. have been suitably photographed for [63 FR 33276, June 18, 1998] preservation. (d) Exception. All records except those § 390.31 Copies of records or docu- requiring a signature may be main- ments. tained through the use of computer (a) All records and documents re- technology provided the motor carrier quired to be maintained under this sub- can produce, upon demand, a computer chapter must be preserved in their printout of the required data. original form for the periods specified, unless the records and documents are § 390.33 Commercial motor vehicles suitably photographed and the micro- used for purposes other than de- film is retained in lieu of the original fined. record for the required retention pe- Whenever a commercial motor vehi- riod. cle of one type is used to perform the (b) To be acceptable in lieu of origi- functions normally performed by a nal records, photographic copies of commercial motor vehicle of another records must meet the following mini- type, the requirements of this sub- mum requirements: chapter and part 325 of subchapter A (1) Photographic copies shall be no shall apply to the commercial motor less readily accessible than the origi- vehicle and to its operation in the nal record or document as normally same manner as though the commer- filed or preserved would be and suitable means or facilities shall be available to cial motor vehicle were actually a locate, identify, read, and reproduce commercial motor vehicle of the latter such photographic copies. type. Example: If a commercial motor (2) Any significant characteristic, vehicle other than a bus is used to per- feature or other attribute of the origi- form the functions normally performed nal record or document, which photog- by a bus, the regulations pertaining to raphy in black and white will not pre- buses and to the transportation of pas- serve, shall be clearly indicated before sengers shall apply to that commercial the photograph is made. motor vehicle. (3) The reverse side of printed forms need not be copied if nothing has been [53 FR 18052, May 19, 1988, as amended at 60 FR 38744, July 28, 1995] added to the printed matter common to
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§ 390.35 Certificates, reports, and type vehicles with a capacity of six or records: Falsification, reproduction, fewer passengers. or alteration. [55 FR 11199, Mar. 27, 1990. Redesignated at 61 No motor carrier, its agents, officers, FR 54710, Oct. 21, 1996; 62 FR 49942, Sept. 24, representatives, or employees shall 1997] make or cause to make— (a) A fraudulent or intentionally § 390.403 Method of identification. false statement on any application, Each vehicle operated under its own certificate, report, or record required power shall display on both sides the by part 325 of subchapter A or this sub- name (or trade name) and ‘‘MC’’ num- chapter; ber(s) of the carrier under whose au- (b) A fraudulent or intentionally thority the vehicle is being operated. false entry on any application, certifi- The ‘‘MC’’ number(s) shall be in the cate, report, or record required to be following form: ‘‘I.C.C. MC– used, completed, or retained, to comply llllll’’ but shall not include any with any requirement of this sub- sub numbers. The name of any other chapter or part 325 of subchapter A; or person operating the vehicle shall ap- (c) A reproduction, for fraudulent pear on the vehicle following the words purposes, of any application, certifi- ‘‘operated by’’ in addition to the other cate, report, or record required by this information required by this section. subchapter or part 325 of subchapter A. Additional identification may be dis- played if consistent with these rules. § 390.37 Violation and penalty. § 390.405 Size, shape, and color. Any person who violates the rules set forth in this subchapter or part 325 of The name(s) and number(s) pre- subchapter A may be subject to civil or scribed above shall be displayed, by re- criminal penalties. movable device if desired, in letters and figures in sharp color contrast to Subpart C [Reserved] their background, and they shall be of a size, shape, and color readily legible in daylight from a distance of 50 feet Subpart D—Identification of while the vehicle is stationary. Vehicles § 390.407 Driveaway service. AUTHORITY: 49 U.S.C. 10922, 10530, and 11106; In driveaway service, a removable de- 5 U.S.C. 553. vice may be affixed on both sides or at SOURCE: 55 FR 11199, Mar. 27, 1990, unless the rear of the single driven vehicle. In otherwise noted. Redesignated at 61 FR 54710, a combination driveaway operation, Oct. 21, 1996. the device may be affixed on both sides of any one unit or at the rear of the § 390.401 Applicability. last unit. These rules govern all for-hire motor carriers except those providing: PART 391—QUALIFICATIONS OF (a) Joint, through, regular-route pas- DRIVERS senger service under continuing lease or interchange arrangements, if the ve- Subpart A—General hicle owner’s name and ‘‘MC’’ number are displayed as prescribed at § 390.403, Sec. and if the carriers have filed with the 391.1 Scope of the rules in this part; addi- Commission’s appropriate Regional Di- tional qualifications; duties of carrier- rector(s) and posted in each terminal drivers. and ticket agency on the involved 391.2 General exemptions. routes a published schedule showing the points between which each joint Subpart B—Qualification and carrier assumes control and respon- Disqualification of Drivers sibility for the vehicle’s operation; and 391.11 General qualifications of drivers. (b) Nonscheduled, charter, luxury- 391.13 Responsibilities of drivers. type passenger service using limousine- 391.15 Disqualification of drivers.
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Subpart C—Background and Character respect to the qualifications of their drivers. 391.21 Application for employment. 391.23 Investigation and inquiries. (b) A motor carrier who employs 391.25 Annual inquiry and review of driving himself/herself as a driver must comply record. with both the rules in this part that 391.27 Record of violations. apply to motor carriers and the rules in this part that apply to drivers. Subpart D—Tests [35 FR 6460, Apr. 22, 1970, as amended at 53 391.31 Road test. FR 18057, May 19, 1988; 60 FR 38744, July 28, 391.33 Equivalent of road test. 1995]
Subpart E—Physical Qualifications and § 391.2 General exemptions. Examinations (a) Farm custom operation. The rules 391.41 Physical qualifications for drivers. in this part do not apply to a driver 391.43 Medical examination; certificate of who drives a commercial motor vehicle physical examination. controlled and operated by a person en- 391.45 Persons who must be medically exam- ined and certified. gaged in custom-harvesting operations, 391.47 Resolution of conflicts of medical if the commercial motor vehicle is used evaluation. to— 391.49 Waiver of certain physical defects. (1) Transport farm machinery, sup- plies, or both, to or from a farm for Subpart F—Files and Records custom-harvesting operations on a 391.51 General requirements for driver qual- farm; or ification files. (2) Transport custom-harvested crops to storage or market. Subpart G—Limited Exemptions (b) Apiarian industries. The rules in 391.61 Drivers who were regularly employed this part do not apply to a driver who before January 1, 1971. is operating a commercial motor vehi- 391.62 Limited exemptions for intra-city cle controlled and operated by a bee- zone drivers. keeper engaged in the seasonal trans- 391.63 Multiple-employer drivers. portation of bees. 391.64 Grandfathering for certain drivers participating in vision and diabetes waiv- (c) Certain farm vehicle drivers. The er study programs. rules in this part do not apply to a 391.65 Drivers furnished by other motor car- farm vehicle driver except a farm vehi- riers. cle driver who drives an articulated 391.67 Farm vehicle drivers of articulated (combination) commercial motor vehi- commercial motor vehicles. cle, as defined in § 390.5. (For limited 391.68 Private motor carrier of passengers exemptions for farm vehicle drivers of (nonbusiness). articulated commercial motor vehicles, 391.69 Private motor carrier of passengers (business). see § 391.67.) 391.71 [Reserved] [36 FR 24219, Dec. 22, 1971, as amended at 37 AUTHORITY: 49 U.S.C. 504, 31133, 31136, and FR 26112, Dec. 8, 1972; 54 FR 12202, Mar. 24, 31502; and 49 CFR 1.48. 1989; 60 FR 38745, July 28, 1995; 61 FR 13346, Mar. 26, 1996; 61 FR 17253, Apr. 19, 1996] SOURCE: 35 FR 6460, Apr. 22, 1970, unless otherwise noted. Subpart B—Qualification and Subpart A—General Disqualification of Drivers § 391.1 Scope of the rules in this part; § 391.11 General qualifications of driv- additional qualifications; duties of ers. carrier-drivers. (a) A person shall not drive a com- (a) The rules in this part establish mercial motor vehicle unless he/she is minimum qualifications for persons qualified to drive a commercial motor who drive commercial motor vehicles vehicle. Except as provided in § 391.63, a as, for, or on behalf of motor carriers. motor carrier shall not require or per- The rules in this part also establish mit a person to drive a commercial minimum duties of motor carriers with motor vehicle unless that person is
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qualified to drive a commercial motor baggage in a passenger-carrying com- vehicle. mercial motor vehicle) has been prop- (b) Except as provided in subpart G of erly located, distributed, and secured this part, a person is qualified to drive in or on the commercial motor vehicle a motor vehicle if he/she— he/she drives; (1) Is at least 21 years old; (b) Is familiar with methods and pro- (2) Can read and speak the English cedures for securing cargo in or on the language sufficiently to converse with commercial motor vehicle he/she the general public, to understand high- drives. way traffic signs and signals in the [63 FR 33277, June 18, 1998] English language, to respond to official inquiries, and to make entries on re- § 391.15 Disqualification of drivers. ports and records; (a) General. A driver who is disquali- (3) Can, by reason of experience, fied shall not drive a commercial training, or both, safely operate the motor vehicle. A motor carrier shall type of commercial motor vehicle he/ not require or permit a driver who is she drives; disqualified to drive a commercial (4) Is physically qualified to drive a motor vehicle. commercial motor vehicle in accord- (b) Disqualification for loss of driving ance with subpart E—Physical Quali- privileges. (1) A driver is disqualified for fications and Examinations of this the duration of the driver’s loss of his/ part; her privilege to operate a commercial (5) Has a currently valid commercial motor vehicle on public highways, ei- motor vehicle operator’s license issued ther temporarily or permanently, by only by one State or jurisdiction; reason of the revocation, suspension, (6) Has prepared and furnished the withdrawal, or denial of an operator’s motor carrier that employs him/her license, permit, or privilege, until that with the list of violations or the cer- operator’s license, permit, or privilege tificate as required by § 391.27; is restored by the authority that re- (7) Is not disqualified to drive a com- voked, suspended, withdrew, or denied mercial motor vehicle under the rules it. in § 391.15; and (2) A driver who receives a notice (8) Has successfully completed a driv- that his/her license, permit, or privi- er’s road test and has been issued a cer- lege to operate a commercial motor ve- tificate of driver’s road test in accord- hicle has been revoked, suspended, or ance with § 391.31, or has presented an withdrawn shall notify the motor car- operator’s license or a certificate of rier that employs him/her of the con- road test which the motor carrier that tents of the notice before the end of the employs him/her has accepted as equiv- business day following the day the alent to a road test in accordance with driver received it. § 391.33. (c) Disqualification for criminal and other offenses— (1) General rule. A driver [35 FR 6460, Apr. 22, 1970, as amended at 35 FR 17420, Nov. 13, 1970; 35 FR 19181, Dec. 18, who is convicted of (or forfeits bond or 1970; 36 FR 222, Jan. 7, 1971, 36 FR 24220, Dec. collateral upon a charge of) a disquali- 22, 1971; 45 FR 46424, July 10, 1980; 52 FR 20589, fying offense specified in paragraph June 1, 1987; 59 FR 60323, Nov. 23, 1994; 60 FR (c)(2) of this section is disqualified for 38744, 38745, July 28, 1995; 63 FR 33276, June the period of time specified in para- 18, 1998] graph (c)(3) of this section, if— (i) The offense was committed during § 391.13 Responsibilities of drivers. on-duty time as defined in § 395.2(a) of In order to comply with the require- this subchapter or as otherwise speci- ments of § 392.9(a) and § 393.9 of this fied; and subchapter, a motor carrier shall not (ii) The driver is employed by a require or permit a person to drive a motor carrier or is engaged in activi- commercial motor vehicle unless the ties that are in furtherance of a com- person— mercial enterprise in interstate, intra- (a) Can, by reason of experience, state, or foreign commerce; training, or both, determine whether (2) Disqualifying offenses. The follow- the cargo he/she transports (including ing offenses are disqualifying offenses:
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(i) Driving a commercial motor vehi- driver who is convicted of violating an cle while under the influence of alco- out-of-service order is disqualified for hol. This shall include: the period of time specified in para- (A) Driving a commercial motor ve- graph (d)(2) of this section. hicle while the person’s alcohol con- (2) Duration of disqualification for vio- centration is 0.04 percent or more; lation of out-of-service orders—(i) First (B) Driving under the influence of al- violation. A driver is disqualified for cohol, as prescribed by State law; or not less than 90 days nor more than one (C) Refusal to undergo such testing year if the driver is convicted of a first as is required by any State or jurisdic- tion in the enforcement of violation of an out-of-service order. § 391.15(c)(2)(i) (A) or (B), or § 392.5(a)(2). (ii) Second violation. A driver is dis- (ii) Driving a commercial motor vehi- qualified for not less than one year nor cle under the influence of a 21 CFR more than five years if, during any 10- 1308.11 Schedule I identified controlled year period, the driver is convicted of substance, an amphetamine, a narcotic two violations of out-of-service orders drug, a formulation of an amphet- in separate incidents. amine, or a derivative of a narcotic (iii) Third or subsequent violation. A drug; driver is disqualified for not less than (iii) Transportation, possession, or three years nor more than five years if, unlawful use of a 21 CFR 1308.11 Sched- during any 10-year period, the driver is ule I identified controlled substance, convicted of three or more violations amphetamines, narcotic drugs, formu- of out-of-service orders in separate in- lations of an amphetamine, or deriva- cidents. tives of narcotic drugs while the driver (iv) Special rule for hazardous materials is on duty, as the term on-duty time is and passenger offenses. A driver is dis- defined in § 395.2 of this subchapter; qualified for a period of not less than (iv) Leaving the scene of an accident while operating a commercial motor 180 days nor more than two years if the vehicle; or driver is convicted of a first violation (v) A felony involving the use of a of an out-of-service order while trans- commercial motor vehicle. porting hazardous materials required (3) Duration of disqualification—(i) to be placarded under the Hazardous First offenders. A driver is disqualified Materials Transportation Act (49 for 1 year after the date of conviction U.S.C. 5101 et seq.), or while operating or forfeiture of bond or collateral if, commercial motor vehicles designed to during the 3 years preceding that date, transport more than 15 passengers, in- the driver was not convicted of, or did cluding the driver. A driver is disquali- not forfeit bond or collateral upon a fied for a period of not less than three charge of an offense that would dis- years nor more than five years if, dur- qualify the driver under the rules of ing any 10-year period, the driver is this section. Exemption. The period of convicted of any subsequent violations disqualification is 6 months if the con- of out-of-service orders, in separate in- viction or forfeiture of bond or collat- cidents, while transporting hazardous eral soley concerned the transportation materials required to be placarded or possession of substances named in under the Hazardous Materials Trans- paragraph (c)(2)(iii) of this section. portation Act, or while operating com- (ii) Subsequent offenders. A driver is mercial motor vehicles designed to disqualified for 3 years after the date of transport more than 15 passengers, in- his/her conviction or forfeiture of bond or collateral if, during the 3 years pre- cluding the driver. ceding that date, he/she was convicted [37 FR 24902, Nov. 23, 1972, as amended at 49 of, or forfeited bond or collateral upon FR 44215, Nov. 5, 1984; 51 FR 8200, Mar. 10, a charge of, an offense that would dis- 1986; 53 FR 18057, May 19, 1988; 53 FR 39051, qualify him/her under the rules in this Oct. 4, 1988; 54 FR 40788, Oct. 3, 1989; 59 FR section. 26028, May 18, 1994; 60 FR 38744, 38745, July 28, (d) Disqualification for violation of out- 1995; 62 FR 37152, July 11, 1997; 63 FR 33277, of-service orders—(1) General rule. A June 18, 1998]
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Subpart C—Background and license, permit, or privilege to operate Character a motor vehicle that has been issued to the applicant, or a statement that no § 391.21 Application for employment. such denial, revocation, or suspension (a) Except as provided in subpart G of has occurred; this part, a person shall not drive a (10) A list of the names and addresses commercial motor vehicle unless he/ of the applicant’s employers during the she has completed and furnished the 3 years preceding the date the applica- motor carrier that employs him/her tion is submitted, together with the with an application for employment dates he/she was employed by, and his/ that meets the requirements of para- her reason for leaving the employ of, graph (b) of this section. each employer; (b) The application for employment (11) For those drivers applying to op- shall be made on a form furnished by erate a commercial motor vehicle as the motor carrier. Each application defined by Part 383 of this subchapter, form must be completed by the appli- a list of the names and addresses of the cant, must be signed by him/her, and applicant’s employers during the 7-year must contain the following informa- period preceding the 3 years contained tion: in paragraph (b)(10) of this section for (1) The name and address of the em- which the applicant was an operator of ploying motor carrier; a commercial motor vehicle, together (2) The applicant’s name, address, with the dates of employment and the date of birth, and social security num- reasons for leaving such employment; ber; and (3) The addresses at which the appli- (12) The following certification and cant has resided during the 3 years pre- signature line, which must appear at ceding the date on which the applica- the end of the application form and be tion is submitted; signed by the applicant: (4) The date on which the application This certifies that this application was is submitted; completed by me, and that all entries on it (5) The issuing State, number, and and information in it are true and complete expiration date of each unexpired com- to the best of my knowledge. mercial motor vehicle operator’s li- ——————————————————————— (Date) cense or permit that has been issued to ——————————————————————— the applicant; (Applicant’s signature) (6) The nature and extent of the ap- plicant’s experience in the operation of (c) A motor carrier may require an motor vehicles, including the type of applicant to provide information in ad- equipment (such as buses, trucks, dition to the information required by truck tractors, semitrailers, full trail- paragraph (b) of this section on the ap- ers, and pole trailers) which he/she has plication form. operated; (d) Before an application is submit- (7) A list of all motor vehicle acci- ted, the motor carrier shall inform the dents in which the applicant was in- applicant that the information he/she volved during the 3 years preceding the provides in accordance with paragraph date the application is submitted, (b) (10) of this section may be used, and specifying the date and nature of each the applicant’s prior employers may be accident and any fatalities or personal contacted, for the purpose of inves- injuries it caused; tigating the applicant’s background as (8) A list of all violations of motor required by § 391.23. vehicle laws or ordinances (other than [35 FR 6460, Apr. 22, 1970, as amended at 35 violations involving only parking) of FR 17420, Nov. 13, 1970; 52 FR 20589, June 1, which the applicant was convicted or 1987; 60 FR 38744, July 28, 1995] forfeited bond or collateral during the 3 years preceding the date the applica- § 391.23 Investigation and inquiries. tion is submitted; (a) Except as provided in subpart G of (9) A statement setting forth in de- this part, each motor carrier shall tail the facts and circumstances of any make the following investigations and denial, revocation, or suspension of any inquiries with respect to each driver it
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employs, other than a person who has (b) Except as provided in subpart G of been a regularly employed driver of the this part, each motor carrier shall, at motor carrier for a continuous period least once every 12 months, review the which began before January 1, 1971: driving record of each driver it em- (1) An inquiry into the driver’s driv- ploys to determine whether that driver ing record during the preceding 3 years meets minimum requirements for safe to the appropriate agency of every driving or is disqualified to drive a State in which the driver held a motor commercial motor vehicle pursuant to vehicle operator’s license or permit § 391.15. during those 3 years; and (1) The motor carrier must consider (2) An investigation of the driver’s any evidence that the driver has vio- employment record during the preced- lated any applicable Federal Motor ing 3 years. Carrier Safety Regulations in this sub- (b) The inquiry to State agencies re- chapter or Hazardous Materials Regu- quired by paragraph (a)(1) of this sec- lations (49 CFR chapter I, subchapter tion must be made within 30 days of C). the date the driver’s employment be- (2) The motor carrier must consider gins and shall be made in the form and the driver’s accident record and any manner those agencies prescribe. A evidence that the driver has violated copy of the response by each State laws governing the operation of motor agency, showing the driver’s driving vehicles, and must give great weight to record or certifying that no driving violations, such as speeding, reckless record exists for that driver, shall be driving, and operating while under the retained in the carrier’s files as part of influence of alcohol or drugs, that indi- the driver’s qualification file. cate that the driver has exhibited a dis- (c) The investigation of the driver’s regard for the safety of the public. employment record required by para- (c) Recordkeeping. (1) A copy of the graph (a)(2) of this section must be response from each State agency to the made within 30 days of the date his/her inquiry required by paragraph (a) of employment begins. The investigation this section shall be maintained in the may consist of personal interviews, driver’s qualification file. telephone interviews, letters, or any (2) A note, including the name of the other method of obtaining information person who performed the review of the that the carrier deems appropriate. driving record required by paragraph Each motor carrier must make a writ- (b) of this section and the date of such ten record with respect to each past review, shall be maintained in the driv- employer who was contacted. The er’s qualification file. record must include the past employ- er’s name and address, the date he/she [63 FR 33277, June 18, 1998] was contacted, and his/her comments with respect to the driver. The record § 391.27 Record of violations. shall be retained in the motor carrier’s (a) Except as provided in subpart G of files as part of the driver’s qualifica- this part, each motor carrier shall, at tion file. least once every 12 months, require [35 FR 6460, Apr. 22, 1970, as amended at 35 each driver it employs to prepare and FR 17420, Nov. 13, 1970] furnish it with a list of all violations of motor vehicle traffic laws and ordi- § 391.25 Annual inquiry and review of nances (other than violations involving driving record. only parking) of which the driver has (a) Except as provided in subpart G of been convicted or on account of which this part, each motor carrier shall, at he/she has forfeited bond or collateral least once every 12 months, make an during the preceding 12 months. inquiry into the driving record of each (b) Each driver shall furnish the list driver it employs, covering at least the required in accordance with paragraph preceding 12 months, to the appro- (a) of this section. If the driver has not priate agency of every State in which been convicted of, or forfeited bond or the driver held a commercial motor ve- collateral on account of, any violation hicle operator’s license or permit dur- which must be listed, he/she shall so ing the time period. certify.
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(c) The form of the driver’s list or (c) The road test must be of sufficient certification shall be prescribed by the duration to enable the person who motor carrier. The following form may gives it to evaluate the skill of the per- be used to comply with this section: son who takes it at handling the com- mercial motor vehicle, and associated DRIVER’S CERTIFICATION equipment, that the motor carriers in- I certify that the following is a true and tends to assign to him/her. As a mini- complete list of traffic violations (other than mum, the person who takes the test parking violations) for which I have been convicted or forfeited bond or collateral dur- must be tested, while operating the ing the past 12 months. type of commercial motor vehicle the Date of conviction Offense motor carrier intends to assign him/ Location Type of motor vehicle operated her, on his/her skill at performing each If no violations are listed above, I certify of the following operations: that I have not been convicted or forfeited (1) The pretrip inspection required by bond or collateral on account of any viola- § 392.7 of this subchapter; tion required to be listed during the past 12 (2) Coupling and uncoupling of com- months. bination units, if the equipment he/she (Date of certification) (Driver’s signature) may drive includes combination units; (Motor carrier’s name) (3) Placing the commercial motor ve- hicle in operation; (Motor carrier’s address) (4) Use of the commercial motor ve- (Reviewed by: Signature) (Title) hicle’s controls and emergency equip- (d) The motor carrier shall retain the ment; list or certificate required by this sec- (5) Operating the commercial motor tion, or a copy of it, in its files as part vehicle in traffic and while passing of the driver’s qualification file. other motor vehicles; (e) Drivers who have provided infor- (6) Turning the commercial motor mation required by § 383.31 of this sub- vehicle; chapter need not repeat that informa- (7) Braking, and slowing the commer- tion in the annual list of violations re- cial motor vehicle by means other than quired by this section. braking; and [35 FR 6460, Apr. 22, 1970, as amended at 35 (8) Backing and parking the commer- FR 17420, Nov. 13, 1970; 52 FR 20589, June 1, cial motor vehicle. 1987; 60 FR 38745, July 28, 1995] (d) The motor carrier shall provide a road test form on which the person who Subpart D—Tests gives the test shall rate the perform- ance of the person who takes it at each § 391.31 Road test. operation or activity which is a part of (a) Except as provided in subpart G, a the test. After he/she completes the person shall not drive a commercial form, the person who gave the test motor vehicle unless he/she has first shall sign it. successfully completed a road test and (e) If the road test is successfully has been issued a certificate of driver’s completed, the person who gave it shall road test in accordance with this sec- complete a certificate of driver’s road tion. test in substantially the form pre- (b) The road test shall be given by scribed in paragraph (f) of this section. the motor carrier or a person des- (f) The form for the certificate of ignated by it. However, a driver who is driver’s road test is substantially as a motor carrier must be given the test follows: by a person other than himself/herself. The test shall be given by a person who CERTIFICATION OF ROAD TEST is competent to evaluate and deter- Driver’s name llllllllllllllll mine whether the person who takes the Social Security No lllllllllllll test has demonstrated that he/she is Operator’s or Chauffeur’s License No llll capable of operating the commercial State llllllllllllllllllll motor vehicle, and associated equip- Type of power unit llllll Type of trail- ment, that the motor carrier intends to er(s) llllllllllllllllllll assign him/her. If passenger carrier, type of bus llllll
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This is to certify that the above-named (c) A motor carrier may require any driver was given a road test under my super- person who presents a license or cer- vision on llllll, 19ll, consisting of tificate as equivalent to the road test lll approximately miles of driving. to take a road test or any other test of It is my considered opinion that this driver possesses sufficient driving skill to operate his/her driving skill as a condition to safely the type of commercial motor vehicle his/her employment as a driver. listed above. [35 FR 6460, Apr. 22, 1970, as amended at 60 FR 38744, July 28, 1995; 63 FR 33277, June 18, (Signature of examiner) 1998]
(Title) Subpart E—Physical Qualifications (Organization and address of examiner) and Examinations
(g) A copy of the certificate required § 391.41 Physical qualifications for by paragraph (e) of this section shall be drivers. given to the person who was examined. (a) A person shall not drive a com- The motor carrier shall retain in the mercial motor vehicle unless he/she is driver qualification file of the person physically qualified to do so and, ex- who was examined— cept as provided in § 391.67, has on his/ (1) The original of the signed road her person the original, or a photo- test form required by paragraph (d) of graphic copy, of a medical examiner’s this section; and certificate that he/she is physically (2) The original, or a copy of, the cer- qualified to drive a commercial motor tificate required by paragraph (e) of vehicle. this section. (b) A person is physically qualified to [35 FR 6460, Apr. 22, 1970, as amended at 36 drive a commercial motor vehicle if FR 223, Jan. 7, 1971; 59 FR 8752, Feb. 23, 1994; that person— 60 FR 38744, July 28, 1995] (1) Has no loss of a foot, a leg, a hand, or an arm, or has been granted a waiv- § 391.33 Equivalent of road test. er pursuant to § 391.49; (a) In place of, and as equivalent to, (2) Has no impairment of: the road test required by § 391.31, a per- (i) A hand or finger which interferes son who seeks to drive a commercial with prehension or power grasping; or motor vehicle may present, and a (ii) An arm, foot, or leg which inter- motor carrier may accept— feres with the ability to perform nor- (1) A valid Commercial Driver’s Li- mal tasks associated with operating a cense as defined in § 383.5 of this sub- commercial motor vehicle; or any chapter, but not including double/triple other significant limb defect or limita- trailer or tank vehicle endorsements, tion which interferes with the ability which has been issued to him/her to op- to perform normal tasks associated erate specific categories of commercial with operating a commercial motor ve- motor vehicles and which, under the hicle; or has been granted a waiver pur- laws of that State, licenses him/her suant to § 391.49. after successful completion of a road (3) Has no established medical his- test in a commercial motor vehicle of tory or clinical diagnosis of diabetes the type the motor carrier intends to mellitus currently requiring insulin for assign to him/her; or control; (2) A copy of a valid certificate of (4) Has no current clinical diagnosis driver’s road test issued to him/her of myocardial infarction, angina pec- pursuant to § 391.31 within the preced- toris, coronary insufficiency, throm- ing 3 years. bosis, or any other cardiovascular dis- (b) If a driver presents, and a motor ease of a variety known to be accom- carrier accepts, a license or certificate panied by syncope, dyspnea, collapse, as equivalent to the road test, the or congestive cardiac failure. motor carrier shall retain a legible (5) Has no established medical his- copy of the license or certificate in its tory or clinical diagnosis of a res- files as part of the driver’s qualifica- piratory dysfunction likely to interfere tion file. with his/her ability to control and
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drive a commercial motor vehicle safe- (B) Has advised the driver that the ly; prescribed substance or drug will not (6) Has no current clinical diagnosis adversely affect the driver’s ability to of high blood pressure likely to inter- safely operate a commercial motor ve- fere with his/her ability to operate a hicle; and commercial motor vehicle safely; (13) Has no current clinical diagnosis (7) Has no established medical his- of alcoholism. tory or clinical diagnosis of rheumatic, [35 FR 6460, Apr. 22, 1970, as amended at 35 arthritic, orthopedic, muscular, neuro- FR 17420, Nov. 13, 1970; 36 FR 223, Jan. 7, 1971; muscular, or vascular disease which 36 FR 12857, July 8, 1971; 43 FR 56900, Dec. 5, interferes with his/her ability to con- 1978; 55 FR 3554, Feb. 1, 1990; 60 FR 38744, July trol and operate a commercial motor 28, 1995; 62 FR 37152, July 11, 1997] vehicle safely; (8) Has no established medical his- § 391.43 Medical examination; certifi- tory or clinical diagnosis of epilepsy or cate of physical examination. any other condition which is likely to (a) Except as provided by paragraph cause loss of consciousness or any loss (b) of this section, the medical exam- of ability to control a commercial ination shall be performed by a li- motor vehicle; censed medical examiner as defined in (9) Has no mental, nervous, organic, § 390.5 of this subchapter. or functional disease or psychiatric dis- (b) A licensed optometrist may per- order likely to interfere with his/her form so much of the medical examina- ability to drive a commercial motor tion as pertains to visual acuity, field vehicle safely; of vision, and the ability to recognize (10) Has distant visual acuity of at colors as specified in paragraph (10) of least 20/40 (Snellen) in each eye with- § 391.41(b). out corrective lenses or visual acuity (c) Medical examiners shall: separately corrected to 20/40 (Snellen) (1) Be knowledgeable of the specific or better with corrective lenses, dis- physical and mental demands associ- tant binocular acuity of at least 20/40 ated with operating a commercial (Snellen) in both eyes with or without motor vehicle and the requirements of corrective lenses, field of vision of at this subpart, including the medical reg- least 70° in the horizontal Meridian in ulatory criteria prepared by the FHWA each eye, and the ability to recognize as guidelines to aid the medical exam- the colors of traffic signals and devices iner in making the qualification deter- showing standard red, green, and mination; and amber; (2) Be proficient in the use of and use (11) First perceives a forced whis- the medical protocols necessary to ade- pered voice in the better ear at not less quately perform the medical examina- than 5 feet with or without the use of tion required by this section. a hearing aid or, if tested by use of an (d) Any driver authorized to operate audiometric device, does not have an a commercial motor vehicle within an average hearing loss in the better ear exempt intracity zone pursuant to greater than 40 decibels at 500 Hz, 1,000 § 391.2(d) shall furnish the examining Hz, and 2,000 Hz with or without a hear- medical examiner with a copy of the ing aid when the audiometric device is medical findings that led to the calibrated to American National issuance of the first certificate of med- Standard (formerly ASA Standard) ical examination which allowed the Z24.5—1951. driver to operate a commercial motor (12)(i) Does not use a controlled sub- vehicle wholly within an exempt intra- stance identified in 21 CFR 1308.11 city zone. Schedule I, an amphetamine, a nar- (e) Any driver operating under a lim- cotic, or any other habit-forming drug. ited exemption authorized by § 391.64 (ii) Exception. A driver may use such shall furnish the medical examiner a substance or drug, if the substance or with a copy of the annual medical find- drug is prescribed by a licensed medi- ings of the endocrinologist, ophthal- cal practitioner who: mologist or optometrist, as required (A) Is familiar with the driver’s medi- under that section. If the medical ex- cal history and assigned duties; and aminer finds the driver qualified under
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the limited exemption in § 391.64, such lenses.’’ In recording distance vision use 20 fact shall be noted on the Medical Ex- feet as normal. Report all vision as a frac- aminer’s Certificate. tion with 20 as numerator and the smallest (f) The medical examination shall be type read at 20 feet as denominator. Note ptosis, discharge, visual fields, ocular muscle performed, and its results shall be re- imbalance, color blindness, corneal scar, corded, substantially in accordance exophtalmos, or strabismus, uncorrected by with the following instructions and ex- corrective lenses. Monocular drivers are not amination form. Existing forms may be qualified to operate commercial motor vehi- used until current printed supplies are cles under existing Federal Motor Carrier depleted or until March 31, 1997. Safety Regulations. If the driver habitually wears contact lenses, or intends to do so INSTRUCTIONS FOR PERFORMING AND while driving, there should be sufficient evi- RECORDING PHYSICAL EXAMINATIONS dence to indicate that he/she has good toler- ance is well adapted to their use. The use of The examining medical examiner should contact lenses should be noted on the record. review these instructions before performing Ears. Note evidence of mastoid or middle the physical examination. Answer each ques- ear disease, discharge, symptoms of aural tion yes or no where appropriate. vertigo, or Meniere’s Syndrome. When re- The examining medical examiner should be cording hearing, record distance from pa- aware of the rigorous physical demands and tient at which a forced whispered voice can mental and emotional responsibilities placed first be heard. If audiometer is used to test on the driver of a commercial motor vehicle. hearing, record decibel loss at 500 Hz, 1,000 In the interest of public safety the examin- Hz, and 2,000 Hz. ing medical examiner is required to certify Throat. Note evidence of disease, irremedi- that the driver does not have any physical, able deformities of the throat likely to inter- mental, or organic defect of such a nature as fere with eating or breathing, or any laryn- to affect the driver’s ability to operate safely geal condition which could interfere with the a commercial motor vehicle. safe operation of a commercial motor vehi- General information. The purpose of this cle. history and physical examination is to de- Thorax-heart. Stethoscopic examination is tect the presence of physical, mental, or or- required. Note murmurs and arrhythmias, ganic defects of such a character and extent and any past or present history of cardio- as to affect the applicant’s ability to operate vascular disease, of a variety known to be a commercial motor vehicle safely. The ex- accompanied by syncope, dyspnea, collapse, amination should be made carefully and at enlarged heart, or congestive heart failures. least as complete as indicated by the at- Electrocardiogram is required when findings tached form. History of certain defects may so indicate. be cause for rejection or indicate the need Blood pressure. Record with either spring or for making certain laboratory tests or a fur- mercury column type of sphygomomano- ther, and more stringent, examination. De- meter. If the blood pressure is consistently fects may be recorded which do not, because above 160/90 mm. Hg., further tests may be of their character or degree, indicate that necessary to determine whether the driver is certification of physical fitness should be de- qualified to operate a commercial motor ve- nied. However, these defects should be dis- hicle. cussed with the applicant and he/she should Lungs. If any lung disease is detected, state be advised to take the necessary steps to in- whether active or arrested; if arrested, your sure correction, particularly of those which, opinion as to how long it has been quiescent. if neglected, might lead to a condition likely Gastrointestinal system. Note any diseases of to affect his/her ability to drive safely. the gastrointestinal system. General appearance and development. Note Abdomen. Note wounds, injuries, scars, or marked overweight. Note any posture defect, weakness of muscles of abdominal walls suf- perceptible limp, tremor, or other defects ficient to interfere with normal function. that might be caused by alcoholism, thyroid Any hernia should be noted if present. State intoxication, or other illnesses. The Federal how long and if adequately contained by Motor Carrier Safety Regulations provide truss. that no driver shall use a narcotic or other Abnormal masses. If present, note location, habit-forming drugs. if tender, and whether or not applicant Head-eyes. When other than the Snellen knows how long they have been present. If chart is used, the results of such test must the diagnosis suggests that the condition be expressed in values comparable to the might interfere with the control and safe op- standard Snellen test. If the applicant wears eration of a commercial motor vehicle, more corrective lenses, these should be worn while stringent tests must be made before the ap- applicant’s visual acuity is being tested. If plicant can be certified. appropriate, indicate on the Medical Exam- Tenderness. When noted, state where most iner’s Certificate by checking the box, pronounced, and suspected cause. If the diag- ‘‘Qualified only when wearing corrective nosis suggests that the condition might
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interfere with the control and safe operation Diabetes. If insulin is necessary to control of a commercial motor vehicle, more strin- a diabetic condition, the driver is not quali- gent tests must be made before the applicant fied to operate a commercial motor vehicle. can be certified. If mild diabetes is noted at the time of exam- Genito-urinary. Urinalysis is required. ination and it is stabilized by use of a hypo- Acute infections of the genito-urinary tract, glycemic drug and a diet that can be ob- as defined by local and State public health tained while the driver is on duty, it should laws, indications from urinalysis of uncon- not be considered disqualifying. However, trolled diabetes, symptomatic albumin-urea the driver must remain under adequate med- in the urine, or other findings indicative of ical supervision. health conditions likely to interfere with the The medical examiner must date and sign control and safe operation of a commercial his/her findings upon completion of the ex- motor vehicle, will disqualify an applicant amination. from operating a motor vehicle. Neurological. If positive Romberg is re- EXAMINATION TO DETERMINE PHYSICAL ported, indicate degrees of impairment. Pu- CONDITION OF DRIVERS pillary reflexes should be reported for both Driver’s name lllll b New Certification light and accommodation. Knee jerks are to Address llllllll b Recertification be reported absent only when not obtainable Social Security No. llllll upon reinforcement and as increased when Date of birth lllll Age ll foot is actually lifted from the floor follow- ing a light blow on the patella, sensory vi- Yes No Health History bratory and positional abnormalities should b b Head or spinal injuries. be noted. b b Seizures, fits, convulsions, or fainting. Extremities. Carefully examine upper and b b Extensive confinement by illness or injury. lower extremities. Record the loss of impair- b b Cardiovascular disease. ment of a leg, foot, toe, arm, hand, or fin- b b Tuberculosis. b b gers. Note any and all deformities, the pres- Syphilis. b b Gonorrhea. ence of atrophy, semiparalysis or paralysis, b b Diabetes. or varicose veins. If a hand or finger deform- b b Gastrointestinal ulcer. ity exists, determine whether sufficient b b Nervous stomach. grasp is present to enable the driver to se- b b Rheumatic fever. cure and maintain a grip on the steering b b Asthma. b b Kidney disease. wheel. If a leg deformity exists, determine b b Muscular disease. whether sufficient mobility and strength b b Suffering from any other disease. exist to enable the driver to operate pedals b b Permanent defect from illness, disease or in- properly. Particular attention should be jury. given to and a record should be made of, any b b Psychiatric disorder. b b impairment or structural defect which may Any other nervous disorder. interfere with the driver’s ability to operate a commercial motor vehicle safely. If answer to any of the above is yes, explain: Spine. Note deformities, limitation of mo- tion, or any history of pain, injuries, or dis- ease, past or presently experienced in the cervical or lumbar spine region. If findings so dictate, radiologic and other examina- PHYSICAL EXAMINATION tions should be used to diagnose congenital General appearance and development: or acquired defects; or spondylolisthesis and Good ll Fair ll Poor ll scoliosis. Vision: For distance: Recto-genital studies. Diseases or conditions Right 20/ ll Left 20/ ll causing discomfort should be evaluated care- b Without corrective lenses. fully to determine the extent to which the b With corrective lenses if worn. condition might be handicapping while lift- Evidence of disease or injury: ing, pulling, or during periods of prolonged Right ll Left ll driving that might be necessary as part of Color Test llllllllllllllll the driver’s duties. Horizontal field of vision: Laboratory and other special findings. Uri- Right ll° Left ll° nalysis is required, as well as such other Hearing: tests as the medical history or findings upon Right ear ll Left ear ll physical examination may indicate are nec- Disease or injury lllllllllllll essary. A serological test is required if the Audiometric Test (complete only if audiom- applicant has a history of luetic infection or eter is used to test hearing) decibel loss as present physical findings indicate the possi- 500 Hz ll, at 1,000 Hz ll, at 2,000 Hz ll bility of latent syphilis. Other studies Throat lllllllllllllllllll deemed advisable may be ordered by the ex- Thorax: amining medical examiner. Heart lllllllllllllllllll
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If organic disease is present, is it fully comp- NOTE: This section to be completed only ensated? llllllllllll when visual test is conducted by a licensed Blood pressure: ophthalmologist or optometrist. Systolic ll Diastolic ll (Date of examination) Pulse: Before exercise lllllll Immediately after exercise llllll (Address of ophthalmologist or Lungs llllllllllll optometrist) Abdomen: Scars ll Abnormal masses ll (Name of ophthalmologist or optometrist (Print) ) Tenderness ll ll ll Hernia: Yes No (Signature of ophthalmologist or If so, where? llllllllllll optometrist) Is truss worn? llllllll Gastrointestinal: (g) If the medical examiner finds that Ulceration or other disease: the person he/she examined is phys- Yes ll No ll ically qualified to drive a commercial Genito-Urinary: motor vehicle in accordance with Scars lllllllllllllllllll § 391.41(b), he/she shall complete a cer- Urethral discharge llllllllllll tificate in the form prescribed in para- Reflexes: graph (g) of this section and furnish Romberg lllllllllllllllll one copy to the person who was exam- Pupillary ll Light R ll L ll ined and one copy to the motor carrier Accommodation Right ll Left ll that employs him/her. Knee Jerks: (h) The medical examiner’s certifi- Right: cate shall be in accordance with the Normal ll Increased ll Absent ll following form. Existing forms may be Left: used until current printed supplies are Normal ll Increased ll Absent ll depleted or until March 31, 1997, pro- Remarks lllllllllllllllll vided that the medical examiner writes Extremities: down in pen and ink any applicable in- Upper lllllllllllllllllll formation contained in the following Lower lllllllllllllllllll form: Spine lllllllllllllllllll Laboratory and other Special Findings: MEDICAL EXAMINER’S CERTIFICATE Urine: Spec. Gr. ll Alb. ll I certify that I have examined Sugar ll llllllllllllllllllllllll Other laboratory data (Serology, etc.) (Driver’s Name—Print) lllllllllllllllllllllll In accordance with the Federal Motor Car- lllllllllllll Radiological data rier Safety Regulations (49 CFR 391.41 Electrocardiograph llllllllllll through 391.49) and with knowledge of his/her General comments lllllllllllll duties, I find him/her qualified under the reg- ulations. (Date of examination) lQualified only when wearing corrective lenses (Address of examining medical examiner) lQualified only when wearing a hearing aid (Name of examining medical examiner lQualified by operation of 49 CFR 391.64 (Print) ) lMedically unqualified unless accom- panied by a lll waiver (Title) (License or Certification No.) lMedically unqualified unless driving (State) within an exempt intracity zone A completed examination form for this (Signature of examining medical examiner) person is on file in my office. llllllllllllllllllllllll Area Code & Telephone Number
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llllllllllllllllllllllll will only be accepted if they conform (License or Certificate No.) to the requirements of this section. llllllllllllllllllllllll (b) Content. Applications will be ac- (State in Which Licensed) cepted for consideration only if the fol- llllllllllllllllllllllll lowing conditions are met. (Expiration Date) (1) The application must contain the llllllllllllllllllllllll name and address of the driver, motor (Name & Title of Medical Examiner— carrier, and all physicians involved in Print) the proceeding. llllllllllllllllllllllll (2) The applicant must submit proof (Signature of Medical Examiner) that there is a disagreement between llllllllllllllllllllllll the physician for the driver and the (Signature of Driver) physician for the motor carrier con- llllllllllllllllllllllll cerning the driver’s qualifications. (Address of Driver) (3) The applicant must submit a copy [35 FR 6460, Apr. 22, 1970] of an opinion and report including re- sults of all tests of an impartial medi- EDITORIAL NOTE: For FEDERAL REGISTER ci- tations affecting § 391.43, see the List of CFR cal specialist in the field in which the Sections Affected in the Finding Aids sec- medical conflict arose. The specialist tion of this volume. should be one agreed to by the motor carrier and the driver. § 391.45 Persons who must be medi- (i) In cases where the driver refuses cally examined and certified. to agree on a specialist and the appli- Except as provided in § 391.67, the fol- cant is the motor carrier, the applicant lowing persons must be medically ex- must submit a statement of his/her amined and certified in accordance agreement to submit the matter to an with § 391.43 as physically qualified to impartial medical specialist in the operate a commercial motor vehicle: field, proof that he/she has requested (a) Any person who has not been the driver to submit to the medical medically examined and certified as specialist, and the response, if any, of physically qualified to operate a com- the driver to his/her request. mercial motor vehicle; (ii) In cases where the motor carrier (b)(1) Any driver who has not been refuses to agree on a medical special- medically examined and certified as ist, the driver must submit an opinion qualified to operate a commercial and test results of an impartial medi- motor vehicle during the preceding 24 cal specialist, proof that he/she has re- months; or quested the motor carrier to agree to (2) Any driver authorized to operate a submit the matter to the medical spe- commercial motor vehicle only with an cialist and the response, if any, of the exempt intracity zone pursuant to motor carrier to his/her request. § 391.62, or only by operation of the ex- (4) The applicant must include a emption in § 391.64, if such driver has statement explaining in detail why the not been medically examined and cer- decision of the medical specialist iden- tified as qualified to drive in such zone tified in paragraph (b)(3) of this sec- during the preceding 12 months; and tion, is unacceptable. (c) Any driver whose ability to per- (5) The applicant must submit proof form his/her normal duties has been that the medical specialist mentioned impaired by a physical or mental in- in paragraph (b)(3) of this section was jury or disease. provided, prior to his/her determina- [35 FR 6460, Apr. 22, 1970, as amended at 36 tion, the medical history of the driver FR 223, Jan. 7, 1971; 54 FR 12202, Mar. 24, 1989; and an agreed-upon statement of the 61 FR 13347, Mar. 26, 1996] work the driver performs. (6) The applicant must submit the § 391.47 Resolution of conflicts of med- medical history and statement of work ical evaluation. provided to the medical specialist (a) Applications. Applications for de- under paragraph (b)(5) of this section. termination of a driver’s medical quali- (7) The applicant must submit all fications under standards in this part medical records and statements of the
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physicians who have given opinions on (f) Status of driver. Once an applica- the driver’s qualifications. tion is submitted to the Director, Of- (8) The applicant must submit a de- fice of Motor Carrier Research and scription and a copy of all written and Standards, the driver shall be deemed documentary evidence upon which the disqualified until such time as the Di- party making application relies in the rector, Office of Motor Carrier Re- form set out in 49 CFR 386.37. search and Standards makes a deter- (9) The application must be accom- mination, or until the Director, Office panied by a statement of the driver of Motor Carrier Research and Stand- that he/she intends to drive in inter- ards orders otherwise. state commerce not subject to the (49 U.S.C. 304, 322; 18 U.S.C. 831–835; Pub. L. commercial zone exemption or a state- 93–633, 88 Stat. 8156 (49 U.S.C. 1801, et seq.); 49 ment of the carrier that he/she has CFR 1.48, 301.60) used or intends to use the driver for [42 FR 18081, Apr. 5, 1977, as amended at 42 such work. FR 53966, Oct. 4, 1977; 60 FR 38746, July 28, (10) The applicant must submit three 1995] copies of the application and all records. § 391.49 Waiver of certain physical de- (c) Information. The Director, Office fects. of Motor Carrier Research and Stand- (a) A person who is not physically ards may request further information qualified to drive under § 391.41(b) (1) or from the applicant if he/she determines (2) and who is otherwise qualified to that a decision cannot be made on the drive a commercial motor vehicle, may evidence submitted. If the applicant drive a commercial motor vehicle, if fails to submit the information re- the Regional Director of Motor Car- quested, the Director may refuse to riers has granted a waiver to that per- issue a determination. son. (d)(1) Action. Upon receiving a satis- (b) A letter of application for a waiv- factory application the Director, Office er may be submitted jointly by the per- of Motor Carrier Research and Stand- son who seeks a waiver of the physical ards shall notify the parties (the driv- disqualification (driver applicant) and er, motor carrier, or any other inter- by the motor carrier that will employ ested party) that the application has the driver applicant if the application been accepted and that a determina- is granted. The application must be ad- tion will be made. A copy of all evi- dressed to the Regional Director of dence received shall be attached to the Motor Carriers for the region in which notice. the coapplicant motor carrier’s prin- (2) Reply. Any party may submit a cipal place of business is located. The reply to the notification within 15 days address for each regional office is listed after service. Such reply must be ac- in § 390.27 of this subchapter. Exception. companied by all evidence the party A letter of application for a waiver wants the Director, Office of Motor may be submitted unilaterally by a Carrier Research and Standards to con- driver applicant. The application must sider in making his/her determination. be addressed to the Regional Director Evidence submitted should include all of Motor Carriers for the region in medical records and test results upon which the driver has legal residence. which the party relies. The address of each regional office is (3) Parties. A party for the purposes of listed in § 390.27 of this subchapter. The this section includes the motor carrier driver applicant must comply with all and the driver, or anyone else submit- the requirements of paragraph (c) of ting an application. this section except paragraphs (c)(1) (i) (e) Petitions to review, burden of proof. and (iii). The driver applicant shall re- The driver or motor carrier may peti- spond to the requirements of paragraph tion to review the Director’s deter- (c)(2) (i) to (v) of this section, if the in- mination. Such petition must be sub- formation is known. mitted in accordance with § 386.13(a) of (c) A letter of application for a waiv- this chapter. The burden of proof in er shall contain— such a proceeding is on the petitioner. (1) Identification of the applicant(s):
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(i) Name and complete address of the (i) The coapplicant motor carrier motor carrier coapplicant; must certify that the driver applicant (ii) Name and complete address of the is otherwise qualified under the regula- driver applicant; tions of this part; (iii) The Federal Highway Adminis- (ii) In the case of a unilateral appli- tration Motor Carrier Identification cation, the driver applicant must cer- Number, if known; and tify that (s)he is otherwise qualified (iv) A description of the driver appli- under the regulations of this part. cant’s limb impairment for which waiv- (5) Signature of applicant(s): er is requested. (i) Driver applicant’s signature and (2) Description of the type of oper- date signed; ation the driver will be employed to (ii) Motor carrier official’s signature perform: (if application has a coapplicant), title, (i) State(s) in which the driver will and date signed. Dependent upon the operate for the motor carrier co- motor carrier’s organizational struc- applicant (if more than 10 States, des- ture (corporation, partnership, or pro- ignate general geographic area only); prietorship), this signer of the applica- (ii) Average period of time the driver tion shall be an officer, partner, or the will be driving and/or on duty, per day; proprietor. (iii) Type of commodities or cargo to (d) The letter of application for a be transported; waiver shall be accompanied by: (iv) Type of driver operation (i.e. (1) A copy of the results of the medi- sleeper-team, relay, owner operator, cal examination performed pursuant to etc.); and § 391.43; (v) Number of years experience oper- (2) A copy of the medical certificate ating the type of commercial motor ve- completed pursuant to § 391.43(e); hicle(s) requested in the letter of appli- (3) A medical evaluation summary cation and total years of experience op- completed by either a board qualified erating all types of motor vehicles. or board certified physiatrist (doctor of (3) Description of the commercial physical medicine) or orthopedic sur- motor vehicle(s) the driver applicant geon; intends to drive: (i) Truck, truck-tractor, or bus NOTE: The coapplicant motor carrier or the make, model, and year (if known); driver applicant shall provide the physiatrist (ii) Drive train; or orthopedic surgeon with a description of the job tasks the driver applicant will be re- (A) Transmission type (automatic or quired to perform. manual—if manual, designate number of forward speeds); (i) The medical evaluation summary (B) Auxiliary transmission (if any) for a driver applicant disqualified and number of forward speeds; and under § 391.41(b)(1) shall include: (C) Rear axle (designate single speed, (A) An assessment of the functional 2 speed, or 3 speed). capabilities of the driver as they relate (iii) Type of brake system; to the ability of the driver to perform (iv) Steering, manual or power as- normal tasks associated with operating sisted; a commercial motor vehicle, and (v) Description of type of trailer(s) (B) A statement by the examiner (i.e., van, flat bed, cargo tank, drop that the applicant is capable of dem- frame, lowboy, or pole); onstrating precision prehension (e.g., (vi) Number of semitrailers or full manipulating knobs and switches) and trailers to be towed at one time; power grasp prehension (e.g., holding (vii) For commercial motor vehicles and maneuvering the steering wheel) designed to transport passengers, indi- with each upper limb separately. This cate the seating capacity of the com- requirement does not apply to an indi- mercial motor vehicle; and vidual who was granted a waiver, ab- (viii) Description of any modifica- sent a prosthetic device, prior to the tion(s) made to the commercial motor publication of this amendment. vehicle for the driver applicant; attach (ii) The medical evaluation summary photograph(s) where applicable. for a driver applicant disqualified (4) Otherwise qualified: under § 391.41(b)(2) shall include:
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(A) An explanation as to how and tion as may be required about driving why the impairment interferes with activities, accidents, arrests, license the ability of the applicant to perform suspensions, revocations, or withdraw- normal tasks associated with operating als, and convictions which involve the a commercial motor vehicle; driver applicant. This applies whether (B) An assessment and medical opin- the driver’s waiver is a unilateral one ion of whether the condition will likely or has a coapplicant motor carrier; remain medically stable over the life- (i) A motor carrier who is a co- time of the driver applicant; and applicant must file the required docu- (C) A statement by the examiner that ments with the Regional Director of the applicant is capable of demonstrat- Motor Carriers for the region in which ing precision prehension (e.g., manipu- the carrrier’s principal place of busi- lating knobs and switches) and power ness is located; or grasp prehension (e.g., holding and ma- (ii) A motor carrier who employs a neuvering the steering wheel) with driver who has been issued a unilateral each upper limb separately. This re- waiver must file the required docu- quirement does not apply to an individ- ments with the Regional Director of ual who was granted a waiver, absent Motor Carriers for the region in which an orthotic device, prior to the publica- the driver has legal residence. tion of this amendment. (2) Evaluate the driver with a road (4) A description of the driver appli- test using the trailer the motor carrier cant’s prosthetic or orthotic device intends the driver to transport or, in worn, if any, by the driver applicant; lieu of, accept a certificate of a trailer (5) Road test: road test from another motor carrier if (i) A copy of the driver applicant’s the trailer type(s) is similar or accept road test administered by the motor the trailer road test done during the carrier coapplicant and the certificate Skill Performance Evaluation if it is a issued pursuant to § 391.31 (b) through similar trailer type(s) to that of the (g); or prospective motor carrier; (ii) A unilateral applicant shall be re- sponsible for having a road test admin- NOTE: Job tasks, as stated in paragraph (e)(3) of this section, are not evaluated in the istered by a motor carrier or a person Skill Performance Evalulation. who is competent to administer the test and evaluate its results. (3) Evaluate the driver for those non- (6) Application for employment: driving safety-related job tasks associ- (i) A copy of the driver applicant’s ated with whatever type of trailer(s) application for employment completed will be used and any other nondriving pursuant to § 391.21; or safety-related or job-related tasks (ii) A unilateral applicant shall be re- unique to the operations of the employ- sponsible for submitting a copy of the ing motor carrier; and last commercial driving position’s em- (4) Use the driver to operate the type ployment application s/he held. If not of commercial motor vehicle defined in previously employed as a commercial the waiver only when the driver is in driver, so state. compliance with the conditions and (7) A copy of the driver applicant’s limitations of the waiver. waiver of certain physical defects (f) The driver shall supply each em- issued by the individual State(s), where ploying motor carrier with a copy of applicable; and the waiver. (8) A copy of the driver applicant’s (g) The Regional Director of Motor State Motor Vehicle Driving Record for Carriers may require the driver appli- the past 3 years from each State in cant to demonstrate his or her ability which a motor vehicle driver’s license to to safely operate the commercial or permit has been obtained. motor vehicle(s) the driver intends to (e) Agreement. A motor carrier that drive to an agent of the Regional Di- employs a driver with a waiver agrees rector of Motor Carriers. The waiver to: form will identify the power unit (bus, (1) File promptly (within 30 days) truck, truck-tractor) for which the with the Regional Director of Motor waiver has been granted. The waiver Carriers such documents and informa- forms will also identify the trailer type
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used in the Skill Performance Evalua- NOTE: Refer to paragraph (d)(3)(ii) of this tion; however, the waiver is not limited section for the condition under § 391.41(b)(2) to that specific trailer type. A driver which may be considered medically stable. may use the waiver with other trailer (9) A copy of driver’s current State types if a successful trailer road test is motor vehicle driving record for the pe- completed in accordance with para- riod of time the current waiver has graph (e)(2) of this section. Job tasks, been in effect; as stated in paragraph (e)(3) of this sec- (10) Notification of any change in the tion, are not evaluated during the Skill type of tractor the driver will operate; Performance Evaluation. (11) Driver’s signature and date (h) The Regional Director of Motor signed; and Carriers may deny the application for (12) Motor carrier coapplicant’s sig- waiver or may grant it totally or in nature and date signed. part and issue the waiver subject to (j) Upon granting a waiver, the Re- such terms, conditions, and limitations gional Director of Motor Carriers will as deemed consistent with the public notify the driver applicant and co- interest. A waiver is valid for a period applicant motor carrier (if applicable) not to exceed 2 years from date of by letter. The terms, conditions, and issue, and may be renewed 30 days prior limitations of the waiver will be set to the expiration date. forth. A motor carrier shall maintain a (i) The waiver renewal application copy of the waiver in its driver quali- shall be submitted to the Regional Di- fication file. A copy of the waiver shall rector of Motor Carriers for the region be retained in the motor carrier’s file in which the driver has legal residence, for a period of 3 years after the driver’s if the waiver was issued unilaterally. If employment is terminated. The driver the waiver has a coapplicant, then the applicant shall have the waiver (or a renewal application is submitted to the legible copy) in his/her possession Regional Director of Motor Carriers for whenever on duty. the region in which the coapplicant (k) The Regional Director of Motor motor carrier’s principal place of busi- Carriers may revoke a waiver after the ness is located. The waiver renewal ap- person to whom it was issued is given plication shall contain the following: notice of the proposed revocation and (1) Name and complete address of has been allowed a reasonable oppor- motor carrier currently employing the tunity to appeal. applicant; (l) Falsifying information in the let- (2) Name and complete address of the ter of application, the renewal applica- driver; tion, or falsifying information required (3) Effective date of the current waiv- by this section by either the applicant er; or motor carrier is prohibited. (4) Expiration date of the current (Approved by the Office of Management and waiver; Budget under control number 2125–0080) (5) Total miles driven under the cur- [48 FR 38487, Aug. 24, 1983, as amended at 49 rent waiver; FR 38293, Sept. 28, 1984; 50 FR 49851, Dec. 5, (6) Number of accidents incurred 1985; 51 FR 12621, Apr. 14, 1986; 60 FR 38745, while driving under the current waiver, 38746, July 28, 1995; 61 FR 1843, Jan. 24, 1996] including date of the accident(s), num- ber of fatalities, number of injuries, Subpart F—Files and Records and the estimated dollar amount of property damage; § 391.51 General requirements for (7) A current medical examination driver qualification files. report; (a) Each motor carrier shall maintain (8) A medical evaluation summary a driver qualification file for each driv- pursuant to paragraph (d)(3) of this sec- er it employs. A driver’s qualification tion if an unstable medical condition file may be combined with his/her per- exists. All handicapped conditions clas- sonnel file. sified under § 391.41(b)(1) are considered (b) The qualification file for a driver unstable. must include:
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(1) The driver’s application for em- (5) The letter issued under § 391.49 ployment completed in accordance granting a waiver of a physical dis- with § 391.21; qualification. (2) A written record with respect to (Approved by the Office of Management and each past employer who was contacted Budget under control number 2125–0065) and a copy of the response by each [63 FR 33277, June 18, 1998] State agency, pursuant to § 391.23 in- volving investigation and inquiries; Subpart G—Limited Exemptions (3) The certificate of driver’s road test issued to the driver pursuant to § 391.61 Drivers who were regularly § 391.31(e), or a copy of the license or employed before January 1, 1971. certificate which the motor carrier ac- The provisions of § 391.21 (relating to cepted as equivalent to the driver’s applications for employment), § 391.23 road test pursuant to § 391.33; (relating to investigations and inquir- (4) The response of each State agency ies), and § 391.33 (relating to road tests) to the annual driver record inquiry re- do not apply to a driver who has been quired by § 391.25(a); a single-employer driver (as defined in (5) A note relating to the annual re- § 390.5 of this subchapter) of a motor view of the driver’s driving record as carrier for a continuous period which required by § 391.25(c)(2); began before January 1, 1971, as long as (6) A list or certificate relating to he/she continues to be a single-em- violations of motor vehicle laws and ployer driver of that motor carrier. ordinances required by § 391.27; [63 FR 33278, June 18, 1998] (7) The medical examiner’s certifi- cate of his/her physical qualification to § 391.62 Limited exemptions for intra- city zone drivers. drive a commercial motor vehicle as required by § 391.43(f) or a legible photo- The provisions of §§ 391.11(b)(1) and graphic copy of the certificate; and 391.41(b)(1) through (b)(11) do not apply (8) A letter from the Regional Direc- to a person who: (a) Was otherwise qualified to oper- tor of Motor Carriers granting a waiver ate and operated a commercial motor of a physical disqualification, if a waiv- vehicle in a municipality or exempt in- er was issued under § 391.49. tracity zone thereof throughout the (c) Except as provided in paragraph one-year period ending November 18, (d) of this section, each driver’s quali- 1988; fication file shall be retained for as (b) Meets all the other requirements long as a driver is employed by that of this section; motor carrier and for three years (c) Operates wholly within the ex- thereafter. empt intracity zone (as defined in 49 (d) The following records may be re- CFR 390.5); moved from a driver’s qualification file (d) Does not operate a vehicle used in three years after the date of execution: the transportation of hazardous mate- (1) The response of each State agency rials in a quantity requiring placarding to the annual driver record inquiry re- under regulations issued by the Sec- quired by § 391.25(a); retary under 49 U.S.C. chapter 51.; and (2) The note relating to the annual (e) Has a medical or physical condi- tion which: review of the driver’s driving record as (1) Would have prevented such person required by § 391.25(c)(2); from operating a commercial motor ve- (3) The list or certificate relating to hicle under the Federal Motor Carrier violations of motor vehicle laws and Safety Regulations contained in this ordinances required by § 391.27; subchapter; (4) The medical examiner’s certifi- (2) Existed on July 1, 1988, or at the cate of the driver’s physical qualifica- time of the first required physical ex- tion to drive a commercial motor vehi- amination after that date; and cle or the photographic copy of the cer- (3) The examining physician has de- tificate as required by § 391.43(f); and termined this condition has not sub- stantially worsened since July 1, 1988,
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or at the time of the first required (ii) Free of insulin reactions (an indi- physical examination after that date. vidual is free of insulin reactions if that individual does not have severe [61 FR 13346, Mar. 26, 1996; 61 FR 17253, Apr. 19, 1996] hypoglycemia or hypoglycemia unawareness, and has less than one § 391.63 Multiple-employer drivers. documented, symptomatic hypo- glycemic reaction per month); (a) If a motor carrier employs a per- (iii) Able to and has demonstrated son as a multiple-employer driver (as willingness to properly monitor and defined in § 390.5 of this subchapter), manage his/her diabetes; and the motor carrier shall comply with all (iv) Not likely to suffer any diminu- requirements of this part, except that tion in driving ability due to his/her di- the motor carrier need not— abetic condition. (1) Require the person to furnish an (2) The driver agrees to and complies application for employment in accord- with the following conditions: ance with § 391.21; (i) A source of rapidly absorbable glu- (2) Make the investigations and in- cose shalll be carried at all times while quiries specified in § 391.23 with respect driving; to that person; (ii) Blood glucose levels shall be self- (3) Perform the annual driving record monitored one hour prior to driving inquiry required by § 391.25(a); and at least once every four hours (4) Perform the annual review of the while driving or on duty prior to driv- person’s driving record required by ing using a portable glucose monitor- § 391.25(b); or ing device equipped with a computer- (5) Require the person to furnish a ized memory; record of violations or a certificate in (iii) Submit blood glucose logs to the accordance with § 391.27. endocrinologist or medical examiner at (b) Before a motor carrier permits a the annual examination or when other- multiple-employer driver to drive a wise directed by an authorized agent of commercial motor vehicle, the motor the FHWA; carrier must obtain his/her name, his/ (iv) Provide a copy of the her social security number, and the endocrinologist’s report to the medical identification number, type and issuing examiner at the time of the annual State of his/her commercial motor ve- medical examination; and hicle operator’s license. The motor car- (v) Provide a copy of the annual med- rier must maintain this information ical certification to the employer for for three years after employment of retention in the driver’s qualification the multiple-employer driver ceases. file and retain a copy of the certifi- cation on his/her person while driving (Approved by the Office of Management and for presentation to a duly authorized Budget under control number 2125–0081) Federal, State or local enforcement of- [63 FR 33278, June 18, 1998] ficial. (b) The provisions of § 391.41(b)(10) do § 391.64 Grandfathering for certain not apply to a driver who was a partici- drivers participating in vision and pant in good standing on March 31, diabetes waiver study programs. 1996, in a waiver study program con- (a) The provisions of § 391.41(b)(3) do cerning the operation of commercial not apply to a driver who was a partici- motor vehicles by drivers with visual pant in good standing on March 31, impairment in one eye; provided: 1996, in a waiver study program con- (1) The driver is physically examined cerning the operation of commercial every year, including an examination motor vehicles by insulin-controlled by an ophthalmologist or optometrist diabetic drivers; provided: attesting to the fact that the driver: (1) The driver is physically examined (i) Is otherwise qualified under every year, including an examination § 391.41; and by a board-certified/eligible (ii) Continues to measure at least 20/ endocrinologist attesting to the fact 40 (Snellen) in the better eye. that the driver is: (2) The driver provides a copy of the (i) Otherwise qualified under § 391.41; ophthalmologist or optometrist report
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to the medical examiner at the time of under part 391, Federal Motor Carrier Safety the annual medical examination. Regulations. His/her current medical exam- (3) The driver provides a copy of the iner’s certificate expires on llll (Date) annual medical certification to the em- This certificate expires: ployer for retention in the driver’s qualification file and retains a copy of the certification on his/her person (Date not later than expiration date of while driving for presentation to a duly medical certificate) authorized federal, state or local en- Issued on llll (date) forcement official. Issued by llllllllll [61 FR 13346, Mar. 26, 1996] (Name of carrier)
§ 391.65 Drivers furnished by other (Address) motor carriers. (a) A motor carrier may employ a (Signature) driver who is not a regularly employed driver of that motor carrier without (Title) complying with the generally applica- (b) A motor carrier that obtains a ble driver qualification file require- certificate in accordance with para- ments in this part, if— graph (a)(2) of this section shall: (1) The driver is regularly employed (1) Contact the motor carrier which by another motor carrier; and certified the driver’s qualifications (2) The motor carrier which regularly under this section to verify the valid- employs the driver certifies that the ity of the certificate. This contact may driver is fully qualified to drive a com- be made in person, by telephone, or by mercial motor vehicle in a written letter. statement which— (2) Retain a copy of that certificate (i) Is signed and dated by an officer in its files for three years. or authorized employee of the regu- (c) A motor carrier which certifies a larly employing carrier; driver’s qualifications under this sec- (ii) Contains the driver’s name and tion shall be responsible for the accu- signature; racy of the certificate. The certificate (iii) Certifies that the driver has been is no longer valid if the driver leaves regularly employed as defined in § 390.5; the employment of the motor carrier (iv) Certifies that the driver is fully which issued the certificate or is no qualified to drive a commercial motor longer qualified under the rules in this vehicle under the rules in part 391 of part. the Federal Motor Carrier Safety Regu- lations; [41 FR 36656, Aug. 31, 1976, as amended at 53 (v) States the expiration date of the FR 18057, May 19, 1988; 60 FR 38745, July 28, driver’s medical examiner’s certificate; 1995; 63 FR 33278, June 18, 1998] (vi) Specifies an expiration date for § 391.67 Farm vehicle drivers of articu- the certificate, which shall be not lated commercial motor vehicles. longer than 2 years or, if earlier, the expiration date of the driver’s current The following rules in this part do medical examiner’s certificate; and not apply to a farm vehicle driver (as (vii) After April 1, 1977, is substan- defined in § 390.5 of this subchapter) tially in accordance with the following who is 18 years of age or older and who form: drives an articulated commercial motor vehicle: (a) Section 391.11(b)(1), (b)(6) and (Name of driver) (b)(8) (relating to general qualifica- ——————————————————————— (SS No.) tions of drivers); (b) Subpart C (relating to disclosure (Signature of driver) of, investigation into, and inquiries I certify that the above named driver, as about the background, character, and defined in § 391.3(c) is regularly driving a driving record of drivers); commercial motor vehicle operated by the (c) Subpart D (relating to road tests); below named carrier and is fully qualified and
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(d) Subpart F (relating to mainte- 392.9a [Reserved] nance of files and records). Subpart B—Driving of Commercial Motor [63 FR 33278, June 18, 1998] Vehicles
§ 391.68 Private motor carrier of pas- 392.10 Railroad grade crossings; stopping re- sengers (nonbusiness). quired. The following rules in this part do 392.11 Railroad grade crossings; slowing not apply to a private motor carrier of down required. passengers (nonbusiness) and its driv- 392.12–392.13 [Reserved] ers: 392.14 Hazardous conditions; extreme cau- (a) Section 391.11(b)(1), (b)(6) and tion. (b)(8) (relating to general qualifica- 392.15 [Reserved] tions of drivers); 392.16 Use of seat belts. 392.18 [Reserved] (b) Subpart C (relating to disclosure of, investigation into, and inquiries Subpart C—Stopped Commercial Motor about the background, character, and Vehicles driving record of, drivers); (c) So much of §§ 391.41 and 391.45 as 392.20–392.21 [Reserved] require a driver to be medically exam- 392.22 Emergency signals; stopped commer- ined and to have a medical examiner’s cial motor vehicles. certificate on his/her person; and 392.24 Emergency signals; flame-producing. (d) Subpart F (relating to mainte- 392.25 Flame producing devices. nance of files and records). Subpart D—Use of Lighted Lamps and [63 FR 33278, June 18, 1998] Reflectors
§ 391.69 Private motor carrier of pas- 392.30—392.32 [Reserved] sengers (business). 392.33 Obscured lamps or reflectors. The provisions of § 391.21 (relating to applications for employment), § 391.23 Subpart E—License Revocation; Duties of (relating to investigations and inquir- Driver ies), and § 391.31 (relating to road tests) 392.40—392.41 [Reserved] do not apply to a driver who was a sin- gle-employer driver (as defined in Subpart F—Fueling Precautions § 390.5 of this subchapter) of a private motor carrier of passengers (business) 392.50 Ignition of fuel; prevention. as of July 1, 1994, so long as the driver 392.51 Reserve fuel; materials of trade. continues to be a single-employer driv- 392.52 [Reserved] er of that motor carrier. Subpart G—Prohibited Practices [63 FR 33278, June 18, 1998] 392.60 Unauthorized persons not to be trans- § 391.71 [Reserved] ported. 392.61 [Reserved] 392.62 Safe operation, buses. PART 392—DRIVING OF 392.63 Towing or pushing loaded buses. COMMERCIAL MOTOR VEHICLES 392.64 Riding within closed commercial motor vehicles without proper exits. Subpart A—General 392.65 [Reserved] 392.66 Carbon monoxide; use of commercial Sec. motor vehicle when detected. 392.1 Scope of the rules in this part. 392.2 Applicable operating rules. 392.67 Heater, flame-producing; on commer- 392.3 Ill or fatigued operator. cial motor vehicle in motion. 392.4 Drugs and other substances. 392.68–392.69 [Reserved] 392.5 Alcohol prohibition. 392.71 Radar detectors; use and/or posses- 392.6 Schedules to conform with speed lim- sion. its. AUTHORITY: 49 U.S.C. 31136, 31502; 49 U.S.C. 392.7 Equipment, inspection and use. 1.48. 392.8 Emergency equipment, inspection, and use. SOURCE: 33 FR 19732, Dec. 25, 1968, unless 392.9 Safe loading. otherwise noted.
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Subpart A—General (1) Any 21 CFR 1308.11 Schedule I sub- stance; § 392.1 Scope of the rules in this part. (2) An amphetamine or any formula- tion thereof (including, but not lim- Every motor carrier, its officers, ited, to ‘‘pep pills,’’ and ‘‘bennies’’); agents, representatives, and employees (3) A narcotic drug or any derivative responsible for the management, main- thereof; or tenance, operation, or driving of com- (4) Any other substance, to a degree mercial motor vehicles, or the hiring, which renders the driver incapable of supervising, training, assigning, or dis- safely operating a motor vehicle. patching of drivers, shall be instructed (b) No motor carrier shall require or in and comply with the rules in this permit a driver to violate paragraph (a) part. of this section. [53 FR 18057, May 19, 1988, as amended at 60 (c) Paragraphs (a) (2), (3), and (4) do FR 38746, July 28, 1995] not apply to the possession or use of a substance administered to a driver by § 392.2 Applicable operating rules. or under the instructions of a licensed Every commercial motor vehicle medical practitioner, as defined in must be operated in accordance with § 382.107 of this subchapter, who has ad- the laws, ordinances, and regulations vised the driver that the substance will of the jurisdiction in which it is being not affect the driver’s ability to safely operated. However, if a regulation of operate a motor vehicle. the Federal Highway Administration (d) As used in this section, ‘‘posses- imposes a higher standard of care than sion’’ does not include possession of a that law, ordinance or regulation, the substance which is manifested and Federal Highway Administration regu- transported as part of a shipment. lation must be complied with. [61 FR 9567, Mar. 8, 1996, as amended at 62 FR [35 FR 7800, May 21, 1970, as amended at 60 37153, July 11, 1997] FR 38746, July 28, 1995] § 392.5 Alcohol prohibition. § 392.3 Ill or fatigued operator. (a) No driver shall— No driver shall operate a commercial (1) Use alcohol, as defined in § 382.107 motor vehicle, and a motor carrier of this subchapter, or be under the in- shall not require or permit a driver to fluence of alcohol, within 4 hours be- operate a commercial motor vehicle, fore going on duty or operating, or hav- while the driver’s ability or alertness is ing physical control of, a commercial so impaired, or so likely to become im- motor vehicle; or paired, through fatigue, illness, or any (2) Use alcohol, be under the influ- other cause, as to make it unsafe for ence of alcohol, or have any measured him/her to begin or continue to operate alcohol concentration or detected pres- the commercial motor vehicle. How- ence of alcohol, while on duty, or oper- ever, in a case of grave emergency ating, or in physical control of a com- where the hazard to occupants of the mercial motor vehicle; or commercial motor vehicle or other (3) Be on duty or operate a commer- users of the highway would be in- cial motor vehicle while the driver pos- creased by compliance with this sec- sesses wine of not less than one-half of tion, the driver may continue to oper- one per centum of alcohol by volume, ate the commercial motor vehicle to beer as defined in 26 U.S.C. 5052(a), of the nearest place at which that hazard the Internal Revenue Code of 1954, and is removed. distilled spirits as defined in section 5002(a)(8), of such Code. However, this [35 FR 7800, May 21, 1970, as amended at 60 does not apply to possession of wine, FR 38746, July 28, 1995] beer, or distilled spirits which are: (i) Manifested and transported as § 392.4 Drugs and other substances. part of a shipment; or (a) No driver shall be on duty and (ii) Possessed or used by bus pas- possess, be under the influence of, or sengers. use, any of the following drugs or other (b) No motor carrier shall require or substances: permit a driver to—
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(1) Violate any provision of para- any commercial motor vehicle between graph (a) of this section; or points in such period of time as would (2) Be on duty or operate a commer- necessitate the commercial motor ve- cial motor vehicle if, by the driver’s hicle being operated at speeds greater general appearance or conduct or by than those prescribed by the jurisdic- other substantiating evidence, the tions in or through which the commer- driver appears to have used alcohol cial motor vehicle is being operated. within the preceding four hours. (c) Any driver who is found to be in [33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38746, July 28, 1995] violation of the provisons of paragraph (a) or (b) of this section shall be placed § 392.7 Equipment, inspection and use. out-of-service immediately for a period of 24 hours. No commercial motor vehicle shall (1) The 24-hour out-of-service period be driven unless the driver thereof will commence upon issuance of an shall have satisfied himself/herself that out-of-service order. the following parts and accessories are (2) No driver shall violate the terms in good working order, nor shall any of an out-of-service order issued under driver fail to use or make use of such this section. parts and accessories when and as (d) Any driver who is issued an out- needed: of-service order under this section Service brakes, including trailer brake con- shall: nections. (1) Report such issuance to his/her Parking (hand) brake. employer within 24 hours; and Steering mechanism. (2) Report such issuance to a State Lighting devices and reflectors. official, designated by the State which Tires. issued his/her driver’s license, within 30 Horn. days unless the driver chooses to re- Windshield wiper or wipers. quest a review of the order. In this Rear-vision mirror or mirrors. case, the driver shall report the order Coupling devices. to the State official within 30 days of [33 FR 19732, Dec. 25, 1968, as amended at 60 an affirmation of the order by either FR 38746, July 28, 1995] the Regional Director of Motor Car- riers for the Region or the Associate § 392.8 Emergency equipment, inspec- Administrator. tion and use. (e) Any driver who is subject to an No commercial motor vehicle shall out-of-service order under this section be driven unless the driver thereof is may petition for review of that order satisfied that the emergency equip- by submitting a petition for review in ment required by § 393.95 of this sub- writing within 10 days of the issuance chapter is in place and ready for use; of the order to the Regional Director of nor shall any driver fail to use or make Motor Carriers for the Region in which use of such equipment when and as the order was issued. The Regional Di- needed. rector of Motor Carriers may affirm or [49 FR 38290, Sept. 28, 1984, as amended at 60 reverse the order. Any driver adversely FR 38746, July 28, 1995] affected by such order of the Regional Director of Motor Carriers may peti- § 392.9 Safe loading. tion the Associate Administrator for (a) General. No person shall drive a review in accordance with 49 CFR commercial motor vehicle and a motor 386.13. carrier shall not require or permit a (49 U.S.C. 304, 1655; 49 CFR 1.48(b) and 301.60) person to drive a commercial motor ve- [47 FR 47837, Oct. 28, 1982, as amended at 52 hicle unless— FR 27201, July 20, 1987; 59 FR 7515, Feb. 15, (1) The commercial motor vehicle’s 1994; 61 FR 9567, Mar. 8, 1996] cargo is properly distributed and ade- quately secured as specified in § 392.6 Schedules to conform with §§ 393.100–393.106 of this subchapter. speed limits. (2) The commercial motor vehicle’s No motor carrier shall schedule a run tailgate, tailboard, doors, tarpaulins, nor permit nor require the operation of its spare tire and other equipment used
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in its operation, and the means of fas- ner that makes inspection of its cargo tening the commercial motor vehicle’s impracticable. cargo are secured; and [36 FR 18863, Sept. 23, 1971, as amended at 37 (3) The commercial motor vehicle’s FR 12642, June 27, 1972; 38 FR 23522, Aug. 31, cargo or any other object does not ob- 1973; 60 FR 38746, July 28, 1995; 63 FR 33278, scure the driver’s view ahead or to the June 18, 1998] right or left sides, interfere with the § 392.9a [Reserved] free movement of his/her arms or legs, prevent his/her free and ready access to accessories required for emergencies, Subpart B—Driving of Commercial or prevent the free and ready exit of Motor Vehicles any person from the commercial motor § 392.10 Railroad grade crossings; vehicle’s cab or driver’s compartment. stopping required. (b) Drivers of trucks and truck tractors. (a) Except as provided in paragraph Except as provided in paragraph (b)(4) (b) of this section, the driver of a com- of this section, the driver of a truck or mercial motor vehicle specified in truck tractor must— paragraphs (a) (1) through (6) of this (1) Assure himself/herself that the section shall not cross a railroad track provisions of paragraph (a) of this sec- or tracks at grade unless he/she first: tion have been complied with before he/ Stops the commercial motor vehicle she drives that commercial motor vehi- within 50 feet of, and not closer than 15 cle; feet to, the tracks; thereafter listens (2) Examine the commercial motor and looks in each direction along the vehicle’s cargo and its load-securing tracks for an approaching train; and devices within the first 25 miles after ascertains that no train is approach- beginning a trip and cause any adjust- ing. When it is safe to do so, the driver ments to be made to the cargo or load- may drive the commercial motor vehi- securing devices (other than steel cle across the tracks in a gear that per- strapping) as may be necessary to mits the commercial motor vehicle to maintain the security of the commer- complete the crossing without a cial motor vehicle’s load; and change of gears. The driver must not shift gears while crossing the tracks. (3) Reexamine the commercial motor (1) Every bus transporting pas- vehicle’s cargo and its load-securing sengers, devices periodically during the course (2) Every commercial motor vehicle of transportation and cause any adjust- transporting any quantity of a Division ments to be made to the cargo or load- 2.3 chlorine. securing devices (other than steel (3) Every commercial motor vehicle strapping) as may be necessary to which, in accordance with the regula- maintain the security of the commer- tions of the Department of Transpor- cial motor vehicle’s load. A periodic re- tation, is required to be marked or examination and any necessary adjust- placarded with one of the following ments must be made— classifications: (i) When the driver makes a change (i) Division 1.1 of his/her duty status; or (ii) Division 1.2, or Division 1.3 (ii) After the commercial motor vehi- (iii) Division 2.3 Poison gas cle has been driven for 3 hours; or (iv) Division 4.3 (v) Class 7 (iii) After the commercial motor ve- (vi) Class 3 Flammable hicle has been driven for 150 miles, (vii) Division 5.1 whichever occurs first. (viii) Division 2.2 (4) The rules in this paragraph do not (ix) Division 2.3 Chlorine apply to the driver of a sealed commer- (x) Division 6.1 Poison cial motor vehicle who has been or- (xi) Division 2.2 Oxygen dered not to open it to inspect its cargo (xii) Division 2.1 or to the driver of a commercial motor (xiii) Class 3 Combustible liquid vehicle that has been loaded in a man- (xiv) Division 4.1
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(xv) Division 5.1 § 392.11 Railroad grade crossings; (xvi) Division 5.2 slowing down required. (xvii) Class 8 Every commercial motor vehicle (xviii) Division 1.4 other than those listed in § 392.10 shall, (4) Every cargo tank motor vehicle, upon approaching a railroad grade whether loaded or empty, used for the crossing, be driven at a rate of speed transportation of any hazardous mate- which will permit said commercial rial as defined in the Hazardous Mate- motor vehicle to be stopped before rials Regulations of the Department of reaching the nearest rail of such cross- Transportation, Parts 107 through 180 ing and shall not be driven upon or of this title. over such crossing until due caution (5) Every cargo tank motor vehicle has been taken to ascertain that the transporting a commodity which at the course is clear. time of loading has a temperature above its flashpoint as determined by [33 FR 19732, Dec. 25, 1968, as amended at 60 § 173.120 of this title. FR 38747, July 28, 1995] (6) Every cargo tank motor vehicle, § 392.12–392.13 [Reserved] whether loaded or empty, transporting any commodity under exemption in ac- § 392.14 Hazardous conditions; ex- cordance with the provisions of subpart treme caution. B of part 107 of this title. Extreme caution in the operation of (b) A stop need not be made at: a commercial motor vehicle shall be (1) A streetcar crossing, or railroad exercised when hazardous conditions, tracks used exclusively for industrial such as those caused by snow, ice, switching purposes, within a business sleet, fog, mist, rain, dust, or smoke, district, as defined in § 390.5 of this chapter. adversely affect visibility or traction. Speed shall be reduced when such con- (2) A railroad grade crossing when a ditions exist. If conditions become suf- police officer or crossing flagman di- rects traffic to proceed, ficiently dangerous, the operation of the commercial motor vehicle shall be (3) A railroad grade crossing con- discontinued and shall not be resumed trolled by a functioning highway traf- fic signal transmitting a green indica- until the commercial motor vehicle tion which, under local law, permits can be safely operated. Whenever com- the commercial motor vehicle to pro- pliance with the foregoing provisions of ceed across the railroad tracks without this rule increases hazard to pas- slowing or stopping. sengers, the commercial motor vehicle (4) An abandoned railroad grade may be operated to the nearest point crossing which is marked with a sign at which the safety of passengers is as- indicating that the rail line is aban- sured. doned, [33 FR 19732, Dec. 25, 1968, as amended at 60 (5) An industrial or spur line railroad FR 38747, July 28, 1995] grade crossing marked with a sign reading ‘‘Exempt.’’ Such ‘‘Exempt’’ § 392.15 [Reserved] signs shall be erected only by or with the consent of the appropriate State or § 392.16 Use of seat belts. local authority. A commercial motor vehicle which has a seat belt assembly installed at (Sec. 12, 80 Stat. 931; 49 U.S.C. 1651 note; 49 U.S.C. 304, 1655; 49 CFR 1.48(b) and 301.60) the driver’s seat shall not be driven un- less the driver has properly restrained [33 FR 19732, Dec. 25, 1968, as amended at 35 himself/herself with the seat belt as- FR 7801, May 21, 1970; 38 FR 1589, Jan. 16, 1973; 40 FR 44555, Sept. 29, 1975; 45 FR 46424, sembly. July 10, 1980; 47 FR 47837, Oct. 28, 1982; 59 FR [35 FR 10860, July 3, 1970, as amended at 60 63924, Dec. 12, 1994; 60 FR 38746, 38747, July 28, FR 38747, July 28, 1995] 1995]
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§ 392.18 [Reserved] and in the direction away from ap- proaching traffic. Subpart C—Stopped Commercial (2) Special rules—(i) Fusees and liquid- Motor Vehicles burning flares. The driver of a commer- cial motor vehicle equipped with only § 392.20–392.21 [Reserved] fusees or liquid-burning flares shall place a lighted fusee or liquid-burning § 392.22 Emergency signals; stopped flare at each of the locations specified commercial motor vehicles. in paragraph (b)(1) of this section. (a) Hazard warning signal flashers. There shall be at least one lighted Whenever a commercial motor vehicle fusee or liquid-burning flare at each of is stopped upon the traveled portion of the prescribed locations, as long as the a highway or the shoulder of a highway commercial motor vehicle is stopped. for any cause other than necessary Before the stopped commercial motor traffic stops, the driver of the stopped vehicle is moved, the driver shall ex- commercial motor vehicle shall imme- tinguish and remove each fusee or liq- diately activate the vehicular hazard uid-burning flare. warning signal flashers and continue (ii) Daylight hours. Except as provided the flashing until the driver places the in paragraph (b)(2)(iii) of this section, warning devices required by paragraph during the period lighted lamps are not (b) of this section. The flashing signals required, three bidirectional reflective shall be used during the time the warn- triangles, or three lighted fusees or liq- ing devices are picked up for storage uid-burning flares shall be placed as before movement of the commercial specified in paragraph (b)(1) of this sec- motor vehicle. The flashing lights may tion within a time of 10 minutes. In the be used at other times while a commer- event the driver elects to use only cial motor vehicle is stopped in addi- fusees or liquid-burning flares in lieu of tion to, but not in lieu of, the warning bidirectional reflective triangles or red devices required by paragraph (b) of flags, the driver must ensure that at this section. least one fusee or liquid-burning flare (b) Placement of warning devices—(1) remains lighted at each of the pre- General rule. Except as provided in scribed locations as long as the com- paragraph (b)(2) of this section, when- mercial motor vehicle is stopped or ever a commercial motor vehicle is parked. stopped upon the traveled portion or (iii) Business or residential districts. the shoulder of a highway for any cause other than necessary traffic The placement of warning devices is stops, the driver shall, as soon as pos- not required within the business or res- sible, but in any event within 10 min- idential district of a municipality, ex- utes, place the warning devices re- cept during the time lighted lamps are quired by § 393.95 of this subchapter, in required and when street or highway the following manner: lighting is insufficient to make a com- (i) One on the traffic side of and 4 mercial motor vehicle clearly paces (approximately 3 meters or 10 discernable at a distance of 500 feet to feet) from the stopped commercial persons on the highway. motor vehicle in the direction of ap- (iv) Hills, curves, and obstructions. If a proaching traffic; commercial motor vehicle is stopped (ii) One at 40 paces (approximately 30 within 500 feet of a curve, crest of a meters or 100 feet) from the stopped hill, or other obstruction to view, the commercial motor vehicle in the cen- driver shall place the warning signal ter of the traffic lane or shoulder occu- required by paragraph (b)(1) of this sec- pied by the commercial motor vehicle tion in the direction of the obstruction and in the direction of approaching to view a distance of 100 feet to 500 feet traffic; and from the stopped commercial motor ve- (iii) One at 40 paces (approximately hicle so as to afford ample warning to 30 meters or 100 feet) from the stopped other users of the highway. commercial motor vehicle in the cen- (v) Divided or one-way roads. If a com- ter of the traffic lane or shoulder occu- mercial motor vehicle is stopped upon pied by the commercial motor vehicle the traveled portion or the shoulder of
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a divided or one-way highway, the driv- Subpart D—Use of Lighted Lamps er shall place the warning devices re- and Reflectors quired by paragraph (b)(1) of this sec- tion, one warning device at a distance § 392.30—392.32 [Reserved] of 200 feet and one warning device at a distance of 100 feet in a direction to- § 392.33 Obscured lamps or reflectors. ward approaching traffic in the center No commercial motor vehicle shall of the lane or shoulder occupied by the be driven when any of the required commercial motor vehicle. He/she shall lamps or reflectors are obscured by the place one warning device at the traffic tailboard, by any part of the load, by side of the commercial motor vehicle dirt, or otherwise. within 10 feet of the rear of the com- mercial motor vehicle. [33 FR 19732, Dec. 25, 1968, as amended at 60 (vi) Leaking, flammable material. If FR 38747, July 28, 1995] gasoline or any other flammable liquid, or combustible liquid or gas seeps or Subpart E—License Revocation; leaks from a fuel container or a com- Duties of Driver mercial motor vehicle stopped upon a highway, no emergency warning signal § 392.40—392.41 [Reserved] producing a flame shall be lighted or placed except at such a distance from any such liquid or gas as will assure Subpart F—Fueling Precautions the prevention of a fire or explosion. § 392.50 Ignition of fuel; prevention. [37 FR 17175, Aug. 25, 1972, as amended at 40 No driver or any employee of a motor FR 10685, Mar. 7, 1975; 47 FR 47837, Oct. 28, carrier shall: 1982; 48 FR 57139, Dec. 23, 1983; 59 FR 34711, July 6, 1994; 60 FR 38747, July 28, 1995; 63 FR (a) Fuel a commercial motor vehicle 33279, June 18, 1998] with the engine running, except when it is necessary to run the engine to fuel § 392.24 Emergency signals; flame-pro- the commercial motor vehicle; ducing. (b) Smoke or expose any open flame No driver shall attach or permit any in the vicinity of a commercial motor person to attach a lighted fusee or vehicle being fueled; other flame-producing emergency sig- (c) Fuel a commercial motor vehicle nal to any part of a commercial motor unless the nozzle of the fuel hose is vehicle. continuously in contact with the in- take pipe of the fuel tank; [33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995] (d) Permit, insofar as practicable, any other person to engage in such ac- § 392.25 Flame producing devices. tivities as would be likely to result in No driver shall use or permit the use fire or explosion. of any flame-producing emergency sig- [33 FR 19732, Dec. 25, 1968, as amended at 60 nal for protecting any commercial FR 38747, July 28, 1995] motor vehicle transporting Division 1.1, Division 1.2, or Division 1.3 explo- § 392.51 Reserve fuel; materials of sives; any cargo tank motor vehicle trade. used for the transportation of any Small amounts of fuel for the oper- Class 3 or Division 2.1, whether loaded ation or maintenance of a commercial or empty; or any commercial motor ve- motor vehicle (including its auxiliary hicle using compressed gas as a motor equipment) may be designated as mate- fuel. In lieu thereof, emergency reflec- rials of trade (see 49 CFR 171.8). tive triangles, red electric lanterns, or (a) The aggregate gross weight of all red emergency reflectors shall be used, materials of trade on a motor vehicle the placement of which shall be in the may not exceed 200 kg (440 pounds). same manner as prescribed in (b) Packaging for gasoline must be § 392.22(b). made of metal or plastic and conform [59 FR 63925, Dec. 12, 1994, as amended at 60 to requirements of 49 CFR Parts 171, FR 38747, July 28, 1995] 172, 173, and 178 or requirements of the
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Occupational Safety and Health Ad- § 392.61 [Reserved] ministration contained in 29 CFR 1910.106. § 392.62 Safe operation, buses. (c) For Packing Group II (including No person shall drive a bus and a gasoline), Packing Group III (including motor carrier shall not require or per- aviation fuel and fuel oil), or ORM–D, mit a person to drive a bus unless— the material is limited to 30 kg (66 (a) All standees on the bus are rear- pounds) or 30 L (8 gallons). ward of the standee line or other means (d) For diesel fuel, the capacity of the prescribed in § 393.90 of this subchapter; package is limited to 450 L (119 gal- lons). (b) All aisle seats in the bus conform to the requirements of § 393.91 of this (e) A Division 2.1 material in a cyl- inder is limited to a gross weight of 100 subchapter; and kg (220 pounds). (A Division 2.1 mate- (c) Baggage or freight on the bus is rial is a flammable gas, including liq- stowed and secured in a manner which uefied petroleum gas, butane, propane, assures— liquefied natural gas, and methane). (1) Unrestricted freedom of move- ment to the driver and his proper oper- [63 FR 33279, June 18, 1998] ation of the bus; § 392.52 [Reserved] (2) Unobstructed access to all exits by any occupant of the bus; and (3) Protection of occupants of the bus Subpart G—Prohibited Practices against injury resulting from the fall- § 392.60 Unauthorized persons not to ing or displacement of articles trans- be transported. ported in the bus. (a) Unless specifically authorized in [63 FR 33278, June 18, 1998] writing to do so by the motor carrier under whose authority the commercial § 392.63 Towing or pushing loaded motor vehicle is being operated, no buses. driver shall transport any person or No disabled bus with passengers permit any person to be transported on aboard shall be towed or pushed; nor any commercial motor vehicle other shall any person use or permit to be than a bus. When such authorization is used a bus with passengers aboard for issued, it shall state the name of the the purpose of towing or pushing any person to be transported, the points disabled motor vehicle, except in such where the transportation is to begin circumstances where the hazard to pas- and end, and the date upon which such sengers would be increased by observ- authority expires. No written author- ance of the foregoing provisions of this ization, however, shall be necessary for section, and then only in traveling to the transportation of: the nearest point where the safety of (1) Employees or other persons as- the passengers is assured. signed to a commercial motor vehicle by a motor carrier; [33 FR 19732, Dec. 25, 1968, as amended at 60 (2) Any person transported when aid FR 38747, July 28, 1995] is being rendered in case of an accident or other emergency; § 392.64 Riding within closed commer- (3) An attendant delegated to care for cial motor vehicles without proper livestock. exits. (b) This section shall not apply to the No person shall ride within the closed operation of commercial motor vehi- body of any commercial motor vehicle cles controlled and operated by any unless there are means on the inside farmer and used in the transportation thereof of obtaining exit. Said means of agricultural commodities or prod- shall be in such condition as to permit ucts thereof from his/her farm or in the ready operation by the occupant. transportation of supplies to his/her farm. [33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995] [60 FR 38747, July 28, 1995]
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§ 392.65 [Reserved] 393.7 Matter incorporated by reference. § 392.66 Carbon monoxide; use of com- Subpart B—Lighting Devices, Reflectors, mercial motor vehicle when de- and Electrical Equipment tected. 393.9 Lamps operable. (a) No person shall dispatch or drive 393.11 Lighting devices and reflectors. any commercial motor vehicle or per- 393.17 Lamps and reflectors—combinations mit any passengers thereon, when the in driveaway-towaway operation. following conditions are known to 393.19 Requirements for turn signaling sys- exist, until such conditions have been tems. remedied or repaired: 393.20 Clearance lamps to indicate extreme width and height. (1) Where an occupant has been af- 393.22 Combination of lighting devices and fected by carbon monoxide; reflectors. (2) Where carbon monoxide has been 393.23 Lighting devices to be electric. detected in the interior of the commer- 393.24 Requirements for head lamps and cial motor vehicle; auxiliary road lighting lamps. (3) When a mechanical condition of 393.25 Requirements for lamps other than the commercial motor vehicle is dis- head lamps. 393.26 Requirements for reflectors. covered which would be likely to 393.27 Wiring specifications. produce a hazard to the occupants by 393.28 Wiring to be protected. reason of carbon monoxide. 393.29 Grounds. (b) [Reserved] 393.30 Battery installation. 393.31 Overload protective devices. [60 FR 38747, July 28, 1995] 393.32 Detachable electrical connections. 393.33 Wiring, installation. § 392.67 Heater, flame-producing; on commercial motor vehicle in mo- Subpart C—Brakes tion. No open flame heater used in the 393.40 Required brake systems. loading or unloading of the commodity 393.41 Parking brake system. 393.42 Brakes required on all wheels. transported shall be in operation while 393.43 Breakaway and emergency braking. the commercial motor vehicle is in mo- 393.44 Front brake lines, protection. tion. 393.45 Brake tubing and hose, adequacy. 393.46 Brake tubing and hose connections. [33 FR 19732, Dec. 25, 1968, as amended at 60 393.47 Brake lining. FR 38747, July 28, 1995] 393.48 Brakes to be operative. 393.49 Single valve to operate all brakes. §§ 392.68–392.69 [Reserved] 393.50 Reservoirs required. 393.51 Warning devices and gauges. § 392.71 Radar detectors; use and/or 393.52 Brake performance. possession. 393.53 Automatic brake adjusters and brake (a) No driver shall use a radar detec- adjustment indicators. tor in a commercial motor vehicle, or 393.55 Antilock brake systems. operate a commercial motor vehicle that is equipped with or contains any Subpart D—Glazing and Window radar detector. Construction (b) No motor carrier shall require or 393.60 Glazing in specified openings. permit a driver to violate paragraph (a) 393.61 Window construction. of this section. 393.62 Window obstructions. 393.63 Windows, markings. [58 FR 67375, Dec. 21, 1993] Subpart E—Fuel Systems PART 393—PARTS AND ACCES- 393.65 All fuel systems. SORIES NECESSARY FOR SAFE 393.67 Liquid fuel tanks. OPERATION 393.69 Liquefied petroleum gas systems.
Subpart A—General Subpart F—Coupling Devices and Towing Methods Sec. 393.1 Scope of the rules of this part. 393.70 Coupling devices and towing methods, 393.3 Additional equipment and accessories. except for driveaway-towaway oper- 393.5 Definitions. ations.
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393.71 Coupling devices and towing methods, quirements and specifications of this driveaway-towaway operations. part. No employer shall operate a com- mercial motor vehicle, or cause or per- Subpart G—Miscellaneous Parts and mit it to be operated, unless it is Accessories equipped in accordance with the re- 393.75 Tires. quirements and specifications of this 393.76 Sleeper berths. part. 393.77 Heaters. 393.78 Windshield wipers. [54 FR 48617, Nov. 24, 1989] 393.79 Defrosting device. 393.80 Rear-vision mirrors. § 393.3 Additional equipment and ac- 393.81 Horn. cessories. 393.82 Speedometer. Nothing contained in this subchapter 393.83 Exhaust systems. shall be construed to prohibit the use 393.84 Floors. of additional equipment and acces- 393.85 [Reserved] 393.86 Rear end protection. sories, not inconsistent with or prohib- 393.87 Flags on projecting loads. ited by this subchapter, provided such 393.88 Television receivers. equipment and accessories do not de- 393.89 Buses, driveshaft protection. crease the safety of operation of the 393.90 Buses, standee line or bar. motor vehicles on which they are used. 393.91 Buses, aisle seats prohibited. 393.92 Buses, marking emergency doors. § 393.5 Definitions. 393.93 Seats, seat belt assemblies, and seat belt assembly anchorages. As used in this part, the following 393.94 Vehicle interior noise levels. words and terms are construed to mean: Subpart H—Emergency Equipment Agricultural commodity trailer. A trail- er that is designed to transport bulk 393.95 Emergency equipment on all power agricultural commodities in off-road units. harvesting sites and to a processing Subpart I—Protection Against Shifting or plant or storage location, as evidenced Falling Cargo by skeletal construction that accom- modates harvest containers, a maxi- 393.100 General rules for protection against mum length of 28 feet, and an arrange- shifting or falling cargo. ment of air control lines and reservoirs 393.102 Securement systems. that minimizes damage in field oper- 393.104 Blocking and bracing. 393.106 Front-end structure. ations. Antilock Brake System or ABS means a Subpart J—Frames, Cab and Body Com- portion of a service brake system that ponents, Wheels, Steering, and Sus- automatically controls the degree of pension Systems rotational wheel slip during braking by: 393.201 Frames. (1) Sensing the rate of angular rota- 393.203 Cab and body components. tion of the wheels; 393.205 Wheels. 393.207 Suspension systems. (2) Transmitting signals regarding 393.209 Steering wheel systems. the rate of wheel angular rotation to one or more controlling devices which AUTHORITY: Sec. 1041(b) of Pub. L. 102–240, interpret those signals and generate re- 105 Stat. 1914, 1993 (1991); 49 U.S.C. 31136 and 31502; 49 CFR 1.48. sponsive controlling output signals; and SOURCE: 33 FR 19735, Dec. 25, 1968, unless (3) Transmitting those controlling otherwise noted. signals to one or more modulators which adjust brake actuating forces in Subpart A—General response to those signals. Brake. An energy conversion mecha- SOURCE: 53 FR 49384, Dec. 7, 1988, unless nism used to stop, or hold a vehicle otherwise noted. stationary. Brake tubing/hose. Metallic brake tub- § 393.1 Scope of the rules of this part. ing, nonmetallic brake tubing and Every employer and employee shall brake hose are conduits or lines used in comply and be conversant with the re- a brake system to transmit or contain
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the medium (fluid or vacuum) used to Head lamps. Lamps used to provide apply the motor vehicle’s brakes. general illumination ahead of a motor Bus. A vehicle designed to carry more vehicle. than 15 passengers, including the driv- Heater. Any device or assembly of de- er. vices or appliances used to heat the in- Chassis. The load-supporting frame in terior of any motor vehicle. This in- a truck or trailer, exclusive of any ap- cludes a catalytic heater which must purtenances which might be added to meet the requirements of § 177.834(1) of accommodate cargo. this title when flammable liquid or gas Clearance lamp. A lamp used on the is transported. front and the rear of a motor vehicle to Heavy hauler trailer. A trailer with indicate its overall width and height. one or more of the following character- Container chassis. A semitrailer of istics: skeleton construction limited to a bot- (1) Its brake lines are designed to tom frame, one or more axles, specially adapt to separation or extension of the built and fitted with locking devices vehicle frame; or for the transport of cargo containers, (2) Its body consists only of a plat- so that when the chassis and container form whose primary cargo-carrying are assembled, the units serve the same surface is not more than 40 inches function as an over the road trailer. above the ground in an unloaded condi- Converter dolly. A motor vehicle con- tion, except that it may include sides sisting of a chassis equipped with one that are designed to be easily remov- or more axles, a fifth wheel and/or able and a permanent ‘‘front-end struc- equivalent mechanism, and drawbar, ture’’ as that term is used in Section the attachment of which converts a 393.106 of this title. semitrailer to a full trailer. Identification lamps. Lamps used to Curb weight. The weight of a motor identify certain types of commercial vehicle with standard equipment, max- motor vehicles. imum capacity of fuel, oil, and coolant; Lamp. A device used to produce arti- and, if so equipped, air conditioning ficial light. and additional weight of optional en- Length of a manufactured home. The gine. Curb weight does not include the largest exterior length in the traveling driver. mode, including any projections which Emergency brake system. A mechanism contain interior space. Length does not designed to stop a vehicle after a single include bay windows, roof projections, failure occurs in the service brake sys- overhangs, or eaves under which there tem of a part designed to contain com- is no interior space, nor does it include pressed air or brake fluid or vacuum drawbars, couplings or hitches. (except failure of a common valve, License plate lamp. A lamp used to il- manifold brake fluid housing or brake luminate the license plate on the rear chamber housing). of a motor vehicle. Fifth wheel. A device mounted on a Manufactured home means a struc- truck tractor or similar towing vehicle ture, transportable in one or more sec- (e.g., converter dolly) which interfaces tions, which in the traveling mode, is with and couples to the upper coupler eight body feet or more in width or assembly of a semitrailer. forty body feet or more in length, or, Fuel tank fitting. Any removable de- when erected on site, is three hundred vice affixed to an opening in the fuel twenty or more square feet, and which tank with the exception of the filler is built on a permanent chassis and de- cap. signed to be used as a dwelling with or Grommet. A device that serves as a without a permanent foundation when support and protection to that which connected to the required utilities, and passes through it. includes the plumbing, heating, air- Hazard warning signal. Lamps that conditioning, and electrical systems flash simultaneously to the front and contained therein. Calculations used to rear, on both the right and left sides of determine the number of square feet in a commercial motor vehicle, to indi- a structure will be based on the struc- cate to an approaching driver the pres- ture’s exterior dimensions measured at ence of a vehicular hazard. the largest horizontal projections when
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erected on site. These dimensions will vice which is securely attached to the include all expandable rooms, cabinets, towing vehicle and maintains a fixed and other projections containing inte- position relative thereto but does not rior space, but do not include bay win- include the ‘‘king-pin;’’ and dows. This term includes all structures (3) King-pin. King-pin means that de- which meet the above requirements ex- vice which is used to connect the cept the size requirements and with re- ‘‘upper-half’’ to the ‘‘lower-half’’ in spect to which the manufacturer volun- such manner as to permit relative tarily files a certification pursuant to movement in a horizontal plane be- 24 CFR 3282.13 and complies with the tween the towed and towing vehicles. standards set forth in 24 CFR part 3280. Service brake system. A primary brake Parking brake system. A brake system used to hold a vehicle stationary. system used for slowing and stopping a Play. Any free movement of compo- vehicle. nents. Side extremities. The outermost point Pulpwood trailer. A trailer that is de- on the sides of the vehicle. Non- signed exclusively for harvesting logs structural protrusions such as tail or pulpwood and constructed with a lights, hinges, and latches are excluded skeletal frame with no means for at- from the determination of the outer- tachment of a solid bed, body, or con- most point. tainer, and with an arrangement of air Side marker lamp (Intermediate). A control lines and reservoirs designed to lamp shown to the side of a trailer to minimize damage in off-road oper- indicate the approximate middle of a ations. trailer 30 feet or more in length. Rear extremity. The rearmost point on Side marker lamps. Lamps used on a vehicle when the vehicle’s cargo each side of a trailer to indicate its doors, tailgate or other permanent overall length. structure are positioned as they nor- Steering wheel lash. The condition in mally are when the vehicle is being which the steering wheel may be driven. Non-structural protrusions turned through some part of a revolu- such as tail lights, hinges, and latches tion without associated movement of are deleted from the determination of the rearmost point. the front wheels. Reflective material. A material con- Stop lamps. Lamps shown to the rear forming to Federal Specification L–S– of a motor vehicle to indicate that the 300, ‘‘Sheeting and Tape, Reflective; service brake system is engaged. Non-exposed Lens, Adhesive Backing,’’ Tail lamps. Lamps used to designate (September 7, 1965) meeting the per- the rear of a motor vehicle. formance standard in either Table 1 or Turn signals. Lamps used to indicate Table 1A of SAE Standard J594f, ‘‘Re- a change in direction by emitting a flex Reflectors’’ (January, 1977). flashing light on the side of a motor ve- Reflex reflector. A device which is used hicle towards which a turn will be on a vehicle to give an indication to an made. approaching driver by reflected lighted Upper coupler assembly. A structure from the lamps on the approaching ve- consisting of an upper coupler plate, hicle. king-pin and supporting framework Saddle-mount. A device, designed and which interfaces with and couples to a constructed as to be readily demount- fifth wheel. able, used in driveaway-towaway oper- Upper coupler plate. A plate structure ations to perform the functions of a conventional fifth wheel: through which the king-pin neck and (1) Upper-half. Upper-half of a ‘‘sad- collar extend. The bottom surface of dle-mount’’ means that part of the de- the plate contacts the fifth wheel when vice which is securely attached to the coupled. towed vehicle and maintains a fixed po- Width of a manufactured home. The sition relative thereto, but does not in- largest exterior width in the traveling clude the ‘‘king-pin;’’ mode, including any projections which (2) Lower-half. Lower-half of a ‘‘sad- contain interior space. Width does not dle-mount’’ means that part of the de- include bay windows, roof projections,
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overhangs, or eaves under which there Inc., 710 East Ogden Avenue, suite 113, is no interior space. Naperville, Illinois 60563. (5) Manuals of the Wire Rope Tech- [53 FR 49384, Dec. 7, 1988, as amended at 63 FR 8339, Feb. 18, 1998; 63 FR 24465, May 4, nical Board. Information and copies 1998] may be obtained by writing to: Wire Rope Technical Committee, P.O. Box EFFECTIVE DATE NOTE: At 63 FR 8339, Feb. 849, Stevensville, Maryland 21666. 18, 1998, § 393.5 was amended by adding the (6) Standards of the Cordage Insti- definitions of ‘‘length of a manufactured home’’, ‘‘manufactured home’’, and ‘‘width of tute. Information and copies may be a manufactured home’’, effective Nov. 16, obtained by writing to: Cordage Insti- 1998. tute, 350 Lincoln Street, No. 115, Hingham, Massachusetts 02043. § 393.7 Matter incorporated by ref- (7)–(9) [Reserved] erence. (10) All of the materials incorporated (a) Incorporation by reference. Part 393 by reference are available for inspec- includes references to certain matter tion at: or materials. The text of the materials (i) The Department of Transportation is not included in the regulations con- Library, 400 Seventh Street, SW., tained in part 393. The materials are Washington, DC 20590 in room 2200. hereby made a part of the regulations These documents are also available for in part 393. The Director of the Federal inspection and copying as provided in Register has approved the materials in- 49 CFR part 7, appendix D; and corporated by reference in accordance (ii) The Office of the Federal Reg- with 5 U.S.C. 552(a) and 1 CFR part 51. ister, 800 North Capitol Street, NW., For materials subject to change, only suite 700, Washington, DC. the specific version approved by the Di- [59 FR 34712, July 6, 1994, as amended at 59 rector of the Federal Register and spec- FR 34718, July 6, 1994] ified in the regulation are incor- porated. Material is incorporated as it Subpart B—Lighting Devices, Re- exists on the date of the approval and flectors, and Electrical Equip- a notice of any change in these mate- ment rials will be published in the FEDERAL REGISTER. § 393.9 Lamps operable. (b) Availability. The materials incor- All lamps required by this subpart porated by reference are available as shall be capable of being operated at follows: all times. (1) Standards of the Underwriters Laboratories, Inc. Information and cop- (49 U.S.C. 304, 1655; 49 CFR 1.48(b) and 301.60) ies may be obtained by writing to: Un- [47 FR 47837, Oct. 28, 1982] derwriters Laboratories, Inc., 333 Pfingsten Road, Northbrook, Illinois § 393.11 Lighting devices and reflec- 60062. tors. (2) Specifications of the American The following Table 1 sets forth the Society for Testing and Materials. In- required color, position, and required formation and copies may be obtained lighting devices by type of commercial by writing to: American Society for motor vehicle. Diagrams illustrating Testing and Materials, 1916 Race the locations of lighting devices and Street, Philadelphia, Pennsylvania reflectors, by type and size of commer- 19103. cial motor vehicle, are shown imme- (3) Specifications of the National As- diately following Table 1. All lighting sociation of Chain Manufacturers. In- devices on motor vehicles placed in op- formation and copies may be obtained eration after March 7, 1989, must meet by writing to: National Association of the requirements of 49 CFR 571.108 in Chain Manufacturers, P.O. Box 3143, effect at the time of manufacture of York, Pennsylvania 17402–0143. the vehicle. Motor vehicles placed in (4) Specifications of the Web Sling operation on or before March 7, 1989, and Tiedown Association. Information must meet either the requirements of and copies may be obtained by writing this subchapter or part 571 of this title to: Web Sling and Tiedown Association, in effect at the time of manufacture.
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Footnote—1 Any motor vehicle transporting a load Identification lamps may be mounted on which extends more than 4 inches beyond the the vertical centerline of the cab where dif- width of the motor vehicle, or having projec- ferent from the centerline of the vehicle, ex- tions beyond the rear of such vehicles, shall cept where the cab is not more than 42 be equipped with the following lamps in ad- inches wide at the front roofline, then a sin- dition to other required lamps, have the gle lamp at the center of the cab shall be loads marked deemed to comply with the requirements for Loads projecting more than 4 inches be- identification lamps. No part of the identi- yond sides of motor vehicles: fication lamps or their mountings may ex- (1) The foremost edge of the projecting tend below the top of the vehicle windshield. load at its outermost extremity shall be Footnote—2 marked with an amber lamp visible from the Unless the turn signals on the front are so front and both sides. constructed (double-faced) and located as to (2) The rearmost edge of the projecting be visible to passing drivers, two turn signals load at its outermost extremity shall be are required on the rear of the truck tractor, marked with a red lamp visible from the rear one at each side as far apart as practicable. and side. (3) If any portion of the projecting load ex- Footnote—3 tends beyond both the foremost and rear- The identification lamps need not be visi- most edge, it shall be marked with an amber ble or lighted if obscured by a vehicle in the lamp visible from the front, both sides, and same combination. rear. Footnote—4 (4) If the protecting load does not measure Any semitrailer or full trailer vehicles more than 3 feet from front to rear, it shall manufactured on and after March 1, 1979, be marked with an amber lamp visible from shall be equipped with rear side-marker the front, both sides, and rear, except that if lamps at a height of not less than 15 inches the projection is located at or near the rear (381 mm) nor more than 60 inches (1524 mm) it shall be marked by a red lamp visible from above the road surface, as measured from the front, side, and rear. center of the lamp on the vehicle at curb Footnote—10 weight. The rear side marker lamps shall be Projections beyond rear of motor vehicles. visible in the vehicle’s rearview mirrors Motor vehicles transporting loads which ex- when the trailer is tracking straight. tend more than 4 feet beyond the rear of the Footnote—5 motor vehicle, or which have these For purposes of these regulations, each tailboards or tailgates extending more than 4 converter dolly shall be equipped with one feet beyond the body, shall have projections stop lamp, one tail lamp, and two reflectors marked as follows: on the rear at each side when towed singly (1) On each side of the projecting load, one by another vehicle. Each converter dolly red lamp, visible from the side, located so as shall be equipped with turn signals at the to indicate maximum overhang. rear if the converter dolly obscures the turn (2) On the rear of the projecting load, two signals at the rear of the towing vehicle red lamps, visible from the rear, one at each when towed singly by another vehicle. side; and two red reflectors visible from the Footnote—6 rear, one at each side, located so as to indi- Pole trailers will have two reflectors, one cate maximum width. on each side, placed to indicate extreme Footnote—11 width of the trailer. To be illuminated when tractor headlamps Footnote—7 are illuminated. Pole trailers may have three identification Footnote—12 lamps mounted on the vertical centerline of Every bus, truck, and truck tractor shall the rear of the cab of the truck tractor draw- be equipped with a signaling system that, in ing the pole trailer, and higher than the load addition to signaling turning movements, being transported, in lieu of the three identi- shall have a switch or combination of fication lamps mounted on the rear vertical switches that will cause the two front turn centerline of the trailer. signals and the two rear signals to flash si- Footnote—8 multaneously as a vehicular traffic signal Pole trailers shall have on the rearmost warning, required by § 392–22(a). The system support for the load, one combination mark- shall be capable of flashing simultaneously er lamp or two single lamps showing amber with the ignition of the vehicle on or off. to the front and red to the rear and side, Footnote—13 mounted on each side to indicate maximum To be actuated upon application of service width of the pole trailer; and one red reflec- brakes. tor on each side of the rearmost support for Footnote—14 the load. Backup lamp required to operate when bus, Footnote—9 truck, or truck tractor is in reverse.
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Footnote—15 rear clearance lamps need not meet the re- When the rear identification lamps are quirement that they be located as close as mounted at the extreme height of a vehicle, practicable to the top of the vehicle.
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825
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826
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830
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831
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832
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LEGEND (USED IN ILLUSTRATIONS) (2) On each side, there must be at least one side-marker lamp, located 1. Headlamps (2)-White (4 optional) near the front of the vehicle. 2. Side-marker lamps. Front (2)-Amber (3) On the rear, there must be at least 3. Side reflectors. Front (2)-Amber two tail lamps, one at each side, and 4. Turn-signal lamps. Front (2)-Amber 4a. Turn-signal lamps. Front (2)-Amber (Op- two stop lamps, one at each side. tional location) (b) Except as provided in paragraph 5. Identification lamps. Front (3)-Amber (c) of this section, the rearmost towed 5a. Identification lamps. Front (3)-Amber vehicle of the combination (including (Optional location) the towed vehicle or a tow-bar com- 6. Clearance lamps. Front (2)-Amber bination, the towed vehicle of a single 7. Side-marker lamps. Rear (2)-Red saddle-mount combination, and the 8. Side-reflectors. Rear (2)-Red rearmost towed vehicle of a double or 9. Identification lamps. Rear (3)-Red triple saddle-mount combination) or, 10. Clearance lamps. Rear (2)-Red in the case of a vehicle full-mounted on 11. Reflectors Rear (2)-Red a saddle-mount vehicle, either the full- 12. Stop lamps. Rear (2)-Red mounted vehicle or the rearmost sad- 13. License plate lamp. Rear (1)-White dle-mounted vehicle must be equipped 14. Backup lamp. Rear (1)-White (location op- tional provided optional requirements are as follows: met) (1) On each side, there must be at 15. Side-marker lamps. Intermediate (2)- least one side-marker lamp, located Amber (if vehicle is 30’ or more overall near the rear of the vehicle. length) (2) On the rear, there must be at least 16. Side reflectors. Intermediate (2)-Amber two tail lamps, two stop lamps, two (if vehicle is 30’ or more overall length) turn signals, two clearance lamps, and 17. Turn signal lamps. Rear (2)-Amber or Red two reflectors, one of each type at each 18. Tail lamps. Rear (2)-Red side. In addition, if any vehicle in the 19. Parking lamps. Front 2-Amber or White combination is 80 inches or more in [53 FR 49385, Dec. 7, 1988] overall width, there must be three identification lamps on the rear. § 393.17 Lamps and reflectors—com- (c) If the towed vehicle in a combina- binations in driveaway-towaway tion is a mobile structure trailer, it operation. must be equipped in accordance with A combination of motor vehicles en- the following lighting devices. For the gaged in driveaway-towaway operation purposes of this part, mobile structure must be equipped with operative lamps trailer means a trailer that has a roof and reflectors conforming to the rules and walls, is at least 10 feet wide, and in this section. can be used off road for dwelling or (a) The towing vehicle must be commercial purposes. equipped as follows: (1) When the vehicle is operated in (1) On the front, there must be at accordance with the terms of a special least two headlamps, an equal number permit prohibiting operation during at each side, two turn signals, one at the times when lighted lamps are re- each side, and two clearance lamps, one quired under § 392.30, it must have on at each side. the rear—
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(i) Two stop lamps, one on each side (2) At all other times, the vehicle of the vertical centerline, at the same must be equipped as specified in para- height, and as far apart as practicable; graph (b) of this section. (ii) Two tail lamps, one on each side (d) An intermediate towed vehicle in of the vertical centerline, at the same a combination consisting of more than height, and as far apart as practicable; two vehicles (including the first saddle- (iii) Two red reflex reflectors, one on mounted vehicle of a double saddle- each side of the vertical centerline, at mount combination and the first and the same height, and as far apart as second saddle-mount vehicles of a tri- practicable; and ple saddle-mount combination) must (iv) Two turn signal lamps, one on each side of the vertical centerline, at have one side-marker lamp on each the same height, and as far apart as side, located near the rear of the vehi- practicable. cle.
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(49 U.S.C. 304, 1655; 49 CFR 1.48(b) and 301.60) [40 FR 36126, Aug. 19, 1975, as amended at 47 FR 47837, Oct. 28, 1982]
§ 393.19 Requirements for turn signal- § 393.20 Clearance lamps to indicate ing systems. extreme width and height. (a) Every bus, truck, or truck tractor Clearance lamps shall be mounted so shall be equipped with a signaling sys- as to indicate the extreme width of the tem that in addition to signaling turn- motor vehicle (not including mirrors) ing movements shall have a switch or and as near the top thereof as prac- combination of switches that will ticable: Provided, That when rear iden- cause the two front turn signals and tification lamps are mounted at the ex- the two rear turn signals to flash si- treme height of the vehicle, rear clear- multaneously as a vehicular traffic ance lamps may be mounted at op- hazard warning as required by § 392.22 tional height: And provided further, with the ignition on or off. That when mounting of front clearance (b) Every semitrailer and full trailer lamps at the highest point of a trailer shall be equipped so as to have the two results in such lamps failing to mark rear turn signals to flash simulta- the extreme width of the trailer, such neously with the two front turn signals lamps may be mounted at optional of the towing vehicle as a vehicular height but must indicate the extreme width of the trailer. Clearance lamps traffic hazard warning as required by on truck tractors shall be so located as § 392.22(a). to indicate the extreme width of the [53 FR 49397, Dec. 7, 1988] truck tractor cab.
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Diagram to illustrate § 393.20 for mounting of (1) Each required lighting device and front clearance lamps on truck tractors reflector conforms to the applicable with sleeper cabs.) rules in this part; and (2) Neither the mounting nor the use of a nonrequired lighting device or re- flector impairs the effectiveness of a required lighting device or reflector or causes that device or reflector to be in- consistent with the applicable rules in this part. (b) Prohibited combinations. (1) A turn signal lamp must not be combined opti- cally with either a head lamp or other lighting device or combination of light- [33 FR 19735, Dec. 25, 1968, as amended at 34 ing devices that produces a greater in- FR 6851, Apr. 24, 1969] tensity of light than the turn signal lamp. § 393.22 Combination of lighting de- (2) A turn signal lamp must not be vices and reflectors. combined optically with a stop lamp (a) Permitted combinations. Except as unless the stop lamp function is always provided in paragraph (b) of this sec- deactivated when the turn signal func- tion, two or more lighting devices and tion is activated. reflectors (whether or not required by the rules in this part) may be combined optically if—
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(3) A clearance lamp must not be (d) Aiming and intensity. Head lamps combined optically with a tail lamp or shall be constructed and installed so as identification lamp. to provide adequate and reliable illu- mination and shall conform to the ap- [39 FR 26908, July 24, 1974] propriate specification set forth in the SAE Standards 1 for ‘‘Electric Head § 393.23 Lighting devices to be electric. Lamps for Motor Vehicles’’ or ‘‘Sealed- Lighting devices shall be electric, ex- Beam Head Lamp Units for Motor Ve- cept that red liquid-burning lanterns hicles.’’ may be used on the end of loads in the [33 FR 19735, Dec. 25, 1968, as amended at 41 nature of poles, pipes, and ladders pro- FR 53031, Dec. 3, 1976; 53 FR 49397, Dec. 7, jecting to the rear of the motor vehi- 1988] cle. § 393.25 Requirements for lamps other § 393.24 Requirements for head lamps than head lamps. and auxiliary road lighting lamps. (a) Mounting. All lamps shall be per- (a) Mounting. Head lamps and auxil- manently and securely mounted in iary road lighting lamps shall be workmanlike manner on a permanent mounted so that the beams are readily part of the motor vehicle, except that adjustable, both vertically and hori- temporary lamps on motor vehicles zontally, and the mounting shall be being transported in driveaway- such that the aim is not readily dis- towaway operations and temporary turbed by ordinary conditions of serv- electric lamps on projecting loads need ice. not be permanently mounted nor (b) Head lamps required. Every bus, mounted on a permanent part of the truck, and truck tractor shall be vehicle. The requirement for three equipped with a headlighting system identification lamps on the centerline composed of at least two head lamps, of a vehicle will be met as to location not including fog or other auxiliary by one lamp on the centerline, with the lamps, with an equal number on each other two at right and left. All tem- side of the vehicle. The headlighting porary lamps must be firmly attached. system shall provide an upper and (b) Visibility. All required exterior lower distribution of light, selectable lamps shall be so mounted as to be ca- at the driver’s will. pable of being seen at all distances be- (c) Fog, adverse-weather, and auxiliary tween 500 feet and 50 feet under clear road-lighting lamps. For the purposes of atmospheric conditions during the this section, fog, adverse-weather, and time lamps are required to be lighted. The light from front clearance and auxiliary road lighting lamps, when in- front identification lamps shall be visi- stalled, are considered to be a part of ble to the front, that from sidemarker the headlighting system. Such lamps lamps to the side, that from rear clear- may be used in lieu of head lamps ance, rear identification, and tail under conditions making their use ad- lamps to the rear, and that from pro- visable if there be at least one such jecting loadmarker lamps from those lamp conforming to the appropriate directions required by § 393.11. This SAE Standard 1 for such lamps on each shall not be construed to apply to side of the vehicle. lamps on one unit which are obscured by another unit of a combination of ve- 1 Wherever reference is made in these regu- hicles. lations to SAE Standards or SAE Rec- (c) Specifications. All required lamps ommended Practices, they shall be: (a) As found in the 1985 edition of the SAE except those already installed on vehi- Handbook with respect to parts and acces- cles tendered for transportation in sories other than lighting devices and reflec- tors. (2) Lighting devices and reflectors on (b) When reference is made in these regula- motor vehicles manufactured on and after tions to SAE Standards or SAE Rec- March 7, 1990, shall conform to FMVSS ommended Practices, they shall be as found 571.108 (49 CFR 571.108) in effect at the time in the 1985 edition of the SAE Handbook: of manufacture of the vehicle. Should a con- (1) With respect to parts and accessories flict arise between FMVSS 571.108 and a SAE other than lighting devices and reflectors: Standard, FMVSS 571.108 will prevail.
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driveaway and towaway operations (5) Combination lamps shall be shall conform to appropriate require- marked with the manufacturer’s or ments of the SAE Standards and/or supplier’s name or trade name and Recommended Practices 1 as indicated shall be marked ‘‘SAE’’ followed by the below, except that the minimum re- appropriate letters indicating the indi- quired marking of lamps conforming to vidual lamps combined. The letter ‘‘A’’, the 1985 requirements shall be as speci- as specified in § 393.26(c), may be in- fied in paragraph (d) of this section. cluded to certify that a reflector in the Projecting load marker lamps shall combination conforms to the require- conform to the requirements for clear- ments appropriate to such marking. If ance, side-marker, and identification the letter ‘‘I’’ follows the letter ‘‘A’’ lamps. Turn signals shall conform to immediately the two letters shall be the requirements for class A, Type I deemed to refer to a turn signal unit, turn signals, provided. as specified in paragraph (d)(2) of this (1) Lamps on vehicles made before section. Combination clearance and July 1, 1961, excepting replacement side marker lamps may be marked lamps as specified in paragraph (c)(2) of ‘‘SAE–PC’’. this section, shall conform to the 1952 (e) Lighting devices to be steady-burn- requirements. ing. All exterior lighting devices shall (2) Lamps on vehicles made on and be of the steady-burning type except after July 1, 1961, and replacement turn signals on any vehicle, stop lamps lamps installed on and after December when used as turn signals, warning 31, 1961, shall conform to the 1985 re- lamps on school buses when operating quirements. as such, and warning lamps on emer- (3) Lamps temporarily attached to gency and service vehicles authorized vehicles transported in driveaway and by State or local authorities, and ex- towaway operations on and after De- cember 31, 1961, shall conform to the cept that lamps combined into the 1985 requirements. same shell or housing with any turn (d) Certification and markings. All signal may be turned off by the same lamps required to conform to the re- switch that turns the signal on for quirements of the SAE Standards 1 flashing and turned on again when the shall be certified by the manufacturer turn signal as such is turned off. This or supplier that they do so conform, by paragraph shall not be construed to markings indicated below. The mark- prohibit the use of vehicular hazard ings in each case shall be visible when warning signal flashers as required by the lamp is in place on the vehicle. § 392.22 or permitted by § 392.18. (1) Stop lamps shall be marked with (f) Stop lamp operation. All stop lamps the manufacturer’s or supplier’s name on each motor vehicle or combination or trade name and shall be marked of motor vehicles shall be actuated ‘‘SAE–S’’. upon application of any of the service (2) Turn signal units shall be marked brakes, except that such actuation is with the manufacturer’s or supplier’s not required upon activation of the name or trade name and shall be emergency feature of trailer brakes by marked ‘‘SAE–AI’’ or ‘‘SAE–I’’. means of either manual or automatic (3) Tail lamps shall be marked with control on the towing vehicle, and ex- the manufacturer’s or supplier’s name cept that stop lamps on a towing vehi- or trade name and shall be marked cle need not be actuated when service ‘‘SAE–T’’. brakes are applied to the towed vehi- (4) Clearance, side marker, identifica- cles or vehicles only, and except that tion, and projecting load-marker no stop lamp need be actuated as such lamps, except combination lamps, shall when it is in use as a turn signal or be marked with the manufacturer’s or when it is turned off by the turn signal supplier’s name or trade name and switch as provided in paragraph (e) of shall be marked ‘‘SAE’’ or ‘‘SAE–P’’. this section. [33 FR 19735, Dec. 25, 1968, as amended at 48 1 See footnote 1 to § 393.24(c). FR 57139, Dec. 28, 1983; 53 FR 49397, Dec. 7, 1 See footnote 1 to § 393.24(c). 1988; 61 FR 1843, Jan. 24, 1996]
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§ 393.26 Requirements for reflectors. (2) Designs do not tend to distort the length and/or width of the motor vehi- (a) Mounting. All required reflectors cle. shall be mounted upon the motor vehi- (3) Such surfaces shall be at least 3 cle at a height not less than 15 inches inches from any required lamp or re- nor more than 60 inches above the flector unless of the same color as such ground on which the motor vehicle lamp or reflector. stands, except that reflectors shall be (4) No red color shall be used on the mounted as high as practicable on front of any motor vehicle, except for motor vehicles which are so con- display of markings or placards re- structed as to make compliance with quired by § 177.823 of this title. the 15-inch requirement impractical. (5) Retroreflective license plates re- They shall be so installed as to perform quired by State or local authorities their function adequately and reliably, may be used. and except for temporary reflectors re- quired for vehicles in driveaway- [33 FR 19735, Dec. 25, 1968, as amended at 35 towaway operations, or on projecting FR 3167, Feb. 19, 1970; 53 FR 49397, Dec. 7, loads, all reflectors shall be perma- 1988] nently and securely mounted in § 393.27 Wiring specifications. workmanlike manner so as to provide the maximum of stability and the min- (a) Wiring for both low voltage (ten- imum likelihood of damage. Required sion) and high voltage (tension) cir- reflectors otherwise properly mounted cuits shall be constructed and installed may be securely installed on flexible so as to meet design requirements. Wir- strapping or belting provided that ing shall meet or exceed, both me- under conditions of normal operation chanically and electrically, the follow- ing SAE Standards as found in the 1985 they reflect light in the required direc- edition of the SAE Handbook: tions. Required temporary reflectors (1) Commercial vehicle engine igni- mounted on motor vehicles during the tion systems-SAE J557-High Tension time they are in transit in any Ignition Cable. driveaway-towaway operation must be (2) Commercial vehicle battery cable- firmly attached. SAE J1127-Jan 80-Battery Cable. (b) Specifications. All required reflec- (3) Other commercial vehicle wiring- tors except those installed on vehicles SAE J1128-Low Tension Primary Cable. tendered for transportation in (b) The source of power and the elec- driveaway and towaway operations trical wiring shall be of such size and shall comply with FMVSS 571.108 (49 characteristics as to provide the nec- CFR 571.108) in effect at the time the essary voltage as the design requires to vehicle was manufactured or the cur- comply with FMVSS 571.108. rent FMVSS 571.108 requirements. (c) Lamps shall be properly grounded. (c) Certification and markings. All re- flectors required to conform to the NOTE: This shall not prohibit the use of the specifications in paragraph (b) shall be frame or other metal parts of a motor vehi- certified by the manufacturer or sup- cle as a return ground system provided truck-tractor semitrailer/full trailer com- plier that they do so conform, by binations are electrically connected. marking with the manufacturer’s or supplier’s name or trade name and the [53 FR 49397, Dec. 7, 1988] letters ‘‘SAE-A’’. The marking in each case shall be visible when the reflector § 393.28 Wiring to be protected. is in place on the vehicle. (a) The wiring shall— (d) Retroreflective surfaces. (1) Be so installed that connections Retroreflective surfaces other than re- are protected from weather, abrasion, quired reflectors may be used, pro- road splash, grease, oil, fuel and chaf- vided: ing; (1) Designs do not resemble traffic (2) Be grouped together, when pos- control signs, lights, or devices, except sible, and protected by nonconductive that straight edge striping resembling tape, braid, or other covering capable a barricade pattern may be used. of withstanding severe abrasion or
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shall be protected by being enclosed in § 393.31 Overload protective devices. a sheath or tube; (a) The current to all low tension cir- (3) Be properly supported in a manner cuits shall pass through overload pro- to prevent chafing; tective devices except that this re- (4) Not be so located as to be likely quirement shall not be applicable to to be charred, overheated, or enmeshed battery-to-starting motor or battery- in moving parts; to-generator circuits, ignition and en- (5) Not have terminals or splices lo- gine control circuits, horn circuits, cated above the fuel tank except for electrically-operated fuel pump cir- the fuel sender wiring and terminal; cuits, or electric brake circuits. and (b) Trucks, truck-tractors, and buses (6) Be protected when passing meeting the definition of a commercial through holes in metal by a grommet, motor vehicle and manufactured after or other means, or the wiring shall be June 30, 1953 shall have protective de- encased in a protective covering. vices for electrical circuits arranged so (b) The complete wiring system in- that: cluding lamps, junction boxes, recep- (1) The headlamp circuit or circuits tacle boxes, conduit and fittings must shall not be affected by a short circuit be weather resistant. in any other lighting circuits on the (c) Harness connections shall be ac- motor vehicle; or complished by a mechanical means. (2) The protective device shall be an automatic reset overload circuit break- [53 FR 49397, Dec. 7, 1988] er if the headlight circuit is protected in common with other circuits. § 393.29 Grounds. [33 FR 19735, Dec. 25, 1968, as amended at 53 The battery ground and trailer re- FR 49397, Dec. 7, 1988] turn ground connections on a grounded system shall be readily accessible. The § 393.32 Detachable electrical connec- contact surfaces of electrical connec- tions. tions shall be clean and free of oxide, Electrical wiring between towing and paint, or other nonconductive coating. towed vehicles shall be contained in a cable or cables or entirely within an- § 393.30 Battery installation. other substantially constructed protec- Every storage battery on every vehi- tive device. All such electrical wiring cle, unless located in the engine com- shall be mechanically and electrically partment, shall be covered by a fixed adequate and free of short or open cir- part of the motor vehicle or protected cuits. Suitable provision shall be made by a removable cover or enclosure. Re- in every such detachable connection to movable covers or enclosures shall be afford reasonable assurance against substantial and shall be securely connection in an incorrect manner or latched or fastened. The storage bat- accidental disconnection. Detachable tery compartment and adjacent metal connections made by twisting together parts which might corrode by reason of wires from the towed and towing units battery leakage shall be painted or are prohibited. Precaution shall be coated with an acid-resisting paint or taken to provide sufficient slack in the coating and shall have openings to pro- connecting wire or cable to accommo- vide ample battery ventilation and date without damage all normal mo- drainage. Wherever the cable to the tions of the parts to which they are at- starting motor passes through a metal tached. compartment, the cable shall be pro- tected against grounding by an acid § 393.33 Wiring, installation. and waterproof insulating bushing. Electrical wiring shall be systemati- Wherever a battery and a fuel tank are cally arranged and installed in a both placed under the driver’s seat, workmanlike manner. All detachable they shall be partitioned from each wiring, except temporary wiring con- other, and each compartment shall be nections for driveaway-towaway oper- provided with an independent cover, ations, shall be attached to posts or ventilation, and drainage. terminals by means of suitable cable
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terminals which conform to the SAE tems (except the service brake actu- Standard 1 for ‘‘Cable Terminals’’ or by ation pedal or valve)— cable terminals which are mechani- (i) The vehicle will have operative cally and electrically at least equal to brakes; and such terminals. The number of wires (ii) In the case of a vehicle manufac- attached to any post shall be limited to tured on or after July 1, 1973, the vehi- the number which such post was de- cle will have operative brakes capable signed to accommodate. The presence of performing as specified in § 393.52(b). of bare, loose, dangling, chafing, or (2) A motor vehicle to which the poorly connected wires is prohibited. emergency brake system requirements of Federal Motor Vehicle Safety Stand- Subpart C—Brakes ard No. 105 (§ 571.105 of this title) ap- plied at the time of its manufacture § 393.40 Required brake systems. conforms to the requirements of para- (a) General. A bus, truck, truck trac- graph (c)(1) of this section if— tor, or a combination of motor vehicles (i) It is maintained in conformity must have brakes adequate to control with the emergency brake require- the movement of, and to stop and hold, ments of Standard No. 105 in effect on the vehicle or combination of vehicles. the date of its manufacture; and (b) Specific systems required. (1) A bus, (ii) It is capable of performing as truck, truck tractor, or combination of specified in § 393.52(b), except upon motor vehicles must have— structural failure of its brake master (i) A service brake system that con- cylinder body or effectiveness indicator forms to the requirements of § 393.52; body. and (3) A bus conforms to the require- (ii) A parking brake system that con- ments of paragraph (c)(1) of this sec- forms to the requirements of § 393.41. tion if it meets the requirements of (2) A bus, truck, truck tractor, or a § 393.44 and is capable of performing as combination of motor vehicles manu- specified in § 393.52(b). factured on or after July 1, 1973, must [36 FR 20297, Oct. 20, 1971, as amended at 37 have an emergency brake system that FR 5251, Mar. 11, 1972] conforms to the requirements of § 393.52(b) and consists of either— § 393.41 Parking brake system. (i) Emergency features of the service (a) Every commercial motor vehicle brake system; or manufactured on and after March 7, (ii) A system separate from the serv- 1990, except an agricultural commodity ice brake system. trailer, converter dolly, heavy hauler A control by which the driver applies or pulpwood trailer, shall at all times the emergency brake system must be be equipped with a parking brake sys- located so that the driver can readily tem adequate to hold the vehicle or operate it when he/she is properly re- combination under any condition of strained by any seat belt assembly pro- loading as required by FMVSS 571.121. vided for his/her use. The control for An agricultural commodity trailer, applying the emergency brake system heavy hauler or pulpwood trailer shall may be combined with either the con- carry sufficient chocking blocks to pre- trol for applying the service brake sys- vent movement when parked. tem or the control for applying the (b) The parking brake system shall at parking brake system. However, all all times be capable of being applied in three controls may not be combined. conformance with the requirements of (c) Interconnected systems. (1) If the paragraph (a) of the section by either brake systems specified in paragraph the driver’s muscular effort, or by (b) of this section are interconnected in spring action, or by other energy, pro- any way, they must be designed, con- vided, that if such other energy is de- structed, and maintained so that, upon pended on for application of the park- the failure of any part of the operating ing brake, then an accumulation of mechanism of one or more of the sys- such energy shall be isolated from any common source and used exclusively 1 See footnote 1 to § 393.24(c). for the operation of the parking brake.
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(c) The parking brake system shall be rofitted to meet the requirements of held in the applied position by energy this section within one year from Feb- other than fluid pressure, air pressure, ruary 26, 1987, if the brake components or electric energy. The parking brake have been removed. system shall be such that it cannot be (2) Any motor vehicle being towed in released unless adequate energy is a driveaway-towaway operation must available upon release of the parking have operative brakes as may be nec- brake to make immediate further ap- essary to ensure compliance with the plication with the required effective- performance requirements of § 393.52. ness. This paragraph is not applicable to any [34 FR 15418, Oct. 3, 1969, as amended at 53 FR motor vehicle towed by means of a 49398, Dec. 7, 1988] tow-bar when any other vehicle is full- mounted on such towed motor vehicle § 393.42 Brakes required on all wheels. or any combination of motor vehicles (a) Every commercial motor vehicle utilizing three or more saddle-mounts. shall be equipped with brakes acting on (See § 393.71(a)(3).) all wheels. (3) Any full trailer, any semitrailer, (b) Exception. (1) Trucks or truck tractors having three or more axles— or any pole trailer having a GVWR of (i) Need not have brakes on the front 3,000 pounds or less must be equipped wheels if the vehicle was manufactured with brakes if the weight of the towed before July 25, 1980; or vehicle resting on the towing vehicle (ii) Manufactured between July 24, exceeds 40 percent of the GVWR of the 1980, and October 27, 1986, must be ret- towing vehicle.
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[52 FR 2803, Jan. 27, 1987, as amended at 53 FR 49398, Dec. 7, 1988; 54 FR 48617, Nov. 24, 1989; 59 FR 25574, May 17, 1994; 61 FR 1843, Jan. 24, 1996]
§ 393.43 Breakaway and emergency per square inch nor higher than 45 braking. pounds per square inch. The other means shall be a manually controlled (a) Every motor vehicle, if used to device readily operable by a person tow a trailer equipped with brakes, seated in the driving seat. Its emer- shall be equipped with means for pro- gency position or method of operation viding that in case of breakaway of shall be clearly indicated. In no in- such trailer the service brakes on the stance may the manual means be so ar- towing vehicle will be sufficiently op- ranged as to permit its use to prevent erative to stop the towing vehicle. operation of the automatic means. The (b) Every truck or truck tractor automatic and manual means required equipped with air brakes, when used for by this section may be, but are not re- towing other vehicles equipped with air quired to be, separate. brakes, shall be equipped with two (c) Every truck tractor and truck means of activating the emergency fea- when used for towing other vehicles tures of the trailer brakes. One of these equipped with vacuum brakes, shall means shall operate automatically in have, in addition to the single control the event of reduction of the towing ve- required by § 393.49 to operate all hicle air supply to a fixed pressure brakes of the combination, a second which shall not be lower than 20 pounds manual control device which can be
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used to operate the brakes on the and continued functioning of the tub- towed vehicles in emergencies. Such ing or hose; second control shall be independent of (2) Be installed in a manner that in- brake air, hydraulic, and other pres- sures proper continued functioning of sure, and independent of other con- the tubing or hose; trols, unless the braking system be so (3) Be long and flexible enough to ac- arranged that failure of the pressure on commodate without damage all normal which the second control depends will motions of the parts to which it is at- cause the towed vehicle brakes to be tached; applied automatically. The second con- (4) Be suitably secured against chaf- trol is not required by this rule to pro- ing, kinking, or other mechanical dam- vide modulated or graduated braking. age; (d) Every trailer required to be (5) Be installed in a manner that pre- equipped with brakes shall be equipped vents it from contacting the vehicle’s with brakes of such character as to be exhaust system or any other source of applied automatically and promptly high temperatures; and upon breakaway from the towing vehi- (6) Conform to the applicable require- cle, and means shall be provided to ments of paragraph (b) or (c) of this maintain application of the brakes on section. In addition, all hose installed the trailer in such case for at least 15 on and after January 1, 1981, must con- minutes. form to those applicable subsections of (e) Air brake systems installed on FMVSS 106 (49 CFR 571.106). towed vehicles shall be so designed, by (b) Special requirements for metallic the use of ‘‘no-bleed-back’’ relay emer- brake tubing, nonmetallic brake tubing, gency valves or equivalent devices, coiled nonmetallic brake tubing and brake that the supply reservoir used to pro- hose. (1) Metallic brake tubing, non- vide air for brakes shall be safeguarded metallic brake tubing, coiled non- against backflow of air to the towing metallic brake tubing, and brake hose vehicle upon reduction of the towing installed on a commercial motor vehi- vehicle air pressure. cle on and after March 7, 1989, must (f) The requirements of paragraphs meet or exceed one of the following (b), (c), and (d) of this section shall not specifications set forth in the SAE be applicable to motor vehicles in Handbook, 1985 edition: driveaway-towaway operations. (i) Metallic Air Brake Tubing—SAE § 393.44 Front brake lines, protection. Recommended Practice J1149—Metallic Air Brake System Tubing and Pipe— On every bus, if equipped with air July 76. brakes, the braking system shall be so (ii) Nonmetallic Air Brake Tubing— constructed that in the event any SAE Recommended Practice J844— brake line to any of the front wheels is Nonmetallic Air Brake System Type broken, the driver can apply the brakes B—OCT 80. on the rear wheels despite such break- (iii) Air Brake Hose—SAE Rec- age. The means used to apply the ommended Practice J1402—Automotive brakes may be located forward of the Air Brake Hose and Hose Assemblies— driver’s seat as long as it can be oper- JUN 85. ated manually by the driver when the (iv) Hydraulic Brake Hose—SAE Rec- driver is properly restrained by any ommended Practice J1401 Road Vehi- seat belt assembly provided for use. cle-Hydraulic Brake Hose Assemblies Every bus shall meet this requirement for Use with Non-Petroleum Base Hy- or comply with the regulations in ef- draulic Fluid JUN 85. fect at the time of its manufacture. (v) Vacuum Brake Hose—SAE Rec- [53 FR 49400, Dec. 7, 1988] ommended Practice J1403 Vacuum Brake Hose JUN 85. § 393.45 Brake tubing and hose, ade- (2) Except as provided in paragraph quacy. (c) of this section, brake hose and (a) General requirements. Brake tubing brake tubing installed on a motor vehi- and brake hose must— cle before March 7, 1989, must conform (1) Be designed and constructed in a to 49 CFR 393.45 effective October 31, manner that insures proper, adequate, 1983.
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(c) Nonmetallic brake tubing. Coiled able assurance against accidental dis- nonmetallic brake tubing may be used connection; for connections between towed and (d) Have the vacuum brake engine towing vehicles or between the frame manifold connection at least three- of a towed vehicle and the unsprung eighths inch in diameter. subframe of an adjustable axle of that (e) If installed on a vehicle on or vehicle if— after January 1, 1981, meet require- (1) The coiled tubing has a straight ments under applicable subsections of segment (pigtail) at each end that is at FMVSS 106 (49 CFR 571.106). least 2 inches in length and is encased (f) Splices in tubing if installed on a in a spring guard or similar device vehicle after March 7, 1989, must use which prevents the tubing from fittings that meet the requirements of kinking at the fitting at which it is at- SAE Standard J512–OCT 80 Automotive tached to the vehicle; and Tube Fittings or for air brake systems (2) The spring guard or similar device SAE J246—March 81 Spherical and has at least 2 inches of closed coils or Flanged Sleeve (Compression) Tube similar surface at its interface with the Fittings as found in the SAE Handbook 1 fitting and extends at least 1 ⁄2 inches 1985 edition. into the coiled segment of the tubing from its straight segment. [33 FR 19735, Dec. 28, 1968, as amended at 44 (d) Brake tubing and brake hose, uses. FR 25457, May 1, 1979; 53 FR 49400, Dec. 7, Metallic and nonmetallic brake tubing 1988] is intended for use in areas of the brake system where relative movement in the § 393.47 Brake lining. line is not anticipated. Brake hose and The brake lining on every motor ve- coiled nonmetallic brake tubing is in- hicle shall be so constructed and in- tended for use in the brake system stalled as not to be subject to excessive where substantial relative movement fading and grabbing and shall be ade- in the line is anticipated or the hose/ quate in thickness, means of attach- coiled nonmetallic brake tubing is ex- ment, and physical characteristics to posed to potential tension or impact provide for safe and reliable stopping of such as between the frame and axle in the motor vehicle. a conventional type suspension system (axle attached to frame by suspension § 393.48 Brakes to be operative. system). Nonmetallic brake tubing (a) General rule. Except as provided in may be used through an articulation paragraphs (b) and (c) of this section, point provided movement is less than all brakes with which a motor vehicle 4.5 degrees in a vertical plane, and 7.4 is equipped must at all times be capa- degrees in a transverse horizontal ble of operating. plane. (b) Devices to reduce or remove front- (49 U.S.C. 304, 1655; 49 CFR 1.48(b) and 301.60) wheel braking effort. A motor vehicle may be equipped with a device to re- [38 FR 4333, Feb. 13, 1973, as amended at 44 duce the braking effort upon its front FR 25457, May 1, 1979; 45 FR 46424, July 10, 1980; 47 FR 47837, Oct. 28, 1982; 53 FR 49400, wheels or, in the case of a three-axle Dec. 7, 1988] truck or truck tractor manufactured before March 1, 1975, to remove the § 393.46 Brake tubing and hose con- braking effort upon its front wheels, if nections. that device conforms to, and is used in All connections for air, vacuum, or compliance with, the rules in para- hydraulic braking systems shall: graph (b) (1) or (2) of this section. (a) Be adequate in material and con- (1) Manually operated devices. A struction to insure proper continued manually operated device to reduce or functioning; remove the front-wheel braking effort (b) Be designed, constructed, and in- must not be— stalled so as to insure, when properly (i) Installed in a motor vehicle other connected, an attachment free of leaks, than a bus, truck, or truck tractor; or constrictions, or other defects; (ii) Installed in a bus, truck, or truck (c) Have suitable provision in every tractor manufactured after February detachable connection to afford reason- 28, 1975; or
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(iii) Used in the reduced mode except § 393.50 Reservoirs required. when the vehicle is operating under ad- (a) General. Every commercial motor verse conditions such as wet, snowy, or vehicle using air or vacuum for break- icy roads. ing shall be equipped with reserve ca- (2) Automatic devices. An automatic pacity or a reservoir sufficient to en- device to reduce the front-wheel brak- sure a full service brake application ing effort by up to 50 percent of the with the engine stopped without de- normal braking force, regardless of pleting the air pressure or vacuum whether or not antilock system failure below 70 percent of that pressure or de- has occurred on any axle, must not— gree of vacuum indicated by the gauge (i) Be operable by the driver except immediately before the brake applica- upon application of the control that ac- tion is made. For purposes of this sec- tivates the braking system; and tion, a full service brake application is (ii) Be operable when the pressure considered to be made when the service that transmits brake control applica- brake pedal is pushed to the limit of its tion force exceeds— travel. (A) 85 psig on air-mechanical braking (b) Safeguarding of air and vacuum. (1) systems; or Every bus, truck, and truck tractor, (B) 85 percent of the maximum sys- when equipped with air or vacuum res- tem pressure in the case of vehicles ervoirs and regardless of date of manu- utilizing other than compressed air. facture, shall have such reservoirs so (c) Towed vehicle. Paragraph (a) of safeguarded by a check valve or equiv- this section does not apply to— alent device that in the event of failure (1) A disabled vehicle being towed; or or leakage in its connection to the (2) A vehicle being towed in a source of compressed air or vacuum the driveaway-towaway operation which is air or vacuum supply in the reservoir exempt from the general rule of § 393.42 shall not be depleted by the leak or under paragraph (b) of that section. failure. (2) Means shall be provided to estab- (Sec. 204 of the Interstate Commerce Act, as amended (49 U.S.C. 304); sec. 6 of the Depart- lish the check valve to be in working ment of Transportation Act (49 U.S.C. 1655), order. On and after May 1, 1966, means and the delegations of authority by the Sec- other than loosening or disconnection retary of Transportation and the Federal of any connection between the source Highway Administrator at 49 CFR 1.48 and of compressed air or vacuum and the 301.60, respectively) check valve, and necessary tools for op- [39 FR 26907, July 24, 1974, as amended at 41 eration of such means, shall be pro- FR 29130, July 15, 1976; 41 FR 53031, Dec. 3, vided to prove that the check valve is 1976] in working order. The means shall be readily accessible either from the § 393.49 Single valve to operate all front, side, or rear of the vehicle, or brakes. from the driver’s compartment. Every motor vehicle, the date of (i) In air brake systems with one res- manufacture of which is subsequent to ervoir, the means shall be a cock, June 30, 1953, which is equipped with valve, plug, or equivalent device ar- power brakes, shall have the braking ranged to vent a cavity having free system so arranged that one applica- communication with the connection tion valve shall when applied operate between the check valve and the source all the service brakes on the motor ve- of compressed air or vacuum. hicle or combination of motor vehicles. (ii) Where air is delivered by a com- This requirement shall not be con- pressor into one tank or compartment strued to prohibit motor vehicles from (wet tank), and air for braking is taken being equipped with an additional directly from another tank or compart- valve to be used to operate the brakes ment (dry tank) only, with the re- on a trailer or trailers or as provided in quired check valve between the tanks § 393.44. This section shall not be appli- or compartments, a manually operated cable to driveaway-towaway operations drain cock on the first (wet) tank or unless the brakes on such operations compartment will serve as a means are designed to be operated by a single herein required if it conforms to the re- valve. quirements herein.
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(iii) In vacuum systems stopping the audible or visible continuous warning engine will serve as the required to the driver whenever the pressure of means, the system remaining evacu- the compressed air in the braking sys- ated as indicated by the vacuum gauge. tem is below a specified pressure, which must be at least one-half of the [33 FR 19735, Dec. 25, 1968, as amended at 53 FR 49400, Dec. 7, 1988] compressor governor cutout pressure. (2) The vehicle must have a pressure § 393.51 Warning devices and gauges. gauge which indicates to the driver the (a) General. In the manner and to the pressure in pounds per square inch extent specified in paragraphs (b), (c), available for braking. (d), and (e) of this section, a bus, truck, (d) Vacuum brakes. A vehicle (regard- or truck tractor must be equipped with less of the date it was manufactured) a signal that provides a warning to the having service brakes activated by vac- driver when a failure occurs in the ve- uum or a vehicle towing a vehicle hav- hicle’s service brake system. ing service brakes activated by vacuum (b) Hydraulic brakes. A vehicle manu- must be equipped with— factured on or after July 1, 1973, and (1) A device that provides a readily having service brakes activated by hy- audible or visible continuous warning draulic fluid must be equipped with a to the driver whenever the vacuum in warning signal that performs as fol- the vehicle’s supply reservoir is less lows: than 8 inches of mercury; and (1) If Federal Motor Vehicle Safety (2) A vacuum gauge which indicates Standard No. 105 (§ 571.105 of this title) to the driver the vacuum in inches of was applicable to the vehicle at the mercury available for braking. time it was manufactured, the warning (e) Hydraulic brakes applied or assisted signal must conform to the require- by air or vacuum. A vehicle having a ments of that standard. braking system in which hydraulically (2) If Federal Motor Vehicle Safety activated service brakes are applied or Standard No. 105 (§ 571.105) was not ap- assisted by compressed air or vacuum plicable to the vehicle at the time it must be equipped with both a warning was manufactured, the warning signal signal that conforms to the require- must become operative, before or upon ments of paragraph (b) of this section application of the brakes in the event and a warning device that conforms to of a hydraulic-type complete failure of the requirements of either paragraph a partial system. The signal must be (c) or paragraph (d) of this section. readily audible or visible to the driver. (f) Maintenance. The warning signals, (c) Air brakes. A vehicle (regardless of devices, and gauges required by this the date it was manufactured) having section must be maintained in opera- service brakes activated by compressed tive condition. air (air-mechanical brakes) or a vehicle [37 FR 5251, Mar. 11, 1972, as amended at 53 towing a vehicle having service brakes FR 49400, Dec. 7, 1988] activated by compressed air (air-me- chanical brakes) must be equipped, and § 393.52 Brake performance. perform, as follows: (a) Upon application of its service (1) The vehicle must have a low air brakes, a motor vehicle or combination pressure warning device that conforms of motor vehicles must under any con- to the requirements of either para- dition of loading in which it is found on graph (c)(1) (i) or (ii) of this section. a public highway, be capable of— (i) If Federal Motor Vehicle Safety (1) Developing a braking force at Standard No. 121 (§ 571.121 of this title) least equal to the percentage of its was applicable to the vehicle at the gross weight specified in the table in time it was manufactured, the warning paragraph (d) of this section; device must conform to the require- (2) Decelerating to a stop from 20 ments of that standard. miles per hour at not less than the rate (ii) If Federal Motor Vehicle Safety specified in the table in paragraph (d) Standard No. 121 (§ 571.121) was not ap- of this section; and plicable to the vehicle at the time it (3) Stopping from 20 miles per hour in was manufactured, the vehicle must a distance, measured from the point at have a device that provides a readily which movement of the service brake
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pedal or control begins, that is not fied in the table in paragraph (d) of this greater than the distance specified in section. the table in paragraph (d) of this sec- (c) Conformity to the stopping-dis- tion. tance requirements of paragraphs (a) (b) Upon application of its emergency and (b) of this section shall be deter- brake system and with no other brake mined under the following conditions: system applied, a motor vehicle or (1) Any test must be made with the combination of motor vehicles must, vehicle on a hard surface that is sub- under any condition of loading in stantially level, dry, smooth, and free which it is found on a public highway, of loose material. be capable of stopping from 20 miles (2) The vehicle must be in the center per hour in a distance, measured from of a 12-foot-wide lane when the test be- the point at which movement of the gins and must not deviate from that emergency brake control begins, that lane during the test. is not greater than the distance speci- (d) Vehicle brake performance table:
Service brake systems Emergency brake sys- tems Braking Application force as a Decelera- and braking Application Type of motor vehicle percentage tion in feet distance in and braking of gross ve- per second feet from distance in hicle or per second initial speed feet from combination of 20 m.p.h. initial speed weight of 20 m.p.h.
A. Passenger-carrying vehicles. (1) Vehicles with a seating capacity of 10 persons or less, includ- ing driver, and built on a passenger car chassis ...... 65.2 21 20 54 (2) Vehicles with a seating capacity of more than 10 persons, in- cluding driver, and built on a passenger car chassis; vehicles built on a truck or bus chassis and having a manufacturer's GVWR of 10,000 pounds or less ...... 52.8 17 25 66 (3) All other passenger-carrying vehicles ...... 43.5 14 35 85 B. Property-carrying vehicles. (1) Single unit vehicles having a manufacturer's GVWR of 10,000 pounds or less ...... 52.8 17 25 66 (2) Single unit vehicles having a manufacturer's GVWR of more than 10,000 pounds, except truck tractors. Combinations of a 2-axle towing vehicle and trailer having a GVWR of 3,000 pounds or less. All combinations of 2 or less vehicles in driveaway or towaway operation ...... 43.4 14 35 85 (3) All other property-carrying vehicles and combinations of prop- erty-carrying vehicles ...... 43.5 14 40 90
NOTE: (a) There is a definite mathematical relationship between the figures in columns 2 and 3. If the decelerations set forth in column 3 are divided by 32.2 feet per second per second, the figures in column 2 will be obtained. (For example, 21 divided by 32.2 equals 65.2 percent.) Column 2 is included in the tabulation because certain brake-testing devices utilize this factor. (b) The decelerations specified in column 3 are an indication of the effectiveness of the basic brakes, and as measured in practical brake testing are the maximum decelerations attained at some time during the stop. These decelerations as measured in brake tests cannot be used to compute the values in column 4 because the deceleration is not sustained at the same rate over the entire period of the stop. The deceleration increases from zero to a maximum during a period of brake-system applica- tion and brake-force buildup. Also, other factors may cause the deceleration to decrease after reaching a maximum. The added distance which results because maximum deceleration is not sustained is included in the figures in column 4 but is not indicated by the usual brake-testing devices for checking deceleration. (c) The distances in column 4 and the decelerations in column 3 are not directly related. ``Brake-system application and brak- ing distance in feet'' (column 4) is a definite measure of the overall effectiveness of the braking system, being the distance trav- eled between the point at which the driver starts to move the braking controls and the point at which the vehicle comes to rest. It includes distance traveled while the brakes are being applied and distance traveled while the brakes are retarding the vehicle. (d) The distance traveled during the period of brake-system application and brake-force buildup varies with vehicle type, being negligible for many passenger cars and greatest for combinations of commercial vehicles. This fact accounts for the variation from 20 to 40 feet in the values in column 4 for the various classes of vehicles. (e) The terms ``GVWR'' and ``GVW'' refer to the manufacturer's gross vehicle rating and the actual gross vehicle weight, respectively.
[36 FR 20298, Oct. 20, 1971, as amended at 37 FR 5251, Mar. 11, 1972; 37 FR 11336, June 7, 1972]
§ 393.53 Automatic brake adjusters motor vehicle manufactured on or after and brake adjustment indicators. October 20, 1993, and equipped with a (a) Automatic brake adjusters (hydrau- hydraulic brake system, shall meet the lic brake systems). Each commercial automatic brake adjustment system
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requirements of Federal Motor Vehicle tor, manufactured on or after March 1, Safety Standard No. 105 (49 CFR 571.105, 1998 (except commercial motor vehicles S5.1) applicable to the vehicle at the engaged in driveaway-towaway oper- time it was manufactured. ations), shall be equipped with an (b) Automatic brake adjusters (air brake antilock brake system that meets the systems). Each commercial motor vehi- requirements of FMVSS No. 121 (49 cle manufactured on or after October CFR 571.121, S5.1.6.1(a) for trucks and 20, 1994, and equipped with an air brake buses, S5.2.3 for semitrailers, converter system shall meet the automatic brake dollies and full trailers). adjustment system requirements of (d) ABS malfunction circuits and sig- Federal Motor Vehicle Safety Standard nals for air braked vehicles. (1) Each No. 121 (49 CFR 571.121, S5.1.8) applica- truck tractor manufactured on or after ble to the vehicle at the time it was March 1, 1997, and each single-unit air manufactured. braked vehicle manufactured on or (c) Brake adjustment indicator (air after March 1, 1998, subject to the re- brake systems). On each commercial quirements of paragraph (c) of this sec- motor vehicle manufactured on or after tion, shall be equipped with an elec- October 20, 1994, and equipped with an trical circuit that is capable of signal- air brake system which contains an ex- ing a malfunction that affects the gen- ternal automatic adjustment mecha- eration or transmission of response or nism and an exposed pushrod, the con- control signals to the vehicle’s dition of service brake under-adjust- antilock brake system (49 CFR 571.121, ment shall be displayed by a brake ad- S5.1.6.2(a)). justment indicator conforming to the (2) Each truck tractor manufactured requirements of Federal Motor Vehicle on or after March 1, 2001, and each sin- Safety Standard No. 121 (49 CFR 571.121, gle-unit vehicle that is equipped to tow S5.1.8) applicable to the vehicle at the another air-braked vehicle, subject to time it was manufactured. the requirements of paragraph (c) of [60 FR 46245, Sept. 6, 1995] this section, shall be equipped with an electrical circuit that is capable of § 393.55 Antilock brake systems. transmitting a malfunction signal from (a) Hydraulic brake systems. Each the antilock brake system(s) on the truck and bus manufactured on or after towed vehicle(s) to the trailer ABS March 1, 1999 (except trucks and buses malfunction lamp in the cab of the engaged in driveaway-towaway oper- towing vehicle, and shall have the ations), and equipped with a hydraulic means for connection of the electrical brake system, shall be equipped with circuit to the towed vehicle. The ABS an antilock brake system that meets malfunction circuit and signal shall the requirements of Federal Motor Ve- meet the requirements of FMVSS No. hicle Safety Standard (FMVSS) No. 105 121 (49 CFR 571.121, S5.1.6.2(b)). (49 CFR 571.105, S5.5). (3) Each semitrailer, trailer con- (b) ABS malfunction indicators for hy- verter dolly, and full trailer manufac- draulic braked vehicles. Each hydraulic tured on or after March 1, 2001, and braked vehicle subject to the require- subject to the requirements of para- ments of paragraph (a) of this section graph (c)(2) of this section, shall be shall be equipped with an ABS mal- equipped with an electrical circuit that function indicator system that meets is capable of signaling a malfunction in the requirements of FMVSS No. 105 (49 the trailer’s antilock brake system, CFR 571.105, S5.3). and shall have the means for connec- (c) Air brake systems. (1) Each truck tion of this ABS malfunction circuit to tractor manufactured on or after the towing vehicle. In addition, each March 1, 1997 (except truck tractors en- trailer manufactured on or after March gaged in driveaway-towaway oper- 1, 2001, subject to the requirements of ations), shall be equipped with an paragraph (c)(2) of this section, that is antilock brake system that meets the designed to tow another air-brake requirements of FMVSS No. 121 (49 equipped trailer shall be capable of CFR 571.121, S5.1.6.1(b)). transmitting a malfunction signal from (2) Each air braked commercial the antilock brake system(s) of the motor vehicle other than a truck trac- trailer(s) it tows to the vehicle in front
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of the trailer. The ABS malfunction inches) to any other similarly damaged circuit and signal shall meet the re- area. quirements of FMVSS No. 121 (49 CFR (d) Coloring or tinting of windshields 571.121, S5.2.3.2). and windows. Coloring or tinting of (e) Exterior ABS malfunction indicator windshields and the windows to the im- lamps for trailers. Each trailer (includ- mediate right and left of the driver is ing a trailer converter dolly) manufac- allowed, provided the parallel luminous tured on or after March 1, 1998 and be- transmittance through the colored or fore March 1, 2009, and subject to the tinted glazing is not less than 70 per- requirements of paragraph (c)(2) of this cent of the light at normal incidence in section, shall be equipped with an ABS those portions of the windshield or malfunction indicator lamp which windows which are marked as having a meets the requirements of FMVSS No. parallel luminous transmittance of not 121 (49 CFR 571.121, S5.2.3.3). less than 70 percent. The transmittance restriction does not apply to other win- [63 FR 24465, May 4, 1998] dows on the commercial motor vehicle. (e) Prohibition on obstructions to the Subpart D—Glazing and Window driver’s field of view—(1) Devices mounted Construction at the top of the windshield. Antennas, transponders, and similar devices must § 393.60 Glazing in specified openings. not be mounted more than 152 mm (6 inches) below the upper edge of the (a) Glazing material. Glazing material windshield. These devices must be lo- used in windshields, windows, and cated outside the area swept by the doors on a motor vehicle manufactured windshield wipers, and outside the on or after December 25, 1968, shall at a driver’s sight lines to the road and minimum meet the requirements of highway signs and signals. Federal Motor Vehicle Safety Standard (2) Decals and stickers mounted on the (FMVSS) No. 205 in effect on the date windshield. Commercial Vehicle Safety of manufacture of the motor vehicle. Alliance (CVSA) inspection decals, and The glazing material shall be marked stickers and/or decals required under in accordance with FMVSS No. 205 (49 Federal or State laws may be placed at CFR 571.205, S6). the bottom or sides of the windshield (b) Windshields required. Each bus, provided such decals or stickers do not truck and truck-tractor shall be extend more than 115 mm (41⁄2 inches) equipped with a windshield. Each wind- from the bottom of the windshield and shield or portion of a multi-piece wind- are located outside the area swept by shield shall be mounted using the full the windshield wipers, and outside the periphery of the glazing material. driver’s sight lines to the road and (c) Windshield condition. With the ex- highway signs or signals. ception of the conditions listed in para- [63 FR 1387, Jan. 9, 1998] graphs (c)(1), (c)(2), and (c)(3) of this section, each windshield shall be free of § 393.61 Window construction. discoloration or damage in the area ex- (a) Windows in trucks and truck trac- tending upward from the height of the tors. Every truck and truck tractor, ex- top of the steering wheel (excluding a cept vehicles engaged in armored car 51 mm (2 inch) border at the top of the service, shall have, in addition to the windshield) and extending from a 25 area provided by the windshield, at mm (1 inch) border at each side of the least one window on each side of the windshield or windshield panel. Excep- driver’s compartment, which window tions: shall have sufficient area to contain ei- (1) Coloring or tinting which meets ther an ellipse having a major axis of the requirements of paragraph (d) of 18 inches and a minor axis of 13 inches this section; or an opening containing 200 square (2) Any crack that is not intersected inches formed by a rectangle 13 inches by any other cracks; by 173⁄4 inches with corner arcs of 6- (3) Any damaged area which can be inch maximum radius. The major axis covered by a disc 19 mm (3⁄4 inch) in di- of the ellipse and the long axis of the ameter if not closer than 76 mm (3 rectangle shall not make an angle of
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more than 45 degrees with the surface (c) Push-out window requirements. (1) on which the unladen vehicle stands; Except as provided in paragraph (c)(3) however, if the cab is designed with a of this section, every glazed opening in folding door or doors or with clear a bus manufactured before September openings where doors or windows are 1, 1973, and having a seating capacity of customarily located, then no windows more than eight persons, used to sat- shall be required in such locations. isfy the requirements of paragraph (b) Bus windows. (1) Except as pro- (b)(1) of this section, if not glazed with vided in paragraph (b)(3) of this section laminated safety glass, shall have a a bus manufactured before September frame or sash so designed, constructed, 1, 1973, having a seating capacity of and maintained that it will yield out- more than eight persons shall have, in wardly to provide the required free addition to the area provided by the opening when subjected to the drop windshield, adequate means of escape test specified in Test 25 of the Amer- for passengers through windows. The ican Standard Safety Code referred to adequacy of such means shall be deter- in § 393.60. The height of drop required mined in accordance with the following to open such push-out windows shall standards: For each seated passenger not exceed the height of drop required space provided, inclusive of the driver to break the glass in the same window there shall be at least 67 square inches when glazed with the type of laminated of glazing if such glazing is not con- glass specified in Test 25 of the Code. tained in a push-out window; or at The sash for such windows shall be con- least 67 square inches of free opening structed of such material and be of resulting from opening of a push-out such design and construction as to be type window. No area shall be included continuously capable of complying in this minimum prescribed area unless with the above requirement. it will provide an unobstructed opening (2) On a bus manufactured on and sufficient to contain an ellipse having after September 1, 1973, having a seat- a major axis of 18 inches and a minor ing capacity of more than 10 persons, axis of 13 inches or an opening contain- each push-out window shall conform to ing 200 square inches formed by a rec- Federal Motor Vehicle Safety Standard tangle 13 inches by 173⁄4 inches with No. 217, (§ 571.217) of this title. corner arcs of 6-inch maximum radius. (3) A bus manufactured before Sep- The major axis of the elipse and the tember 1, 1973, may conform to Federal long axis of the rectangle shall make Motor Vehicle Safety Standard No. 217 ° an angle of not more than 45 with the (§ 571.217) of this title, in lieu of con- surface on which the unladen vehicle forming to paragraph (c)(1) of this sec- stands. The area shall be measured ei- tion. ther by removal of the glazing if not of the push-out type or of the movable [33 FR 19735, Dec. 25, 1968, as amended at 37 sash if of the push-out type, and it FR 11677, June 10, 1972] shall be either glazed with laminated safety glass or comply with paragraph § 393.62 Window obstructions. (c) of this section. No less than 40 per- Windows, if otherwise capable of cent of such prescribed glazing or open- complying with § 393.61 (a) and (b), shall ing shall be on one side of any bus. not be obstructed by bars or other such (2) A bus, including a school bus, means located either inside or outside manufactured on and after September such windows such as would hinder the 1, 1973, having a seating capacity of escape of occupants unless such bars or more than 10 persons shall have emer- other such means are so constructed as gency exits in conformity with Federal to provide a clear opening, at least Motor Vehicle Safety Standard No. 217, equal to the opening provided by the part 571 of this title. window to which it is adjacent, when (3) A bus manufactured before Sep- subjected to the same test specified in tember 1, 1973, may conform to Federal § 393.61(c). The point of application of Motor Vehicle Safety Standard No. 217, such test force shall be such as will be part 571 of this title, in lieu of conform- most likely to result in the removal of ing to paragraph (b)(1) of this section. the obstruction.
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§ 393.63 Windows, markings. (5) A fuel line does not extend be- tween a towed vehicle and the vehicle (a) On a bus manufactured before that is towing it while the combination September 1, 1973, each bus push-out of vehicles is in motion; and window and any other bus escape win- (6) No part of the fuel system of a bus dow glazed with laminated safety glass manufactured on or after January 1, required in § 393.61 shall be identified as 1973, is located within or above the pas- such by clearly legible and visible senger compartment. signs, lettering, or decalcomania. Such (c) Fuel tank installation. Each fuel marking shall include appropriate tank must be securely attached to the wording to indicate that it is an escape motor vehicle in a workmanlike man- window and also the method to be used ner. for obtaining emergency exit. (d) Gravity or syphon feed prohibited. A (b) On a bus manufactured on and fuel system must not supply fuel by after September 1, 1973, emergency gravity or syphon feed directly to the exits required in § 393.61 shall be carburetor or injector. marked to conform to Federal Motor (e) Selection control valve location. If a Vehicle Safety Standard No. 217 fuel system includes a selection con- (§ 571.217), of this title. trol valve which is operable by the (c) A bus manufactured before Sep- driver to regulate the flow of fuel from tember 1, 1973, may mark emergency two or more fuel tanks, the valve must exits to conform to Federal Motor Ve- be installed so that either— hicle Safety Standard No. 217 (§ 571.217), (1) The driver may operate it while of this title in lieu of conforming to watching the roadway and without paragraph (a) of this section. leaving his/her driving position; or [37 FR 11678, June 10, 1972] (2) The driver must stop the vehicle and leave his/her seat in order to oper- ate the valve. Subpart E—Fuel Systems (f) Fuel lines. A fuel line which is not completely enclosed in a protective AUTHORITY: Sec. 204, Interstate Commerce housing must not extend more than 2 Act, as amended, 49 U.S.C. 304; sec. 6, Depart- inches below the fuel tank or its sump. ment of Transportation Act, 49 U.S.C. 1655; Diesel fuel crossover, return, and with- delegation of authority at 49 CFR 1.48 and drawal lines which extend below the 389.4. bottom of the tank or sump must be protected against damage from impact. § 393.65 All fuel systems. Every fuel line must be— (a) Application of the rules in this sec- (1) Long enough and flexible enough tion. The rules in this section apply to to accommodate normal movements of systems for containing and supplying the parts to which it is attached with- fuel for the operation of motor vehicles out incurring damage; and or for the operation of auxiliary equip- (2) Secured against chafing, kinking, ment installed on, or used in connec- or other causes of mechanical damage. tion with, motor vehicles. (g) Excess flow valve. When pressure (b) Location. Each fuel system must devices are used to force fuel from a be located on the motor vehicle so fuel tank, a device which prevents the that— flow of fuel from the fuel tank if the (1) No part of the system extends be- fuel feed line is broken must be in- yond the widest part of the vehicle; stalled in the fuel system. (2) No part of a fuel tank is forward [36 FR 15445, Aug. 14, 1971, as amended at 37 of the front axle of a power unit; FR 4341, Mar. 2, 1972; 37 FR 28752, Dec. 29, (3) Fuel spilled vertically from a fuel 1972] tank while it is being filled will not contact any part of the exhaust or elec- § 393.67 Liquid fuel tanks. trical systems of the vehicle, except (a) Application of the rules in this sec- the fuel level indicator assembly; tion. (1) A liquid fuel tank manufac- (4) Fill pipe openings are located out- tured on or after January 1, 1973, and a side the vehicle’s passenger compart- side-mounted gasoline tank must con- ment and its cargo compartment; form to all the rules in this section.
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(2) A diesel fuel tank manufactured heat resistance and mechanical secure- before January 1, 1973, and mounted on ment at least equal to those specifi- a bus must conform to the rules in cally named. Joints must not be closed paragraphs (c)(7)(iii) and (d)(2) of this solely by crimping or by soldering with section. a lead-based or other soft solder. (3) A diesel fuel tank manufactured (2) Fittings. The fuel tank body must before January 1, 1973, and mounted on have flanges or spuds suitable for the a vehicle other than a bus must con- installation of all fittings. form to the rules in paragraph (3) Threads. The threads of all fittings (c)(7)(iii) of this section. must be Dryseal American Standard (4) A gasoline tank, other than a Taper Pipe Thread or Dryseal SAE side-mounted gasoline tank, manufac- Short Taper Pipe Thread, specified in tured before January 1, 1973, and Society of Automotive Engineers mounted on a bus must conform to the Standard J476, as contained in the 1971 rules in paragraphs (c) (1) through (10) edition of the ‘‘SAE Handbook,’’ except and (d)(2) of this section. that straight (nontapered) threads may (5) A gasoline tank, other than a be used on fittings having integral side-mounted gasoline tank, manufac- flanges and using gaskets for sealing. tured before January 1, 1973, and At least four full threads must be in mounted on a vehicle other than a bus engagement in each fitting. must conform to the rules in para- (4) Drains and bottom fittings. (i) graphs (c) (1) through (10), inclusive, of Drains or other bottom fittings must this section. not extend more than three-fourths of (6) Private motor carrier of pas- an inch below the lowest part of the sengers. Motor carriers engaged in the fuel tank or sump. private transportation of passengers (ii) Drains or other bottom fittings may continue to operate a commercial must be protected against damage from motor vehicle which was not subject to impact. this section or 49 CFR 571.301 at the (iii) If a fuel tank has drains the time of its manufacture, provided the drain fittings must permit substan- fuel tank of such vehicle is maintained tially complete drainage of the tank. to the original manufacturer’s stand- ards. (iv) Drains or other bottom fittings must be installed in a flange or spud (b) Definitions. As used in this sec- tion— designed to accommodate it. (1) The term liquid fuel tank means a (5) Fuel withdrawal fittings. Except for fuel tank designed to contain a fuel diesel fuel tanks, the fittings through that is liquid at normal atmospheric which fuel is withdrawn from a fuel pressures and temperatures. tank must be located above the normal (2) A side-mounted fuel tank is a liq- level of fuel in the tank when the tank uid fuel tank which— is full. (i) If mounted on a truck tractor, ex- (6) [Reserved] tends outboard of the vehicle frame (7) Fill pipe. (i) Each fill pipe must be and outside of the plan view outline of designed and constructed to minimize the cab; or the risk of fuel spillage during fueling (ii) If mounted on a truck, extends operations and when the vehicle is in- outboard of a line parallel to the longi- volved in a crash. tudinal centerline of the truck and tan- (ii) The fill pipe and vents of a fuel gent to the outboard side of a front tire tank having a capacity of more than 25 in a straight ahead position. In deter- gallons of fuel must permit filling the mining whether a fuel tank on a truck tank with fuel at a rate of at least 20 or truck tractor is side-mounted, the gallons per minute without fuel spill- fill pipe is not considered a part of the age. tank. (iii) Each fill pipe must be fitted with (c) Construction of liquid fuel tanks— a cap that can be fastened securely (1) Joints. Joints of a fuel tank body over the opening in the fill pipe. Screw must be closed by arc-, gas-, seam-, or threads or a bayonet-type joint are spot-welding, by brazing, by silver sol- methods of conforming to the require- dering, or by techniques which provide ments of this subdivision.
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(8) Safety venting system. A liquid fuel exceeds 50 pounds per square inch, tank with a capacity of more than 25 gauge, and the internal pressure must gallons of fuel must have a venting sys- not thereafter exceed the pressure at tem which, in the event the tank is which the system activated by more subjected to fire, will prevent internal than five pounds per square inch de- tank pressure from rupturing the spite any further increase in the tem- tank’s body, seams, or bottom opening perature of the fuel. (if any). (2) Leakage test—(i) Procedure. Fill (9) Pressure resistance. The body and the tank to capacity with fuel having a fittings of a liquid fuel tank with a ca- temperature between 50° F. and 80° F. pacity of more than 25 gallons of fuel With the fill-pipe cap installed, turn must be capable of withstanding an in- the tank through an angle of 150° in ternal hydrostatic pressure equal to 150 any direction about any axis from its percent of the maximum internal pres- normal position. sure reached in the tank during the (ii) Required performance. Neither the safety venting systems test specified in tank nor any fitting may leak more paragraph (d)(1) of this section. than a total of one ounce by weight of (10) Air vent. Each fuel tank must be fuel per minute in any position the equipped with a nonspill air vent (such tank assumes during the test. as a ball check). The air vent may be (e) Side-mounted liquid fuel tank tests. combined with the fill-pipe cap or safe- Each side-mounted liquid fuel tank ty vent, or it may be a separate unit must be capable of passing the tests installed on the fuel tank. specified in paragraphs (e) (1) and (2) of (11) Markings. If the body of a fuel this section and the tests specified in tank is readily visible when the tank is paragraphs (d) (1) and (2) of this sec- installed on the vehicle, the tank must tion. 1 be plainly marked with its liquid ca- (1) Drop test—(i) Procedure. Fill the pacity. The tank must also be plainly tank with a quantity of water having a marked with a warning against filling weight equal to the weight of the maxi- it to more than 95 percent of its liquid mum fuel load of the tank and drop the capacity. tank 30 feet onto an unyielding surface (12) Overfill restriction. A liquid fuel so that it lands squarely on one corner. tank manufactured on or after January (ii) Required performance. Neither the 1, 1973, must be designed and con- tank nor any fitting may leak more structed so that— than a total of 1 ounce by weight of water per minute. (i) The tank cannot be filled, in a (2) Fill-pipe test—(i) Procedure. Fill normal filling operation, with a quan- the tank with a quantity of water hav- tity of fuel that exceeds 95 percent of ing a weight equal to the weight of the the tank’s liquid capacity; and maximum fuel load of the tank and (ii) When the tank is filled, normal drop the tank 10 feet onto an expansion of the fuel will not cause unyielding surface so that it lands fuel spillage. squarely on its fill-pipe. (d) Each liquid Liquid fuel tank tests. (ii) Required performance. Neither the fuel tank must be capable of passing tank nor any fitting may leak more the tests specified in paragraphs (d) (1) than a total of 1 ounce by weight of 1 and (2) of this section. water per minute. (1) Safety venting system test—(i) Pro- (f) Certification and markings. Each cedure. Fill the tank three-fourths full liquid fuel tank shall be legibly and with fuel, seal the fuel feed outlet, and permanently marked by the manufac- invert the tank. When the fuel tem- turer with the following minimum in- ° ° perature is between 50 F. and 80 F., formation: apply an enveloping flame to the tank (1) The month and year of manufac- so that the temperature of the fuel ture, rises at a rate of not less than 6° F. and not more than 8° F. per minute. 1 The specified tests are a measure of per- (ii) Required performance. The safety formance only. Manufacturers and carriers venting system required by paragraph may use any alternative procedures which (c)(8) of this section must activate be- assure that their equipment meets the re- fore the internal pressure in the tank quired performance criteria.
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(2) The manufacturer’s name on (4) A fuel system installed on or after tanks manufactured on and after July January 1, 1973, and providing fuel for 1, 1988, and means of identifying the fa- the operation of auxiliary equipment cility at which the tank was manufac- must conform to Division VII of the tured, and 1969 edition of the Standards. (3) A certificate that it conforms to (b) When the rules in this section re- the rules in this section applicable to quire a fuel system to conform to a the tank. The certificate must be in specific edition of the Standards, the the form set forth in either of the fol- fuel system may conform to the appli- lowing: cable provisions in a later edition of (i) If a tank conforms to all rules in the Standards specified in this section. this section pertaining to side-mounted (c) The tank of a fuel system must be fuel tanks: ‘‘Meets all FHWA side- marked to indicate that the system mounted tank requirements.’’ conforms to the Standards. (ii) If a tank conforms to all rules in [36 FR 15445, Aug. 14, 1971, as amended at 37 this section pertaining to tanks which FR 4342, Mar. 2, 1972; 41 FR 53031, Dec. 3, 1976; are not side-mounted fuel tanks: 53 FR 49400, Dec. 7, 1988] ‘‘Meets all FHWA requirements for non-side-mounted fuel tanks.’’ Subpart F—Coupling Devices and (iii) The form of certificate specified Towing Methods in paragraph (f)(3) (i) or (ii) of this sec- tion may be used on a liquid fuel tank § 393.70 Coupling devices and towing manufactured before July 11, 1973, but methods, except for driveaway- it is not mandatory for liquid fuel towaway operations. tanks manufactured before March 7, (a) Tracking. When two or more vehi- 1989. The form of certification manu- cles are operated in combination, the factured on or before March 7, 1989, coupling devices connecting the vehi- must meet the requirements in effect cles shall be designed, constructed, and at the time of manufacture. installed, and the vehicles shall be de- [36 FR 15445, Aug. 14, 1971, as amended at 37 signed and constructed, so that when FR 4341, Mar. 2, 1972; 37 FR 28753, Dec. 29, the combination is operated in a 1972; 45 FR 46424, July 10, 1980; 53 FR 49400, straight line on a level, smooth, paved Dec. 7, 1988; 59 FR 8753, Feb. 23, 1994] surface, the path of the towed vehicle will not deviate more than 3 inches to § 393.69 Liquefied petroleum gas sys- either side of the path of the vehicle tems. that tows it. (a) A fuel system that uses liquefied (b) Fifth wheel assemblies—(1) Mount- petroleum gas as a fuel for the oper- ing—(i) Lower half. The lower half of a ation of a motor vehicle or for the op- fifth wheel mounted on a truck tractor eration of auxiliary equipment in- or converter dolly must be secured to stalled on, or used in connection with, the frame of that vehicle with properly a motor vehicle must conform to the designed brackets, mounting plates or ‘‘Standards for the Storage and Han- angles and properly tightened bolts of dling of Liquefied Petroleum Gases’’ of adequate size and grade, or devices the National Fire Protection Associa- that provide equivalent security. The tion, Battery March Park, Quincy, MA installation shall not cause cracking, 02269, as follows: warping, or deformation of the frame. (1) A fuel system installed before De- The installation must include a device cember 31, 1962, must conform to the for positively preventing the lower half 1951 edition of the Standards. of the fifth wheel from shifting on the (2) A fuel system installed on or after frame to which it is attached. December 31, 1962, and before January (ii) Upper half. The upper half of a 1, 1973, must conform to Division IV of fifth wheel must be fastened to the the June 1959 edition of the Standards. motor vehicle with at least the same (3) A fuel system installed on or after security required for the installation of January 1, 1973, and providing fuel for the lower half on a truck tractor or propulsion of the motor vehicle must converter dolly. conform to Division IV of the 1969 edi- (2) Locking. Every fifth wheel assem- tion of the Standards. bly must have a locking mechanism.
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The locking mechanism, and any cle which tows it with one or more adapter used in conjunction with it, safety devices to prevent the towed ve- must prevent separation of the upper hicle from breaking loose in the event and lower halves of the fifth wheel as- the tow-bar fails or becomes discon- sembly unless a positive manual re- nected. The safety device must meet lease is activated. The release may be the following requirements: located so that the driver can operate (1) The safety device must not be at- it from the cab. If a motor vehicle has tached to the pintle hook or any other a fifth wheel designed and constructed device on the towing vehicle to which to be readily separable, the fifth wheel the tow-bar is attached. However, if locking devices shall apply automati- the pintle hook or other device was cally on coupling. manufactured prior to July 1, 1973, the (3) Location. The lower half of a fifth safety device may be attached to the wheel shall be located so that, regard- towing vehicle at a place on a pintle less of the condition of loading, the re- hook forging or casting if that place is lationship between the kingpin and the independent of the pintle hook. rear axle or axles of the towing motor (2) The safety device must have no vehicle will properly distribute the more slack than is necessary to permit gross weight of both the towed and the vehicles to be turned properly. towing vehicles on the axles of those (3) The safety device, and the means vehicles, will not unduly interfere with of attaching it to the vehicles, must the steering, braking, and other ma- have an ultimate strength of not less neuvering of the towing vehicle, and than the gross weight of the vehicle or will not otherwise contribute to unsafe vehicles being towed. operation of the vehicles comprising the combination. The upper half of a (4) The safety device must be con- fifth wheel shall be located so that the nected to the towed and towing vehi- weight of the vehicles is properly dis- cles and to the tow-bar in a manner tributed on their axles and the com- which prevents the tow-bar from drop- bination of vehicles will operate safely ping to the ground in the event it fails during normal operation. or becomes disconnected. (c) Towing of full trailers. A full trail- (5) Except as provided in paragraph er must be equipped with a tow-bar and (d)(6) of this section, if the safety de- a means of attaching the tow-bar to vice consists of safety chains or cables, the towing and towed vehicles. The the towed vehicle must be equipped tow-bar and the means of attaching it with either two safety chains or cables must— or with a bridle arrangement of a sin- (1) Be structurally adequate for the gle chain or cable attached to its frame weight being drawn; or axle at two points as far apart as the (2) Be properly and securely mount- configuration of the frame or axle per- ed; mits. The safety chains or cables shall (3) Provide for adequate articulation be either two separate pieces, each at the connection without excessive equipped with a hook or other means slack at that location; and for attachment to the towing vehicle, (4) Be provided with a locking device or a single piece leading along each that prevents accidental separation of side of the tow-bar from the two points the towed and towing vehicles. The of attachment on the towed vehicle and mounting of the trailer hitch (pintle arranged into a bridle with a single hook or equivalent mechanism) on the means of attachment to be connected towing vehicle must include reinforce- to the towing vehicle. When a single ment or bracing of the frame sufficient length of cable is used, a thimble and to produce strength and rigidity of the twin-base cable clamps shall be used to frame to prevent its undue distortion. form the forward bridle eye. The hook (d) Safety devices in case of tow-bar or other means of attachment to the failure or disconnection. Every full trail- towing vehicle shall be secured to the er and every converter dolly used to chains or cables in a fixed position. convert a semitrailer to a full trailer (6) If the towed vehicle is a converter must be coupled to the frame, or an ex- dolly with a solid tongue and without a tension of the frame, of the motor vehi- hinged tow-bar or other swivel between
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the fifth wheel mounting and the at- to that provided in paragraph (j)(2) of tachment point of the tongue eye or this section, a motor vehicle or motor other hitch device— vehicles may be full-mounted on the (i) Safety chains or cables, when used structure of a towing vehicle engaged as the safety device for that vehicle, in any driveaway-towaway operation. may consist of either two chains or ca- (2) No motor vehicle or motor vehi- bles or a single chain or cable used cles may be full-mounted on a towing alone; vehicle unless the relationship of such (ii) A single safety device, including full-mounted vehicles to the rear axle a single chain or cable used alone as or axles results in proper distribution the safety device, must be in line with of the total gross weight of the vehicles the centerline of the trailer tongue; and does not unduly interfere with the and steering, braking, or maneuvering of (iii) The device may be attached to the towing vehicle, or otherwise con- the converter dolly at any point to the tribute to the unsafe operation of the rear of the attachment point of the vehicles comprising the combination. tongue eye or other hitch device. (c) Carrying vehicles on towed vehicles. (7) Safety devices other than safety (1) When adequately and securely at- chains or cables must provide strength, tached by means equivalent in security security of attachment, and directional to that provided in paragraph (j)(2) of stability equal to, or greater than, this section, a motor vehicle or motor safety chains or cables installed in ac- cordance with paragraphs (d) (5) and (6) vehicles may be full-mounted on the of this section. structure of towed vehicles engaged in (8) When two safety devices, includ- any driveaway-towaway operation. ing two safety chains or cables, are (2) No motor vehicle shall be full- used and are attached to the towing ve- mounted on a motor vehicle towed by hicle at separate points, the points of means of a tow-bar unless the towed attachment on the towing vehicle shall vehicle is equipped with brakes and is be located equally distant from, and on provided with means for effective ap- opposite sides of, the centerline of the plication of brakes acting on all wheels towing vehicle. Where two chains or and is towed on its own wheels. cables are attached to the same point (3) No motor vehicle or motor vehi- on the towing vehicle, and where a bri- cles shall be full-mounted on a motor dle or a single chain or cable is used, vehicle towed by means of a saddle- the point of attachment must be on the mount unless the center line of the longitudinal centerline of the towing kingpin or equivalent means of attach- vehicle. A single safety device, other ment of such towed vehicle shall be so than a chain or cable, must also be at- located on the towing vehicle that the tached to the towing vehicle at a point relationship to the rear axle or axles on its longitudinal centerline. results in proper distribution of the total gross weight of the vehicles and [37 FR 21439, Oct. 11, 1972] does not unduly interfere with the § 393.71 Coupling devices and towing steering, braking, or maneuvering of methods, driveaway-towaway oper- the towing vehicle or otherwise con- ations. tribute to the unsafe operation of vehi- (a) Number in combination. (1) No more cles comprising the combination; and than three saddle-mounts may be used unless a perpendicular to the ground in any combination. from the center of gravity of the full- (2) No more than one tow-bar may be mounted vehicles lies forward of the used in any combination. center line of the rear axle of the sad- (3) When motor vehicles are towed by dle-mounted vehicle. means of triple saddle-mounts, the (4) If a motor vehicle towed by means towed vehicles shall have brakes acting of a double saddle-mount has any vehi- on all wheels which are in contact with cle full-mounted on it, such saddle- the roadway. mounted vehicle shall at all times (b) Carrying vehicles on towing vehicle. while so loaded have effective brakes (1) When adequately and securely at- acting on those wheels which are in tached by means equivalent in security contact with the roadway.
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(d) Bumper tow-bars on heavy vehicles Longitudinal strength in tension and prohibited. Tow-bars of the type which compression 2 depend upon the bumpers as a means of New tow- Strength Gross weight of bars ac- as a beam transmitting forces between the vehi- towed vehicle quired and (in any di- cles shall not be used to tow a motor (pounds) 1 All tow- used by a rection bars motor car- con- vehicle weighing more than 5,000 rier after centrated pounds. Sept. 30, load at 1948 center) 2,3 (e) Front wheels of saddle-mounted ve- hicles restrained. A motor vehicle towed Pounds by means of a saddle-mount shall have Less than 5,000 ...... 3,000 6,500 3,000 the motion of the front wheels re- 5,000 and over ...... strained if under any condition of turn- Less than 10,000 ..... 6,000 (1 )(1 ) 10,000 and over ...... ing of such wheels they will project be- Less than 15,000 ..... 9,000 (1 )(1 ) yond the widest part of either the 1 The required strength of tow-bars for towed vehicles of towed or towing vehicle. 15,000 pounds and over gross weight and of new tow-bars (f) Vehicles to be towed in forward posi- acquired and used after Sept. 30, 1948, for towed vehicles of 5,000 pounds and over gross weight shall be computed by tion. Unless the steering mechanism is means of the following formulae: Longitudinal strength=gross weight of towed vehicle x 1.3. Strength as a beam=gross adequately locked in a straight-for- weight of towed vehicle x 0.6. ward position, all motor vehicles towed 2 In testing, the whole unit shall be tested with all clamps, joints, and pins so mounted and fastened as to approximate by means of a saddle-mount shall be conditions of actual operation. towed with the front end mounted on 3 This test shall be applicable only to tow-bars which are, in normal operation, subjected to a bending movement such as the towing vehicle. tow-bars for house trailers. (g) Means required for towing. (1) No (2) Tow-bars, jointed. The tow-bar motor vehicle or motor vehicles shall shall be so constructed as to freely per- be towed in driveaway-towaway oper- mit motion in both horizontal and ver- ations by means other than tow-bar or tical planes between the towed and saddle-mount connections which shall towing vehicles. The means used to meet the requirements of this section. provide the motion shall be such as to (2) For the purpose of the regulations prohibit the transmission of stresses of this part: under normal operation between the (i) Coupling devices such as those towed and towing vehicles, except used for towing house trailers and em- along the longitudinal axis of the ploying ball and socket connections tongue or tongues. shall be considered as tow-bars. (3) Tow-bar fastenings. The means (ii) Motor vehicles or parts of motor used to transmit the stresses to the vehicles adequately, securely, and rig- chassis or frames of the towed and tow- ing vehicles may be either temporary idly attached by devices meeting the structures or bumpers or other integral requirements of paragraph (n) of this parts of the vehicles: Provided, however, section shall be considered as one vehi- That the means used shall be so con- cle in any position in any combination. structed, installed, and maintained (h) Requirements for tow-bars. Tow- that when tested as an assembly, fail- bars shall comply with the following ure in such members shall not occur requirements: when the weakest new tow-bar which is (1) Tow-bars, structural adequacy and permissible under paragraph (h)(1) of mounting. Every tow-bar shall be struc- this section is subjected to the tests turally adequate and properly installed given therein. and maintained. To insure that it is (4) Means of adjusting length. On tow- structurally adequate, it must, at bars, adjustable as to length, the least, meet the requirements of the fol- means used to make such adjustment lowing table: shall fit tightly and not result in any slackness or permit the tow-bar to
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bend. With the tow-bar supported rig- Tow-bar certification manufactured be- idly at both ends and with a load of 50 fore the effective date of this regula- pounds at the center, the sag, meas- tion must meet requirements in effect ured at the center, in any direction at the time of manufacture. shall not exceed 0.25 inch under any (10) Safety devices in case of tow-bar condition of adjustment as to length. failure or disconnection. (i) The towed (5) Method of clamping. Adequate vehicle shall be connected to the tow- means shall be provided for securely ing vehicle by a safety device to pre- fastening the tow-bar to the towed and vent the towed vehicle from breaking towing vehicles. loose in the event the tow-bar fails or (6) Tow-bar connection to steering becomes disconnected. When safety mechanism. The tow-bar shall be pro- chains or cables are used as the safety vided with suitable means of attach- device for that vehicle, at least two ment to and actuation of the steering safety chains or cables meeting the re- mechanism, if any, of the towed vehi- quirements of paragraph (h)(10)(ii) of cle. The attachment shall provide for this section shall be used. The tensile sufficient angularity of movement of strength of the safety device and the the front wheels of the towed vehicle so means of attachment to the vehicles that it may follow substantially in the shall be at least equivalent to the cor- path of the towing vehicle without responding longitudinal strength for cramping the tow-bar. The tow-bar tow-bars required in the table of para- shall be provided with suitable joints graph (h)(1) of this section. If safety to permit such movement. chains or cables are used as the safety (7) Tracking. The tow-bar shall be so device, the required strength shall be designed, constructed, maintained, and the combined strength of the combina- mounted as to cause the towed vehicle tion of chains and cables. to follow substantially in the path of (ii) If chains or cables are used as the the towing vehicle. Tow-bars of such safety device, they shall be crossed and design on in our condition as to permit attached to the vehicles near the the towed vehicle to deviate more than points of bumper attachments to the 3 inches to either side of the path of a chassis of the vehicles. The length of towing vehicle moving in a straight chain used shall be no more than nec- line as measured from the center of the essary to permit free turning of the ve- towing vehicle are prohibited. hicles. The chains shall be attached to (8) Passenger car-trailer type couplings. the tow-bar at the point of crossing or Trailer couplings used for driveaway- as close to that point as is practicable. towaway operations of passenger car (iii) A safety device other than safety trailers shall conform to Society of chains or cables must provide strength, Automotive Engineers Standard No. security of attachment, and directional J684c, ‘‘Trailer Couplings and Hitches— stability equal to, or greater than, that Automotive Type,’’ July 1970.1 provided by safety chains or cables in- (9) Marking tow-bars. Every tow-bar stalled in accordance with paragraph acquired and used in driveaway- (h)(10)(ii) of this section. A safety de- towaway operations by a motor carrier vice other than safety chains or cables shall be plainly marked with the fol- must be designed, constructed, and in- lowing certification of the manufac- stalled so that, if the tow-bar fails or turer thereof (or words of equivalent becomes disconnected, the tow-bar will meaning): not drop to the ground. (i) [Reserved] This tow-bar complies with the require- ments of the Federal Highway Administra- (j) Requirements for upper-half of sad- tion for (maximum gross weight for which dle-mounts. The upper-half of any sad- tow-bar is manufactured) vehicles. dle-mount shall comply with the fol- Allowable Maximum Gross Weight lllll lowing requirements: Manufactured llllllllllllllll (1) Upper-half connection to towed ve- (month and year) hicle. The upper-half shall be securely by llllllllllllllllllllll attached to the frame or axle of the (name of manufacturer) towed vehicle by means of U-bolts or other means providing at least equiva- 1 See footnote 1 to § 393.24(c). lent security.
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(2) U-bolts or other attachments. U- support between the upper-half and the bolts used to attach the upper half to towed vehicle shall be at least 9 inches. the towed vehicle shall be made of (5) Lateral movement of towed vehicle. steel rod, free of defects, so shaped as (i) Towed vehicles having a straight to avoid at any point a radius of less axle or an axle having a drop of less than 1 inch: Provided, however, That a than 3 inches, unless the saddle-mount lesser radius may be utilized if the U- is constructed in accordance with para- bolt is so fabricated as not to cause graph (m)(2) of this section, shall be se- more than 5 percent reduction in cross- curely fastened by means of chains or sectional area at points of curvature, cables to the upper-half so as to insure in which latter event the minimum ra- against relative lateral motion be- dius shall be one-sixteenth inch. U- tween the towed vehicle and the upper- bolts shall have a diameter not less half. The chains or cables shall be at than required by the following table: least 3⁄16-inch diameter and secured by bolts of at least equal diameter. DIAMETER OF U-BOLTS IN INCHES (ii) Towed vehicles with an axle with Double or triple saddle-mount a drop of 3 inches or more, or con- Weight in pounds of nected by a saddle-mount constructed heaviest towed vehicle Front Middle Rear Single in accordance with paragraph (m)(2) of mount or front mount saddle- mount mount 1 this section, need not be restrained by Up to 5,000 ...... 0.625 0.5625 0.500 0.500 chains or cables provided that the 5,000 and over ...... 0.6875 0.625 0.5625 0.5625 upper-half is so designed as to provide 1 The total weight of all the vehicles being towed shall gov- against such relative motion. ern. If other devices are used to accomplish the same pur- (iii) Chains or cables shall not be re- poses as U-bolts they shall have at least equivalent strength of U-bolts made of mild steel. Cast iron shall not be used for quired if the upper-half is so designed clamps or any other holding devices. as positively to provide against lateral (3) U-bolts and points of support, loca- movement of the axle. tion. The distance between the most (k) Requirements for lower half of sad- widely separated U-bolts shall not be dle-mounts. The lower half of any sad- less than 9 inches. The distance be- dle-mount shall comply with the fol- tween the widely separated points lowing requirements: where the upper-half supports the (1) U-bolts or other attachments. U- towed vehicle shall not be less than 9 bolts used to attach the lower half to inches, except that saddle-mounts em- the towing vehicle shall be made of ploying ball and socket joints shall em- steel rod, free of defects, so shaped as ploy a device which clamps the axle of to avoid at any point a radius of less the towed vehicle throughout a length than 1 inch: Provided, however, That a of not less than 5 inches. lesser radius may be utilized if the U- (4) Cradle-type upper-halves, specifica- bolt is so fabricated as not to cause tions. Upper-halves of the cradle-type more than 5 percent reduction in cross- using vertical members to restrain the sectional area at points of curvature, towed vehicle from relative movement in which latter event the minimum ra- in the direction of motion of the vehi- dius shall be one-sixteenth inch. U- cles shall be substantially constructed bolts shall have a total cross-sectional and adequate for the purpose. Such cra- area not less than as required by the dle-mounts shall be equipped with at following table: least one bolt or equivalent means to provide against relative vertical move- TOTAL CROSS-SECTIONAL AREA OF U-BOLTS IN ment between the upper-half and the SQUARE INCHES towed vehicle. Bolts, if used, shall be at Double or triple saddle-mount least one-half inch in diameter. De- Weight in pounds of vices using equivalent means shall heaviest towed vehicle Front Middle Rear Single mount or front mount saddle- have at least equivalent strength. The mount mount 1 means used to provide against relative Up to 5,000 ...... 1.2 1.0 0.8 0.8 vertical motion between the upper-half 5,000 and over ...... 1.4 1.2 1.0 1.0 and the towed vehicle shall be such as 1 The total weight of all the vehicles being towed shall gov- not to permit a relative motion of over ern. If other devices are used to accomplish the same pur- poses as U-bolts they shall have at least equivalent strength one-half inch. The distance between of U-bolts made of mild steel. Cast iron shall not be used for the most widely separated points of clamps or any other holding devices.
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(2) Shifting. Adequate provision shall are placed upon each other to obtain be made by design and installation to such height; however, hardwood blocks, provide against relative movement be- not over 4 in number, to a total height tween the lower-half and the towing not to exceed 14 inches, may be used if vehicle especially during periods of the total cross-sectional area of the U- rapid acceleration and deceleration. To bolts used to attach the lower-half of insure against shifting, designs of the the towing vehicle is at least 50 percent tripod type shall be equipped with ade- greater than that required by the table quate and securely fastened hold-back contained in paragraph (k)(1) of this chains or similar devices. section, or, if other devices are used in (3) Swaying. (i) Adequate provision lieu of U-bolts, they shall provide for shall be made by design and installa- as great a resistance to bending as is tion to provide against swaying or lat- provided by the larger U-bolts above eral movement of the towed vehicle prescribed. relative to the towing vehicle. To in- (ii) Hardwood blocks must be at least sure against swaying, lower-halves de- 4 inches in width and the surfaces be- signed with cross-members attached to tween blocks or block and lower-half or but separable from vertical members block and upper-half shall be planed shall have such cross-members fastened and so installed and maintained as to to the vertical members by at least two minimize any tendency of the towed bolts on each side. Such bolts shall be vehicle to sway or rock. of at least equivalent cross-sectional (5) Cross-member, general requirements. area as those required for U-bolts for The cross-member, which is that part the corresponding saddle-mount as of the lower-half used to distribute the given in the table in paragraph (k)(1) of weight of the towed vehicle equally to this section. The minimum distance each member of the frame of the tow- between the most widely separated ing vehicle, if used, shall be struc- points of support of the cross-member turally adequate and properly installed by the vertical member shall be three and maintained adequately to perform inches as measured in a direction par- this function. allel to the longitudinal axis of the (6) Cross-member, use of wood. No ma- towing vehicle. terials, other than suitable metals, (ii) The lower-half shall have a bear- shall be used as the cross-member, and ing surface on the frame of the towing wood may not be used structurally in vehicle of such dimensions that the any manner that will result in its pressure exerted by the lower-half upon being subject to tensile stresses. Wood the frame of the towing vehicle shall may be used in cross-members if sup- not exceed 200 pounds per square inch ported throughout its length by suit- under any conditions of static loading. able metal cross-members. Hardwood blocks or blocks of other (7) Lower half strength. The lower half suitable material, such as hard rubber, shall be capable of supporting the loads aluminum or brakelining, if used be- given in the following table. For the tween the lower half and the frame of purpose of test, the saddle-mount shall the towing vehicle shall be at least 1⁄2 be mounted as normally operated and inch thick, 3 inches wide, and a com- the load applied through the upper bined length of 6 inches. half: (iii) Under no condition shall the highest point of support of the towed MINIMUM TEST LOAD IN POUNDS vehicle by the upper-half be more than 24 inches, measured vertically, above Double or triple saddle-mount Weight in pounds of the top of the frame of the towing vehi- heaviest towed vehicle Front Middle Rear Single mount or front mount saddle- cle, measured at the point where the mount mount 1 lower-half rests on the towing vehicle. (4) Wood blocks. (i) Hardwood blocks Up to 5,000 ...... 15,000 10,000 5,000 5,000 of good quality may be used to build up 5,000 and over ...... 30,000 20,000 10,000 10,000 the height of the front end of the towed 1 The total weight of all the vehicles being towed shall vehicle, provided that the total height govern. of such wood blocks shall not exceed 8 (l) Requirements for kingpins of saddle- inches and not over two separate pieces mounts. The kingpin of any saddle-
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mount shall comply with the following purpose, free of defects, and having a requirements: diameter not less than required by the (1) Kingpin size. (i) Kingpins shall be following table: constructed of steel suitable for the
DIAMETER OF SOLID KINGPIN IN INCHES
Double or triple saddle-mount
Front mount Middle or front Rear mount Single saddle- Weight in pounds of heaviest towed vehicle mount mount 1
Mild 2 Mild 2 Mild 2 Mild steel H.T.S. steel H.T.S. steel H.T.S. steel H.T.S.
Up to 5,000 ...... 1.125 1.000 1.000 0.875 0.875 0.750 0.875 0.750 5,000 and over ...... 1.500 1.125 1.250 1.000 1.000 0.875 1.000 0.875 1 The total weight of all the vehicles being towed shall govern. 2 High-tensile steel is steel having a minimum ultimate strength of 65,000 pounds per square inch.
(ii) If a ball and socket joint is used than 16 square inches under any condi- in place of a kingpin, the diameter of tions of angularity between the towing the neck of the ball shall be at least and towed vehicles: Provided, however, equal to the diameter of the cor- That saddle-mounts using a ball and responding solid kingpin given in the socket joint shall have a ball of such above table. If hollow kingpins are dimension that the static bearing load used, the metallic cross-sectional area shall not exceed 800 pounds per square shall be at least equal to the cross-sec- inch, based on the projected cross-sec- tional area of the corresponding solid tional area of the ball: And further pro- kingpin. vided, That saddle-mounts having the (2) Kingpin fit. If a kingpin bushing is upper-half supported by ball, taper, or not used, the king-pin shall fit snugly roller-bearings shall not have such into the upper and lower-halves but bearings loaded beyond the limits pre- shall not bind. Those portions of the scribed for such bearings by the manu- upper or lower-halves in moving con- facturer thereof. The upper-half shall tact with the kingpin shall be smooth- rest evenly and smoothly upon the ly machined with no rough or sharp lower-half and the contact surfaces edges. The bearing surface thus pro- shall be lubricated and maintained so vided shall not be less in depth than that there shall be a minimum of fric- the radius of the kingpin. tional resistance between the parts. (3) Kingpin bushing on saddle-mounts. (2) Saddle-mounts, angularity. All sad- The kingpin of all new saddle-mounts dle-mounts acquired and used shall acquired and used shall be snugly en- provide for angularity between the closed in a bushing at least along such towing and towed vehicles due to verti- length of the kingpin as may be in cal curvatures of the highway. Such moving contact with either the upper means shall not depend upon either the or lower-halves. The bearing surface looseness or deformation of the parts of thus provided shall not be less in depth either the saddle-mount or the vehicles than the radius of the kingpin. to provide for such angularity. (4) Kingpin to restrain vertical motion. (3) Tracking. The saddle-mount shall The kingpin shall be so designed and be so designed, constructed, main- installed as to restrain the upper-half tained, and installed that the towed ve- from moving in a vertical direction rel- hicle or vehicles will follow substan- ative to the lower-half. tially in the path of the towing vehicle (m) Additional requirements for saddle- without swerving. Towed vehicles shall mounts. Saddle-mounts shall comply not deviate more than 3 inches to ei- with the following requirements: ther side of the path of the towing ve- (1) Bearing surface between upper and hicle when moving in a straight line. lower-halves. The upper and lower- (4) Prevention of frame bending. Where halves shall be so constructed and con- necessary, provision shall be made to nected that the bearing surface be- prevent the bending of the frame of the tween the two halves shall not be less towing vehicle by insertion of suitable
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blocks inside the frame channel to pre- 1⁄2 inch by 8 inches long. The device vent kinking. The saddle-mount shall shall be bolted together with 3⁄4-inch not be so located as to cause deforma- bolts and at least three shall be used tion of the frame by reason of canti- on each side. Wood may be used as lever action. spacers to keep the frames apart and it (5) Extension of frame. No saddle- shall be at least 4 inches square. mount shall be located at a point to (Sec. 12, 80 Stat. 931; 49 U.S.C. 1651 note; sec- the rear of the frame of a towing vehi- tion 6 of the Department of Transportation cle. Act, 49 U.S.C. 1655, and the delegations of au- (6) Nuts, secured. All nuts used on thority at 49 CFR 1.48 and 389.4) bolts, U-bolts, king-pins, or in any [33 FR 19735, Dec. 25, 1968, as amended at 35 other part of the saddle-mount shall be FR 10907, July 7, 1970; 37 FR 21440, Oct. 11, secured against accidental disconnec- 1972; 53 FR 49400, Dec. 7, 1988] tion by means of cotter-keys, lock- washers, double nuts, safety nuts, or Subpart G—Miscellaneous Parts equivalent means. Parts shall be so de- signed and installed that nuts shall be and Accessories fully engaged. § 393.75 Tires. (7) Inspection of all parts. The saddle- mount shall be so designed that it may (a) No motor vehicle shall be oper- be disassembled and each separate part ated on any tire that (1) has body ply inspected for worn, bent, cracked, bro- or belt material exposed through the ken, or missing parts. tread or sidewall, (2) has any tread or (8) Saddle-mounts, marking. Every new sidewall separation, (3) is flat or has an saddle-mount acquired and used in audible leak, or (4) has a cut to the ex- driveaway-towaway operations by a tent that the ply or belt material is ex- motor carrier shall have the upper-half posed. and the lower-half separately marked (b) Any tire on the front wheels of a with the following certification of the bus, truck, or truck tractor shall have manufacturer thereof (or words of a tread groove pattern depth of at least equivalent meaning). 4⁄32 of an inch when measured at any point on a major tread groove. The This saddle-mount complies with the re- measurements shall not be made where quirements of the Federal Highway Adminis- tie bars, humps, or fillets are located. tration for vehicles up to 5,000 pounds (or (c) Except as provided in paragraph over 5,000 pounds): (b) of this section, tires shall have a Manufactured llllllllllllllll tread groove pattern depth of at least (Month and year) 2⁄32 of an inch when measured in a by llllllllllllllllllllll (Name of manufacturer) major tread groove. The measurement shall not be made where tie bars, (n) Requirements for devices used to humps or fillets are located. connect motor vehicles or parts of motor (d) No bus shall be operated with re- vehicles together to form one vehicle—(1) grooved, recapped or retreaded tires on Front axle attachment. The front axle of the front wheels. one motor vehicle intended to be cou- (e) No truck or truck tractor shall be pled with another vehicle as defined in operated with regrooved tires on the paragraph (g)(2)(ii) of this section shall front wheels which have a load carry- be attached with U-bolts meeting the ing capacity equal to or greater than requirements of paragraph (j)(2) of this that of 8.25–20 8 ply-rating tires. section. (f) Tire loading restrictions. With the (2) Rear axle attachment. The rear axle exception of manufactured homes, no of one vehicle shall be coupled to the motor vehicle shall be operated with frame of the other vehicle by means of tires that carry a weight greater than a connecting device which when in that marked on the sidewall of the tire place forms a rectangle. The device or, in the absence of such a marking, a shall be composed of two pieces, top weight greater than that specified for and bottom. The device shall be made the tires in any of the publications of of 4-inch by 1⁄2-inch steel bar bent to any of the organizations listed in Fed- shape and shall have the corners rein- eral Motor Vehicle Safety Standard forced with a plate at least 3 inches by No. 119 (49 CFR 571.119, S5.1(b)) unless:
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(1) The vehicle is being operated [34 FR 9344, June 13, 1969, as amended at 40 under the terms of a special permit FR 44557, Sept. 29, 1975; 41 FR 36657, Aug. 31, issued by the State; and 1976; 44 FR 25455, May 1, 1979; 44 FR 47938, Aug. 16, 1979; 53 FR 18057, May 19, 1988; 53 FR (2) The vehicle is being operated at a 49401, Dec. 7, 1988; 63 FR 8339, Feb. 18, 1998] reduced speed to compensate for the tire loading in excess of the manufac- EFFECTIVE DATE NOTE: At 63 FR 8339, Feb. 18, 1998, § 393.75 was amended by revising turer’s rated capacity for the tire. In paragraph (f), by adding paragraphs (g) and no case shall the speed exceed 80 km/hr (h), and by removing the authority citation (50 mph). at the end of the section, effective Nov. 16, (g) Tire loading restrictions for manu- 1998. For the convenience of the user, the su- factured homes. Effective November 16, perseded text is set forth as follows: 1998, tires used for the transportation § 393.75 Tires. of manufactured homes (i.e., tires marked or labeled 7–14.5MH and 8– * * * * * 14.5MH) may be loaded up to 18 percent over the load rating marked on the (f) Tire load rating 1. (1) General rule: No sidewall of the tire or, in the absence of motor vehicle shall be operated with tires that carry a greater weight than that speci- such a marking, 18 percent over the fied for the tires in any of the publications of load rating specified in any of the pub- the standardizing bodies listed in FMVSS lications of any of the organizations 571.119 (49 CFR 571.119) and marked on the listed in FMVSS No. 119 (49 CFR sidewall of the tire unless: 571.119, S5.1(b)). Manufactured homes (i) The vehicle is being operated under the which are labeled (24 CFR 3282.7(r)) on terms of a special permit issued by the or after November 16, 1998 shall comply State, and (ii) The vehicle is being operated at a re- with this section. Manufactured homes duced speed that is appropriate to com- transported on tires overloaded by 9 pensate for tire loading in excess of the man- percent or more must not be operated ufacturer’s normal rated capacity. at speeds exceeding 80 km/hr (50 mph). (2) Tire pressure. No motor vehicle shall be This provision will expire November 20, operated on a tire which has a cold inflation 2000 unless extended by mutual consent pressure less than that specified for the load of the FHWA and the Department of being carried. (3) If the inflation pressure of the tire has Housing and Urban Development after been increased by heat because of the recent review of appropriate tests or other operation of the vehicle, the cold inflation data submitted by the industry or pressure shall be estimated by subtracting other interested parties. the inflation buildup factor shown in Table I (h) Tire inflation pressure. (1) No from the measured inflation pressure. motor vehicle shall be operated on a TABLE IÐINFLATION PRESSURE MEASUREMENT tire which has a cold inflation pressure CORRECTION FOR HEAT less than that specified for the load being carried. Minimum inflation pressure buildup (2) If the inflation pressure of the tire Average speed of Tires with 4,000 lb has been increased by heat because of tire in previous (1,814 kg) maxi- Tires with over hour mum load rating or 4,000 lb (1,814 kg) the recent operation of the vehicle, the less load rating cold inflation pressure shall be esti- mated by subtracting the inflation 41 to 55 mi/h 66 to 5 lb/in2 (0.36 bar) 15 lb/in2 (1.07 88.5 km/h). bars). buildup factor shown in Table 1 from the measured inflation pressure. (Sec. 204, 49 Stat. 546 as amended (49 U.S.C. 304); sec. 6, Pub. L. 89–670, 80 Stat. 937 (49 TABLE 1.ÐINFLATION PRESSURE MEASUREMENT U.S.C. 1655); 49 CFR 1.48 and 49 CFR 301.60) CORRECTION FOR HEAT
Minimum inflation pressure buildup 1 The load and cold inflation pressure im- Average speed of posed on the rim and wheel must not exceed vehicle Tires with 1,814 kg in the previous (4,000 lbs.) maxi- Tires with over the rim and wheel manufacturer’s rec- 1,814 kg (4,000 ommendations even though the tire may be hour mum load rating or lbs.) load rating less approved for a higher load or inflation. Rims and wheels may be identified (stamped) with 66±88.5 km/hr 34.5 kPa (5 psi) ... 103.4 kPa (15 psi). a maximum load and maximum cold infla- (41±55 mph). tion rating.
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§ 393.76 Sleeper berths. (2) A sleeper berth installed before January 1, 1953 must either: (a) Dimensions—(1) Size. A sleeper (i) Conform to the requirements of berth must be at least the following paragraph (c)(1) of this section; or size: (ii) Have at least two exits, each of Length Width Height which is at least 18 inches high and 21 measured measured measured inches wide, located at opposite ends of on center- on center- from high- Date of installation on line of lon- line of est point of the vehicle and useable by the occu- motor vehicle gitudinal transverse top of mat- pant without the assistance of any axis axis tress (inches) (inches) (inches) 1 other person. (d) Communication with the driver. A Before January 1, sleeper berth which is not located with- 1953 ...... 72 18 18 in the driver’s compartment and has no After December 31, 1952, and before direct entrance into the driver’s com- October 1, 1975 .... 75 21 21 partment must be equipped with a After September 30, means of communication between the 1975 ...... 75 24 24 occupant and the driver. The means of 1 In the case of a sleeper berth which utilizes an adjustable communication may consist of a tele- mechanical suspension system, the required clearance can be measured when the suspension system is adjusted to the phone, speaker tube, buzzer, pull cord, height to which it would settle when occupied by a driver. or other mechanical or electrical de- vice. (2) Shape. A sleeper berth installed on (e) Equipment. A sleeper berth must a motor vehicle on or after January 1, be properly equipped for sleeping. Its 1953 must be of generally rectangular equipment must include: shape, except that the horizontal cor- (1) Adequate bedclothing and blan- ners and the roof corners may be kets; and rounded to radii not exceeding 101⁄2 (2) Either: inches. (i) Springs and a mattress; or (3) Access. A sleeper berth must be (ii) An innerspring mattress; or constructed so that an occupant’s (iii) A cellular rubber or flexible ready entrance to, and exit from, the foam mattress at least four inches sleeper berth is not unduly hindered. thick; or (b) Location. (1) A sleeper berth must (iv) A mattress filled with a fluid and not be installed in or on a semitrailer of sufficient thickness when filled to or a full trailer other than a house prevent ‘‘bottoming-out’’ when occu- trailer. pied while the vehicle is in motion. (2) A sleeper berth located within the (f) Ventilation. A sleeper berth must cargo space of a motor vehicle must be have louvers or other means of provid- securely compartmentalized from the ing adequate ventilation. A sleeper remainder of the cargo space. A sleeper berth must be reasonably tight against berth installed on or after January 1, dust and rain. 1953 must be located in the cab or im- (g) Protection against exhaust and fuel mediately adjacent to the cab and leaks and exhaust heat. A sleeper berth must be securely fixed with relation to must be located so that leaks in the ve- the cab. hicle’s exhaust system or fuel system (c) Exit from the berth. (1) Except as do not permit fuel, fuel system gases, provided in paragraph (c)(2) of this sec- or exhaust gases to enter the sleeper tion, there must be a direct and ready berth. A sleeper berth must be located means of exit from a sleeper berth into so that it will not be overheated or the driver’s seat or compartment. If damaged by reason of its proximity to the sleeper berth was installed on or the vehicle’s exhaust system. after January 1, 1963, the exit must be (h) Occupant restraint. A motor vehi- a doorway or opening at least 18 inches cle manufactured on or after July 1, high and 36 inches wide. If the sleeper 1971, and equipped with a sleeper berth berth was installed before January 1, must be equipped with a means of pre- 1963, the exit must have sufficient area venting ejection of the occupant of the to contain an ellipse having a major sleeper berth during deceleration of the axis of 24 inches and a minor axis of 16 vehicle. The restraint system must be inches. designed, installed, and maintained to
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withstand a minimum total force of ture of the protecting grilles or of any 6,000 pounds applied toward the front of exposed portions of the heaters, inclu- the vehicle and parallel to the longitu- sive of exhaust stacks, pipes, or con- dinal axis of the vehicle. duits shall be lower than would cause [39 FR 14711, Apr. 26, 1974; 39 FR 17233, May contact burns. Adequate protection 14, 1974, as amended at 53 FR 49401, Dec. 7, shall be afforded against igniting parts 1988] of the vehicle or burning occupants by direct radiation. Wood charcoal heaters § 393.77 Heaters. shall be enclosed within a metal barrel, On every motor vehicle, every heater drum, or similar protective enclosure shall comply with the following re- which enclosure shall be provided with quirements: a securely fastened cover. (a) Prohibited types of heaters. The in- (2) Moving parts, guards. Effective stallation or use of the following types guards shall be provided for the protec- of heaters is prohibited: tion of passengers or occupants against (1) Exhaust heaters. Any type of ex- injury by fans, belts, or any other mov- haust heater in which the engine ex- ing parts. haust gases are conducted into or (3) Heaters, secured. Every heater and through any space occupied by persons every heater enclosure shall be se- or any heater which conducts engine curely fastened to the vehicle in a sub- compartment air into any such space. stantial manner so as to provide (2) Unenclosed flame heaters. Any type against relative motion within the ve- of heater employing a flame which is hicle during normal usage or in the not fully enclosed, except that such event the vehicle overturns. Every heaters are not prohibited when used heater shall be so designed, con- for heating the cargo of tank motor ve- structed, and mounted as to minimize hicles. the likelihood of disassembly of any of (3) Heaters permitting fuel leakage. Any its parts, including exhaust stacks, type of heater from the burner of which pipes, or conduits, upon overturn of the there could be spillage or leakage of vehicle in or on which it is mounted. fuel upon the tilting or overturning of Wood charcoal heaters shall be secured the vehicle in which it is mounted. against relative motion within the en- (4) Heaters permitting air contamina- closure required by paragraph (c)(1) of tion. Any heater taking air, heated or this section, and the enclosure shall be to be heated, from the engine compart- securely fastened to the motor vehicle. ment or from direct contact with any (4) Relative motion between fuel tank portion of the exhaust system; or any and heater. When either in normal oper- heater taking air in ducts from the ation or in the event of overturn, there outside atmosphere to be conveyed is or is likely to be relative motion be- through the engine compartment, un- tween the fuel tank for a heater and less said ducts are so constructed and the heater, or between either of such installed as to prevent contamination units and the fuel lines between them, of the air so conveyed by exhaust or a suitable means shall be provided at engine compartment gases. the point of greatest relative motion so (5) Solid fuel heaters except wood char- as to allow this motion without caus- coal. Any stove or other heater employ- ing failure of the fuel lines. ing solid fuel except wood charcoal. (5) Operating controls to be protected. (6) Portable heaters. Portable heaters On every bus designed to transport shall not be used in any space occupied more than 15 passengers, including the by persons except the cargo space of driver, means shall be provided to pre- motor vehicles which are being loaded vent unauthorized persons from tam- or unloaded. pering with the operating controls. (b) Heater specifications. All heaters Such means may include remote con- shall comply with the following speci- trol by the driver; installation of con- fications: trols at inaccessible places; control of (1) Heating elements, protection. Every adjustments by key or keys; enclosure heater shall be so located or protected of controls in a locked space, locking as to prevent contact therewith by oc- of controls, or other means of accom- cupants, unless the surface tempera- plishing this purpose.
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(6) Heater hoses. Hoses for all hot means of discharge of such products water and steam heater systems shall shall be such as to minimize the likeli- be specifically designed and con- hood of their reentry into the vehicle structed for that purpose. under all operating conditions. (7) Electrical apparatus. Every heater (10) Combustion chamber construction. employing any electrical apparatus The design and construction of any shall be equipped with electrical con- combustion-type heater except cargo ductors, switches, connectors, and space heaters permitted by the proviso other electrical parts of ample current- of paragraph (c)(9) of this section and carrying capacity to provide against unenclosed flame heaters used for heat- overheating; any electric motor em- ing cargo of tank motor vehicles shall ployed in any heater shall be of ade- be such as to provide against the leak- quate size and so located that it will age of products of combustion into air not be overheated; electrical circuits to be heated and circulated. The mate- shall be provided with fuses and/or cir- rial employed in combustion chambers cuit breakers to provide against elec- shall be such as to provide against trical overloading; and all electrical leakage because of corrosion, oxida- conductors employed in or leading to tion, or other deterioration. Joints be- any heater shall be secured against tween combustion chambers and the dangling, chafing, and rubbing and air chambers with which they are in shall have suitable protection against thermal and mechanical contact shall any other condition likely to produce be so designed and constructed as to short or open circuits. prevent leakage between the chambers NOTE: Electrical parts certified as proper and the materials employed in such for use by Underwriters’ Laboratories, Inc., joints shall have melting points sub- shall be deemed to comply with the fore- stantially higher than the maximum going requirements. temperatures likely to be attained at (8) Storage battery caps. If a separate the points of jointure. storage battery is located within the (11) Heater fuel tank location. Every personnel or cargo space, such battery bus designed to transport more than 15 shall be securely mounted and equipped passengers, including the driver, with with nonspill filler caps. heaters of the combustion type shall (9) Combustion heater exhaust construc- have fuel tanks therefor located out- tion. Every heater employing the com- side of and lower than the passenger bustion of oil, gas, liquefied petroleum space. When necessary, suitable protec- gas, or any other combustible material tion shall be afforded by shielding or shall be provided with substantial other means against the puncturing of means of conducting the products of any such tank or its connections by combustion to the outside of the vehi- flying stones or other objects. cle: Provided, however, That this re- (12) Heater, automatic fuel control. quirement shall not apply to heaters Gravity or siphon feed shall not be per- used solely to heat the cargo space of mitted for heaters using liquid fuels. motor vehicles where such motor vehi- Heaters using liquid fuels shall be cles or heaters are equipped with equipped with automatic means for means specifically designed and main- shutting off the fuel or for reducing tained so that the carbon monoxide such flow of fuel to the smallest prac- concentration will never exceed 0.2 per- ticable magnitude, in the event of cent in the cargo space. The exhaust overturn of the vehicle. Heaters using pipe, stack, or conduit if required shall liquefied petroleum gas as fuel shall be sufficiently substantial and so se- have the fuel line equipped with auto- cured as to provide reasonable assur- matic means at the source of supply for ance against leakage or discharge of shutting off the fuel in the event of products of combustion within the ve- separation, breakage, or disconnection hicle and, if necessary, shall be so insu- of any of the fuel lines between the lated as to make unlikely the burning supply source and the heater. or charring of parts of the vehicle by (13) ‘‘Tell-tale’’ indicators. Heaters radiation or by direct contact. The subject to paragraph (c)(14) of this sec- place of discharge of the products of tion and not provided with automatic combustion to the atmosphere and the controls shall be provided with ‘‘tell-
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tale’’ means to indicate to the driver rain, snow, or other moisture from the that the heater is properly functioning. windshield and which shall be in such This requirement shall not apply to condition as to provide clear vision for heaters used solely for the cargo space the driver, unless one such blade be so in semitrailers or full trailers. arranged as to clean an area of the (14) Shut-off control. Automatic windshield extending to within 1 inch means, or manual means if the control of the limit of vision through the wind- is readily accessible to the driver with- shield at each side: Provided, however, out moving from the driver’s seat, That in driveaway-towaway operations shall be provided to shut off the fuel this section shall apply only to the and electrical supply in case of failure driven vehicle: And provided further, of the heater to function for any rea- That one windshield wiper blade will son, or in case the heater should func- suffice under this section when such tion improperly or overheat. This re- driven vehicle in driveaway-towaway quirement shall not apply to wood operation constitutes part or all of the charcoal heaters or to heaters used solely to heat the contents of cargo property being transported and has no tank motor vehicles, but wood charcoal provision for two such blades. heaters must be provided with a con- (b) Every bus, truck, and truck trac- trolled method of regulating the flow tor, the date of manufacture of which of combustion air. is subsequent to June 30, 1953, which (15) Certification required. Every com- depends upon vacuum to operate the bustion-type heater, except wood char- windshield wipers, shall be so con- coal heaters, the date of manufacture structed that the operation of the wip- of which is subsequent to December 31, ers will not be materially impaired by 1952, and every wood charcoal heater, change in the intake manifold pres- the date of manufacture of which is sure. subsequent to September 1, 1953, shall be marked plainly to indicate the type § 393.79 Defrosting device. of service for which such heater is de- Every bus, truck, and truck tractor signed and with a certification by the having a windshield, when operating manufacturer that the heater meets under conditions such that ice, snow, the applicable requirements for such or frost would be likely to collect on use. For example, ‘‘Meets I.C.C. Bus the outside of the windshield or con- Heater Requirements,’’ Meets I.C.C. densation on the inside of the wind- Flue-Vented Cargo Space Heater Re- shield, shall be equipped with a device quirements,’’ and after December 31, or other means, not manually oper- 1967, such certification shall read ated, for preventing or removing such ‘‘Meets FHWA Bus Heater Require- obstructions to the driver’s view: ments,’’ ‘‘Meets FHWA Flue-Vented Pro- Cargo Space Heater Requirements,’’ vided, however, That this section shall etc. not apply in driveaway-towaway oper- (i) Exception. The certification for a ations when the driven vehicle is a part catalytic heater which is used in trans- of the shipment being delivered. porting flammable liquid or gas shall be as prescribed under § 177.834(1) of § 393.80 Rear-vision mirrors. this title. (a) Every bus, truck, and truck trac- tor shall be equipped with two rear-vi- [33 FR 19735, Dec. 25, 1968, as amended at 40 FR 51198, Nov. 4, 1975; 53 FR 49401, Dec. 7, sion mirrors, one at each side, firmly 1988] attached to the outside of the motor vehicle, and so located as to reflect to § 393.78 Windshield wipers. the driver a view of the highway to the (a) Every bus, truck, and truck trac- rear, along both sides of the vehicle. tor, having a windshield, shall be All such regulated rear-vision mirrors equipped with at least two automati- and their replacements shall meet, as a cally-operating windshield wiper minimum, the requirements of FMVSS blades, one on each side of the center- No. 111 (49 CFR 571.111) in force at the line of the windshield, for cleaning time the vehicle was manufactured.
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(b) Exceptions. (1) Mirrors installed on (b) No exhaust system shall discharge a vehicle manufactured prior to Janu- to the atmosphere at a location imme- ary 1, 1981, may be continued in serv- diately below the fuel tank or the fuel ice, provided that if the mirrors are re- tank filler pipe. placed they shall be replaced with mir- (c) The exhaust system of a bus pow- rors meeting, as a minimum, the re- ered by a gasoline engine shall dis- quirements of FMVSS No. 111 (49 CFR charge to the atmosphere at or within 571.111) in force at the time the vehicle 6 inches forward of the rearmost part was manufactured. of the bus. (2) Only one outside mirror shall be (d) The exhaust system of a bus using required, which shall be on the driver’s fuels other than gasoline shall dis- side, on trucks which are so con- charge to the atmosphere either: structed that the driver has a view to (1) At or within 15 inches forward of the rear by means of an interior mir- the rearmost part of the vehicle; or ror. (2) To the rear of all doors or win- (3) In driveway-towaway operations, the driven vehicle shall have at least dows designed to be open, except win- one mirror furnishing a clear view to dows designed to be opened solely as the rear. (49 U.S.C. 3102; 49 CFR 1.48.) emergency exits. (e) The exhaust system of every [48 FR 57139, Dec. 28, 1983] truck and truck tractor shall discharge to the atmosphere at a location to the § 393.81 Horn. rear of the cab or, if the exhaust Every bus, truck, truck-tractor, and projects above the cab, at a location every driven motor vehicle in drive- near the rear of the cab. away-towaway operations shall be (f) No part of the exhaust system equipped with a horn and actuating shall be temporarily repaired with elements which shall be in such condi- wrap or patches. tion as to give an adequate and reliable (g) No part of the exhaust system warning signal. shall leak or discharge at a point for- § 393.82 Speedometer. ward of or directly below the driver/ sleeper compartment. The exhaust out- Every bus, truck, and truck-tractor let may discharge above the cab/sleeper shall be equipped with a speedometer roofline. indicating vehicle speed in miles per (h) The exhaust system must be se- hour, which shall be operative with curely fastened to the vehicle. reasonable accuracy; however, this re- (i) Exhaust systems may use hangers quirement shall not apply to any driv- which permit required movement due en vehicle which is part of a shipment being delivered in a driveaway- to expansion and contraction caused by towaway operation if such driven vehi- heat of the exhaust and relative mo- cle is equipped with an effective means tion between engine and chassis of a of limiting its maximum speed to 45 vehicle. miles per hour, nor to any towed vehi- [53 FR 49401, Dec. 7, 1988] cle. § 393.84 Floors. § 393.83 Exhaust systems. The flooring in all motor vehicles (a) Every motor vehicle having a de- shall be substantially constructed, free vice (other than as part of its cargo) of unnecessary holes and openings, and capable of expelling harmful combus- shall be maintained so as to minimize tion fumes shall have a system to di- the entrance of fumes, exhaust gases, rect the discharge of such fumes. No or fire. Floors shall not be permeated part shall be located where its location with oil or other substances likely to would likely result in burning, char- cause injury to persons using the floor ring, or damaging the electrical wiring, as a traction surface. the fuel supply, or any combustible part of the motor vehicle. [53 FR 49401, Dec. 7, 1988]
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§ 393.85 [Reserved] a point to the rear of the back of the driver’s seat if such viewer or screen is § 393.86 Rear end protection. in the same compartment as the driver Every motor vehicle, except truck- and the viewer or screen shall be so lo- tractors, pole trailers, and vehicles en- cated as not to be visible to the driver, gaged in driveaway-towaway oper- while he/she is driving the motor vehi- ations, the date of manufacture of cle. The operating controls for the tele- which is subsequent to December 31, vision receiver shall be so located that 1952, which is so constructed that the the driver cannot operate them with- body or the chassis assembly if without out leaving the driver’s seat. a body has a clearance at the rear end of more than 30 inches from the ground § 393.89 Buses, driveshaft protection. when empty, shall be provided with Any driveshaft extending lengthways bumpers or devices serving similar pur- under the floor of the passenger com- poses which shall be so constructed and partment of a bus shall be protected by located that: means of at least one guard or bracket (a) The clearance between the effec- at that end of the shaft which is pro- tive bottom of the bumpers or devices vided with a sliding connection (spline and the ground shall not exceed 30 or other such device) to prevent the inches with the vehicle empty; whipping of the shaft in the event of (b) The maximum distance between failure thereof or of any of its compo- the closest points between bumpers, or nent parts. A shaft contained within a devices, if more than one is used, shall torque tube shall not require any such not exceed 24 inches; device. (c) The maximum transverse distance from the widest part of the motor vehi- [33 FR 19735, Dec. 25, 1968, as amended at 53 FR 49402, Dec. 7, 1988] cle at the rear to the bumper or device shall not exceed 18 inches; § 393.90 Buses, standee line or bar. (d) The bumpers or devices shall be located not more than 24 inches for- Except as provided below, every bus, ward of the extreme rear of the vehicle; which is designed and constructed so as and to allow standees, shall be plainly (e) The bumpers or devices shall be marked with a line of contrasting color substantially constructed and firmly at least 2 inches wide or equipped with attached. Motor vehicles constructed some other means so as to indicate to and maintained so that the body, chas- any person that he/she is prohibited sis, or other parts of the vehicle afford from occupying a space forward of a the rear end protection contemplated perpendicular plane drawn through the shall be deemed to be in compliance rear of the driver’s seat and per- with this section. pendicular to the longitudinal axis of the bus. Every bus shall have clearly § 393.87 Flags on projecting loads. posted at or near the front, a sign with Any motor vehicle having a load or letters at least one-half inch high stat- vehicle component which extends be- ing that it is a violation of the Federal yond the sides more than 4 inches or Highway Administration’s regulations more than 4 feet beyond the rear shall for a bus to be operated with persons have the extremities of the load occupying the prohibited area. The re- marked with a red flag, not less than 12 quirements of this section shall not inches square, at each point where a apply to any bus being transported in lamp is required by Table 1, § 393.11. driveaway-towaway operation or to any level of the bus other that the [53 FR 49401, Dec. 7, 1988] level in which the driver is located nor shall they be construed to prohibit any § 393.88 Television receivers. seated person from occupying perma- Any motor vehicle equipped with a nent seats located in the prohibited television viewer, screen or other area provided such seats are so located means of visually receiving a television that persons sitting therein will not broadcast shall have the viewer or interfere with the driver’s safe oper- screen located in the motor vehicle at ation of the bus.
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§ 393.91 Buses, aisle seats prohibited. Motor Vehicle Safety Standard No. 1 No bus shall be equipped with aisle 207 (§ 571.207) (relating to seating sys- seats unless such seats are so designed tems). and installed as to automatically fold (b) Trucks and truck tractors—(1) and leave a clear aisle when they are Trucks and truck tractors manufactured unoccupied. No bus shall be operated if on and after January 1, 1965, and before any seat therein is not securely fas- July 1, 1971. Except as provided in para- tened to the vehicle. graph (d) of this section, after June 30, 1972, every truck and truck tractor [53 FR 49402, Dec. 7, 1988] manufactured on or after January 1, 1965, and before July 1, 1971, must be § 393.92 Buses, marking emergency equipped with a Type 1 or Type 2 seat doors. belt assembly that conforms to Federal Any bus equipped with an emergency Motor Vehicle Safety Standard No. 209 door shall have such door clearly (§ 571.209) installed at the driver’s seat marked in letters at least 1 inch in and at the right front outboard seat, if height with the words ‘‘Emergency the vehicle has one, and seat belt as- Door’’ or ‘‘Emergency Exit.’’ Emer- sembly anchorages that conform to the gency doors shall also be identified by location and geometric requirements of a red electric lamp readily visible to Federal Motor Vehicle Safety Standard passengers which lamp shall be lighted No. 210 (§ 571.210) for each seat belt as- at all times when lamps are required to sembly that is required by this sub- be lighted by § 392.30. paragraph. (2) Trucks and truck tractors manufac- § 393.93 Seats, seat belt assemblies, and seat belt assembly anchorages. tured on or after July 1, 1971. Every truck and truck tractor manufactured (a) Buses—(1) Buses manufactured on on or after July 1, 1971, except a truck or after January 1, 1965, and before July or truck tractor being transported in 1, 1971. After June 30, 1972, every bus driveaway-towaway operation and hav- manufactured on or after January 1, ing an incomplete vehicle seating and 1965, and before July 1, 1971, must be cab configuration, must conform to the equipped with a Type 1 or Type 2 seat requirements of Federal Motor Vehicle belt assembly that conforms to Federal Safety Standard No. 208 1 (§ 571.208) (re- 1 Motor Vehicle Safety Standard No. 209 lating to installation of seat belt as- (§ 571.209) installed at the driver’s seat semblies) and Federal Motor Vehicle and seat belt assembly anchorages that Safety Standard No. 210 1 (§ 571.210) (re- conform to the location and geometric lating to installation of seat belt as- requirements of Federal Motor Vehicle 1 sembly anchorages). Safety Standard No. 210 (§ 571.210) for (3) Trucks and truck tractors manufac- that seat belt assembly. tured on or after January 1, 1972. Every (2) Buses manufactured on or after July truck and truck tractor manufactured 1, 1971. Every bus manufactured on or on or after January 1, 1972, except a after July 1, 1971, must conform to the truck or truck tractor being trans- requirements of Federal Motor Vehicle ported in driveaway-towaway oper- Safety Standard No. 208 1 (§ 571.208) (re- ation and having an incomplete vehicle lating to installation of seat belt as- seating and cab configuration, must semblies) and Federal Motor Vehicle conform to the requirements of Federal Safety Standard No. 210 1 (§ 571.210) (re- Motor Vehicle Safety Standard No. lating to installation of seat belt as- 1 sembly anchorages). 207 (§ 571.207) (relating to seating sys- (3) Buses manufactured on or after Jan- tems). (c) When- uary 1, 1972. Every bus manufactured Effective date of standards. on or after January 1, 1972, must con- ever paragraph (a) or (b) of this section form to the requirements of Federal requires conformity to a Federal Motor Vehicle Safety Standard, the vehicle or equipment must conform to the version 1 Individual copies of Federal Motor Vehi- of the Standard that is in effect on the cle Safety Standards may be obtained from the National Highway Traffic Safety Admin- date the vehicle is manufactured or on istration. Nassif Building, 400 Seventh Street SW., Washington, D.C. 20590. 1 See footnote to § 393.93(a).
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the date the vehicle is modified to con- of, in the same plane as, and directly in form to the requirements of paragraph line with, the driver’s right ear. (a) or (b) of this section, whichever is (6) With the vehicle’s transmission in later. neutral gear, accelerate its engine to (d) Trucks and truck tractors manu- either its maximum governed engine factured on or after January 1, 1965, speed, if it is equipped with an engine and before July 1, 1971, and operated in governor, or its speed at its maximum the State of Hawaii, must comply with rated horsepower, if it is not equipped the provisions of paragraph (b) of this with an engine governor. Stabilize the section on and after January 1, 1976. engine at that speed. [35 FR 16839, Oct. 30, 1970, as amended at 39 (7) Observe the A-weighted sound FR 32561, Sept. 9, 1974; 40 FR 32336, Aug. 1, level reading on the meter for the sta- 1975] bilized engine speed condition. Record that reading, if the reading has not § 393.94 Vehicle interior noise levels. been influenced by extraneous noise (a) Application of the rule in this sec- sources such as motor vehicles operat- tion. Except as provided in paragraph ing on adjacent roadways. (d) of this section, this section applies (8) Return the vehicle’s engine speed to all motor vehicles manufactured on to idle and repeat the procedures speci- and after October 1, 1974. On and after fied in paragraphs (c) (6) and (7) of this April 1, 1975, this section applies to all section until two maximum sound lev- motor vehicles manufactured before els within 2 dB of each other are re- October 1, 1974. corded. Numerically average those two (b) General rule. The interior sound maximum sound level readings. level at the driver’s seating position of (9) The average obtained in accord- a motor vehicle must not exceed 90 ance with paragraph (c)(8) of this sec- dB(A) when measured in accordance tion is the vehicle’s interior sound with paragraph (c) of this section. level at the driver’s seating position (c) Test procedure.2 (1) Park the vehi- for the purpose of determining whether cle at a location so that no large re- the vehicle conforms to the rule in flecting surfaces, such as other vehi- paragraph (b) of this section. However, cles, signboards, buildings, or hills, are a 2 dB tolerance over the sound level within 50 feet of the driver’s seating limitation specified in that paragraph position. is permitted to allow for variations in (2) Close all vehicle doors, windows, test conditions and variations in the and vents. Turn off all power-operated capabilities of meters. accessories. (10) If the motor vehicle’s engine ra- (3) Place the driver in his/her normal diator fan drive is equipped with a seated position at the vehicle’s con- clutch or similar device that automati- trols. Evacuate all occupants except cally either reduces the rotational the driver and the person conducting speed of the fan or completely dis- the test. engages the fan from its power source (4) Use a sound level meter which in response to reduced engine cooling meets the requirements of the Amer- loads the vehicle may be parked before ican National Standards Institute testing with its engine running at high Standard ANSI S1.4–1971 Specification idle or any other speed the operator for Sound Level Meters, for Type 2 Me- may choose, for sufficient time but not ters. Set the meter to the A-weighting more than 10 minutes, to permit the network, ‘‘fast’’ meter response. engine radiator fan to automatically (5) Locate the microphone, oriented disengage. vertically upward, 6 inches to the right (d) Vehicles manufactured before Oc- tober 1, 1974, and operated wholly with- 2 Standards of the American National in the State of Hawaii, need not com- Standards Institute are published by the ply with this section until April 1, 1976. American National Standards Institute. In- formation and copies may be obtained by [38 FR 30881, Nov. 8, 1973, as amended at 40 writing to the Institute at 1430 Broadway, FR 32336, Aug. 1, 1975; 41 FR 28268, July 9, New York, N.Y. 10018. 1976]
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Subpart H—Emergency Equipment transport hazardous materials must be equipped with either— § 393.95 Emergency equipment on all (A) A fire extinguisher having an Un- power units. derwriters’ Laboratories rating 2 of 5 Except for a lightweight vehicle, B:C or more; or every bus, truck, truck-tractor, and (B) Two fire extinguishers, each of every driven vehicle in driveaway- which has an Underwriters’ Labora- 2 towaway operation must be equipped tories rating of 4 B:C or more. (iii) Each fire extinguisher required as follows: by this subparagraph must be labeled (a) Fire extinguisher. (1) Except as pro- or marked with its Underwriters’ Lab- vided in paragraph (a)(4) of this sec- oratories rating 2 and must meet the tion, every power unit must be requirements of paragraph (a)(1) of this equipped with a fire extinguisher that section. is properly filled and located so that it (3) For purposes of this paragraph, a is readily accessible for use. The fire power unit is used to transport hazard- extinguisher must be securely mounted ous materials only if the power unit or on the vehicle. The fire extinguisher a motor vehicle towed by the power must be designed, constructed, and unit must be marked or placarded in maintained to permit visual deter- accordance with § 177.823 of this title. mination of whether it is fully charged. (4) This paragraph does not apply to The fire extinguisher must have an ex- the driven unit in a driveaway- tinguishing agent that does not need towaway operation. protection from freezing. The fire ex- (b) [Reserved] tinguisher must not use a vaporizing (c) Spare fuses. At least one spare fuse liquid that gives off vapors more toxic or other overload protective device, if than those produced by the substances the devices used are not of a reset type, shown as having a toxicity rating of 5 for each kind and size used. In or 6 in the Underwriters’ Laboratories driveaway-towaway operations, spares ‘‘Classification of Comparative Life located on any one of the vehicles will 1 Hazard of Gases and Vapors.’’ be deemed adequate. (2)(i) Before July 1, 1971, a power unit (d)–(e) [Reserved] that is used to transport hazardous ma- (f) Warning devices for stopped vehicles. terials must be equipped with a fire ex- Except as provided in paragraph (g) of tinguisher having an Underwriters’ this section, one of the following com- Laboratories rating 2 of 4 B:C or more. binations of warning devices: On and after July 1, 1971, a power unit (1) Vehicles equipped with warning de- that is used to transport hazardous ma- vices before January 1, 1974. Warning de- terials must be equipped with a fire ex- vices specified below may be used until tinguisher having an Underwriters’ replacements are necessary: Laboratories rating 2 of 10 B:C or more. (i) Three liquid-burning emergency (ii) Before January 1, 1973, a power flares which satisfy the requirements unit that is not used to transport haz- of SAE Standard J597, ‘‘Liquid Burning ardous materials must be equipped Emergency Flares,’’ and three fusees with a fire extinguisher having an Un- and two red flags; or derwriters’ Laboratories rating 2 of 4 (ii) Three electric emergency lan- B:C or more. On and after January 1, terns which satisfy the requirements of 1973, a power unit that is not used to SAE Standard J596, ‘‘Electric Emer- gency Lanterns,’’ and two red flags; or 1 Copies of the Classification can be ob- (iii) Three red emergency reflectors tained by writing to Underwriters’ Labora- which satisfy the requirements of para- tories, Inc., 205 East Ohio Street, Chicago, graph (i) of this section, and two red Ill. 60611. flags; or 2 Underwriters’ Laboratories ratings are (iv) Three red emergency reflective given to fire entinguishers under the stand- triangles which satisfy the require- ards of Underwriters’ Laboratories, Inc., 205 East Ohio Street, Chicago, Ill. 60611. Extin- ments of paragraph (h) of this section; guishers must conform to the standards in or effect on the date of manufacture or on Jan. (v) Three bidirectional emergency re- 1, 1969, whichever is earlier. flective triangles that conform to the
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requirements of Federal Motor Vehicle wind test, vibration test, and corrosion Safety Standard No. 125, § 571.125 of this resistance test of section 3 and 4 of title. Federal Specification RR–R–1185, dated (2) Vehicles equipped with warning de- November 17, 1966, or vices on and after January 1, 1974. (i) (ii) The requirements for red reflec- Three bidirectional emergency reflec- tive sheeting of Federal Specification tive triangles that conform to the re- L–S–300, dated September 7, 1965, ex- quirements of Federal Motor Vehicle cept that the aggregate candlepower of Safety Standard No. 125, § 571.125 of this the assembled triangle, in one direc- title; or tion, shall be not less than eight when (ii) At least 6 fusees or 3 liquid-burn- measured at 0.2° divergence angle and ing flares. The vehicle must have as —4° incidence angle, and not less than many additional fusees or liquid-burn- 80 percent of the candlepower specified ing flares as are necessary to satisfy for 1 square foot of material at all the requirements of § 392.22. other angles shown in Table II, Reflec- (3) Supplemental warning devices. tive Intensity Values, of L–S–300. Other warning devices may be used in (3) Reflective surfaces alignment: Every addition to, but not in lieu of, the re- reflective triangle shall be so con- quired warning devices, provided those structed that, when the triangle is warning devices do not decrease the ef- properly placed, the reflective surfaces fectiveness of the required warning de- shall be in a plane perpendicular to the vices. plane of the roadway surface with a (g) Restrictions on the use of flame-pro- permissible tolerance of ±10°. Reflec- ducing devices. Liquid-burning flares, tive triangles which are collapsible fusees, oil lanterns, or any signal pro- shall be provided with means for hold- duced by a flame shall not be carried ing the reflective surfaces within the on any commercial motor vehicle required tolerance. Such holding transporting Division 1.1, 1.2, 1.3 (ex- means shall be readily capable of ad- plosives) hazardous materials; any justment without the use of tools or cargo tank motor vehicle used for the special equipment. transportation of Division 2.1 (flam- (4) Reflectors mechanical adequacy: mable gas) or Class 3 (flammable liq- Every reflective triangle shall be of uid) hazardous materials whether load- such weight and dimensions as to re- ed or empty; or any commercial motor main stationary when subjected to a 40 vehicle using compressed gas as a mile per hour wind when properly motor fuel. placed on any clean, dry paved road (h) Requirements for emergency reflec- surface. The reflective triangle shall be tive triangles manufactured before Janu- so constructed as to withstand reason- ary 1, 1974. (1) Each reflector shall be a able shocks without breakage. collapsible equilateral triangle, with (5) Reflectors, incorporation in holding legs not less than 17 inches long and device: Each set of reflective triangles not less than 2 inches wide. The front shall be adequately protected by enclo- and back of the exposed leg surfaces sure in a box, rack, or other adequate shall be covered with red reflective ma- container specially designed and con- terial not less than one half inch in structed so that the reflectors may be width. The reflective surface, front and readily extracted for use. back, shall be approximately parallel. (6) Certification: Every red emergency When placed in position, one point of reflective triangle designed and con- the triangle shall be upward. The area structed to comply with these require- within the sides of the triangle shall be ments shall be plainly marked with the open. certification of the manufacturer that (2) Reflective material: The reflecting it complies therewith. material covering the leg of the equi- (i) Requirements for red emergency re- lateral triangle shall comply either flectors. Each red emergency reflector with: shall conform in all respects to the fol- (i) The requirements for reflex-reflec- lowing requirements: tor elements made of red methyl-meth- (1) Reflecting elements required. Each acrylate plastic material, meeting the reflector shall be composed of at least color, sealing, minimum candle-power, two reflecting elements or surfaces on
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each side, front and back. The reflect- reflectors may be readily extracted for ing elements, front and back, shall be use. approximately parallel. (7) Certification. Every red emergency (2) Reflecting elements to be Class A. reflector designed and constructed to Each reflecting element or surface comply with these requirements shall shall meet the requirement for a red be plainly marked with the certifi- Class A reflector contained in the SAE cation of the manufacturer that it Recommended Practice 1 ‘‘Reflex Re- complies therewith. flectors.’’ The aggregate candlepower (j) Requirements for fusees and liquid- output of all the reflecting elements or burning flares. Each fusee shall be capa- surface in one direction shall not be ble of burning for 30 minutes, and each less than 12 when tested in a per- liquid-burning flare shall contain pendicular position with observation at enough fuel to burn continuously for at one-third degree as specified in the least 60 minutes. Fusees and liquid- Photometric Test contained in the burning flares shall conform to the re- above-mentioned Recommended Prac- quirements of Underwriters Labora- tice. tories, Inc., UL No. 912, Highway Emer- (3) Reflecting surfaces, protection. If gency Signals, Fourth Edition, July 30, the reflector or the reflecting elements 1979, (with an amendment dated No- are so designed or constructed that the vember 9, 1981). (See § 393.7(b) for infor- reflecting surfaces would be adversely mation on the incorporation by ref- affected by dust, soot, or other foreign erence and availability of this docu- matter or contacts with other parts of ment.) Each fusee and liquid-burning the reflector or its container, then flare shall be marked with the UL sym- such reflecting surfaces shall be ade- bol in accordance with the require- quately sealed within the body of the ments of UL 912. reflector. (k) Requirements for red flags. Red (4) Reflecting surfaces to be perpendicu- flags shall be not less than 12 inches lar. Every reflector shall be so con- square, with standards adequate to structed that, when the reflector is maintain the flags in an upright posi- properly placed, every reflecting ele- tion. ment or surface is in a plane per- (49 U.S.C. 304, 1655; 49 CFR 1.48(b) and 301.60) pendicular to the plane of the roadway [33 FR 19735, Dec. 25, 1968, as amended at 35 surface. Reflectors which are collaps- FR 13019, Aug. 15, 1970; 35 FR 14619, Sept. 18, ible shall be provided with means for 1970; 37 FR 17176, Aug. 25, 1972; 40 FR 10685, locking the reflector elements or sur- Mar. 7, 1975; 41 FR 53031, Dec. 3, 1976; 47 FR faces in the required position; such 47837, Oct. 28, 1982; 59 FR 34712, July 6, 1994] locking means shall be readily capable of adjustment without the use of tools Subpart I—Protection Against or special equipment. Shifting or Falling Cargo (5) Reflectors, mechanical adequacy. Every reflector shall be of such weight SOURCE: 38 FR 23522, Aug. 31, 1973, unless and dimensions as to remain station- otherwise noted. ary when subjected to a 40 mile per hour wind when properly placed on any § 393.100 General rules for protection clean, dry, paved road surface. The re- against shifting or falling cargo. flector shall be so constructed as to (a) Application and scope of the rules in withstand reasonable shocks without this section. This section applies to breakage. trucks, truck tractors, semitrailers, (6) Reflectors, incorporation on holding full trailers, and pole trailers. Each of device. Each set of reflectors and the those motor vehicles must, when trans- reflecting elements or surfaces incor- porting cargo, be loaded and equipped porated therein shall be adequately to prevent the shifting or falling of the protected by enclosure in a box, rack, cargo in the manner prescribed by the or other adequate container specially rules in paragraph (b) of this section. designed and constructed so that the In addition, each cargo-carrying motor vehicle must conform to the applicable 1 See footnote 1 to § 393.24(c). rules in §§ 393.102, 393.104, and 393.106.
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(b) Basic protection components. Each sisting of metal articles if that vehicle cargo-carrying motor vehicle must be does not conform to the rules in para- equipped with devices providing protec- graph (b) (1), (2), or (4) of this section. tion against shifting or falling cargo (2) Application of other sections. A that meet the requirements of either motor vehicle transporting property paragraph (b) (1), (2), (3), or (4) of this consisting of metal articles must, re- section. gardless of whether the rules in this (1) Option A. The vehicle must have paragraph apply to it, conform to the sides, side-boards, or stakes, and a rear rules in § 393.102 (relating to secure- endgate, endboard, or stakes. Those de- ment systems), § 393.104 (relating to vices must be strong enough and high blocking and bracing of cargo), and enough to assure that cargo will not § 393.106 (relating to front-end structure shift upon, or fall from the vehicle. requirements). Those devices must have no aperture (3) Coils. Whenever a motor carrier large enough to permit cargo in con- transports one or more coils of metal tact with one or more of the devices to which, individually or as a combina- pass through it. tion banded together, weigh 5,000 (2) Option B. The vehicle must have pounds or more, the coils shall be se- at least one tiedown assembly that cured in the following manner: meets the requirements of § 393.102 for (i) Coils with eyes vertical: One or each 10 linear feet of lading or fraction more coils which are grouped and load- thereof. (However, a pole trailer or an ed side by side in a transverse or longi- expandable trailer transporting metal tudinal row must be secured by— articles under the special rules in para- graph (c) of this section is required (a) A tiedown assembly against the only to have two or more of those tie- front of the coil or row of coils, re- down assemblies at each end of the straining against forward motion; trailer.) In addition, the vehicle must (b) A tiedown assembly against the have as many additional tiedown as- rear of the coil or row of coils, re- semblies meeting the requirements of straining against rearward motion; and § 393.102 as are necessary to secure all (c) A tiedown assembly over the top cargo being transported either by di- of each coil or transverse row of coils, rect contact between the cargo and the restraining against vertical motion. tiedown assemblies or by dunnage The same tiedown assembly shall not which is in contact with the cargo and be used to comply with more than one is secured by tiedown assemblies.1 of the requirements of paragraph (3) Option C (for vehicles transporting (c)(3)(i) (a), (b), or (c) of this section. metal articles only). A vehicle transport- ing cargo which consists of metal arti- cles must conform to either the rules in paragraph (b) (1), (2), or (4) of this section, or the special rules for trans- portation of metal articles set forth in paragraph (c) of this section. (4) Option D. The vehicle must have other means of protecting against shifting or falling cargo which are similar to, and at least as effective as, those specified in paragraph (b) (1), (2), or (3) of this section. (ii) Each coil (c) Special rules for metal articles—(1) Coils with eyes crosswise: Scope of the rules in this paragraph. The or transverse row of coils loaded side rules in this paragraph apply to a by side and having approximately the motor vehicle transporting cargo con- same outside diameters must be se- cured by— (a) A tiedown assembly through the 1 Tiedown assemblies or dunnage in con- tact with sufficient exterior (including top- eye of each coil, restricting against most) pieces of the cargo and securely hold- forward motion and making an angle of ing each interior or lower piece comply with less than 45° with the horizontal when this requirement. viewed from the side of the vehicle;
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(b) A tiedown assembly through the the other, through the eye of each coil eye of each coil, restricting against or longitudinal row of coils in a trans- rearward motion and making an angle verse row. of less than 45° with the horizontal (b) Timbers having nominal cross when viewed from the side of the vehi- section of 4 x 4 inches or more must be cle; and tightly placed against the sides of each (c) Timbers, having a nominal cross coil or against the outboard sides of section of 4 x 4 inches or more and a each transverse row of coils which are length which is at least 75 percent of loaded side by side so that the timbers the width of the coil or row of coils, restrain against side-to-side move- tightly placed against both the front ment. and rear sides of the coil or row of coils (c) If, in accordance with paragraph and restrained to prevent movement of (c)(3)(iii)(a)(1) of this section, only one the coil or coils in the forward and tiedown assembly over the top of each rearward directions. coil or transverse row of coils is used (d) If coils are loaded to contact each to restrain against side-to-side move- other in the longitudinal direction and ment and fore-and-aft movement, tim- relative motion between coils, and be- bers having a nominal cross section of tween coils and the vehicle, is pre- 2 x 4 inches or more and which are vented by tiedown assemblies and tim- firmly secured to longitudinal blocking bers— must be tightly placed against the (1) Only the foremost and rearmost front and back of each coil, each longi- coils must be secured with timbers; and tudinal row of coils, and each trans- (2) A single tiedown assembly, re- verse row of coils in a manner which stricting against forward motion, may restricts forward and rearward move- be used to secure any coil except the ment. rearmost one, which must be re- strained against rearward motion.
(iv) Timber which is used for block- (iii) Coils with eyes lengthwise: A coil ing must be sound lumber which is free or transverse row of coils having ap- of defects (such as knots or cracks) proximately equal outside diameters that materially reduce its strength. and loaded side by side or a longitu- (v) Timbers need not be used on vehi- dinal row of coils having approxi- cles which have depressions in the floor mately equal outside diameters and or are equipped with other restraining loaded end to end must be secured as devices which perform the functions follows: specified for timbers by the rules in (a) The coil or coils must be re- this section. strained against side-by-side and fore- (vi) As used in this section, the term and-aft movement by— ‘‘nominal’’, when used to describe tim- (1) One or more tiedown assemblies ber, means commercially dressed sizes over the top of each coil or transverse generally designated by the dimensions row; or indicated. (2) Two or more tiedown assemblies (4) Miscellaneous metal articles. Except through the eye of each coil or longitu- as provided in paragraph (c)(4)(iv) of dinal row; or this section, whenever a motor carrier (3) One or more tiedown assemblies, transports metal articles consisting of crossing from one side of the vehicle to cut-to-length bars, plates, rods, sheet
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and tin mill products, billets, blooms, fastened by special methods. However, ingots, slabs, structural shapes, or any article carried on that vehicle pipe, and other tubular products and must be securely and adequately fas- those articles, either individually or as tened to the vehicle. a combination of articles banded or (e) Special rule for intermodal cargo boxed together and handled as a single containers. Containers designed for the unit, weigh more than 2,000 pounds, the transportation of containerized, inter- article shall be secured in the following modal cargo and having integral se- manner: curement devices must be fastened to (i) A single article, a group of arti- the chassis of the motor vehicle with cles, or a combination of articles load- securement devices that prevent them ed side by side across the width of the from being unintentionally unfastened. vehicle must be secured by at least one The securement devices must restrain tiedown assembly over its top for at the container from moving more than least every 8 feet of its length and at one-half inch forward, more than one- least two tiedown assemblies securing half inch aft, more than one-half inch each individual article or combination to the right, more than one-half inch of articles banded or otherwise secured to the left, or more than one inch ver- together and handled as a single unit. tically when the container is subjected However, articles which individually to the following accelerations relative have a length of 8 feet or less and to the vehicle: which are securely butted against each Direction of force relative to longitudinal axis of Accelera- other in the fore-and-after direction vehicle tion in G's may be secured by metal angles se- cured by tiedown assemblies, or they Downward ...... 1.70 Upward ...... 0.50 may be secured by a timber having a Lateral ...... 0.30 nominal cross section of 4 x 4 inches or Longitudinal ...... 1.80 more placed longitudinally over the ar- ticles and secured by tiedown assem- (f) Effective date. This section is effec- blies. Tiedown assemblies may not be tive on October 1, 1973. located beyond the ends of the article which they secure. § 393.102 Securement systems. (ii) If articles are tiered and each (a) Application and scope of the rules in tiered article rests securely on the one this section. The rules in this section beneath it, the tier may be secured in apply to tiedown assemblies (including the same manner as a single level of chains, cables, steel straps, and fiber those articles is secured in accordance webbing), other securement devices, with the rules in this section. and attachment or fastening devices (iii) Pole trailers must either comply used in conjunction therewith, which with the requirements of paragraph are used to secure cargo to motor vehi- (c)(4) (i) and (ii) of this section or have cles in transit. All devices which are at least two tiedown assemblies secur- used to secure cargo to a motor vehicle ing the load to the forward bolster and in transit under the rules in this sub- at least two tiedown assemblies secur- part must conform to the requirements ing the load to the rear bolster. of this section. (iv) The rules in this paragraph do (b) Tiedown assemblies. Except for in- not apply to special loads consisting of tegral securement devices of contain- machinery or fabricated structural ers designed for the transportation of items, such as beams, girders, and containerized, intermodal cargo which trusses, which are fastened by special conform to the rules in § 393.100(e), the methods. However, those loads must be aggregate working load limit of the securely and adequately fastened to tiedown assemblies used to secure an the vehicle. article against movement in any direc- (d) Special rule for special-purpose vehi- tion must be at least 1/2 times the cles. The rules in this section do not weight of the article. With the excep- apply to a vehicle transporting one or tion of marking identification, more articles which, because of their tiedowns used must meet applicable size, shape, or weight, must be carried manufacturing standards listed in this on special-purpose vehicles or must be paragraph (b).
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(1) Steel strapping. Steel strapping working load limit, shall be considered used as a component of a tiedown as- to have a working load limit equal to sembly must conform to the require- 1⁄4 of the nominal strength listed in the ments of the 1991 edition of the Amer- Wire Rope Users Manual. (See § 393.7(b) ican Society for Testing and Materials’ for information on the incorporation Standard Specification for Strapping, by reference and availability of this Flat Steel and Seals, ASTM D3953–91. document.) Steel strapping which is not marked by (5) Cordage. Cordage used as a compo- the manufacturer with a working load nent of a tiedown assembly, must con- limit, shall be considered to have a form to the applicable Cordage Insti- working load limit equal to 1/4 of the tute rope standards listed below: breaking strength listed in ASTM PETRS–2, Polyester Fiber Rope, 3- D3953–91. (See § 393.7(b) for information Strand and 8-Strand Constructions, on the incorporation by reference and January, 1993; PPRS–2, Polypropylene availability of this document.) Steel Fiber Rope, 3-Strand and 8-Strand Con- strapping that is one inch wide or structions, August, 1992; CRS–1, Poly- wider must have at least two pairs of ester/Polypropylene Composite Rope crimps in each seal and when an end- Specifications, Three- and Eight- over-end lap joint is formed, it must be Strand Standard Construction, May sealed with at least two seals. 1979; NRS–1, Nylon Rope Specifica- (2) Chain. Chain used as a component tions, Three- and Eight-Strand Stand- of a tiedown assembly must conform to the requirements of the June 15, 1990, ard Construction, May 1979; C1, Double edition of the National Association of Braided Nylon Rope Specifications, Chain Manufacturers’ Welded Steel DBN-January 1984. (See § 393.7(b) for in- Chain Specifications applicable to all formation on the incorporation by ref- types of chain. (See § 393.7(b) for infor- erence and availability of these docu- mation on the incorporation by ref- ments.) erence and availability of this docu- (6) Tables of working load limits. The ment.) working load limits listed in the tables (3) Webbing. Webbing used as a com- in this paragraph are to be used when ponent of a tiedown assembly must the tiedown material is not marked by conform to the requirements of the 1991 the manufacturer with the working edition of the Web Sling and Tiedown load limit. Tiedown materials which Association’s Recommended Standard are marked by the manufacturer with Specification for Synthetic Webbing working load limits which differ from Tiedowns. (See § 393.7(b) for informa- the table, shall be considered to have a tion on the incorporation by reference working load limit equal to the value and availability of this document.) for which they are marked. Synthetic (4) Wire rope. Wire rope used as a cordage (e.g., nylon, polypropylene, component of a tiedown assembly must polyester) which is not marked or la- conform to the requirements of the No- beled to enable identification of its vember 1985 second edition of the Wire composition or working load limit Rope Technical Board’s Wire Rope shall be considered to have a working Users Manual. Wire rope which is not load limit equal to that for poly- marked by the manufacturer with a propylene fiber rope.
TABLES TO § 393.102(B)(6)ÐWORKING LOAD LIMITS (WLL) [Chain WLL in pounds (kg)]
Grade 3 proof Grade 4 high Grade 7 Size inch (mm) coil test transport Grade 8 alloy
1¤4 (7) ...... 1300 (590) 2600 (1180) 3150 (1430) 3500 (1590) 5¤16 (8) ...... 1900 (860) 3900 (1770) 4700 (2130) 5100 (2310) 3¤8 (10) ...... 2650 (1200) 5400 (2450) 6600 (2990) 7100 (3220) 7¤16 (11) ...... 3500 (1590) 5800 (2630) 8750 (3970) ...... 1¤2 (13) ...... 4500 (2040) 9200 (4170) 11300 (5130) 12000 (5440) 5¤8 (16) ...... 6900 (3130) 11500 (5220) 15800 (7170) 18100 (8210) Chain Mark ...... PC HT ...... T Examples ...... 3 4 7 8 30 40 70 80
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Synthetic Webbing WLL
Width inch (mm) WLL pounds (kg)
1-3¤4 (45) ...... 1750 (790) 2 (50) ...... 2000 (910) 3 (75) ...... 3000 (1360) 4 (100) ...... 4000 (1810) Wire Rope (6 X 37, Fiber Core) WLL
Diameter inch (mm) WLL pounds (kg)
1¤4 (7) ...... 1400 (640) 5¤16 (8) ...... 2100 (950) 3¤8 (10) ...... 3000 (1360) 7¤16 (11) ...... 4100 (1860) 1¤2 (13) ...... 5300 (2400) 5¤8 (16) ...... 8300 (3770) 3¤4 (20) ...... 10900 (4940) 7¤8 (22) ...... 16100 (7300) 1 (25) ...... 20900 (9480) Manila Rope WLL
Diameter inch (mm) WLL pounds (kg)
3¤8 (10) ...... 205 (90) 7¤16 (11) ...... 265 (120) 1¤2 (13) ...... 315 (150) 5¤8 (16) ...... 465 (210) 3¤4 (20) ...... 640 (290) 1 (25) ...... 1050 (480) Polypropylene Fiber Rope WLL (3-Strand and 8-Strand Constructions)
Diameter inch (mm) WLL pounds (kg)
3¤8 (10) ...... 400 (180) 7¤16 (11) ...... 525 (240) 1¤2 (13) ...... 625 (280) 5¤8 (16) ...... 925 (420) 3¤4 (20) ...... 1275 (580) 1 (25) ...... 2100 (950) Polyester Fiber Rope WLL (3-Strand and 8-Strand Constructions)
Diameter inch (mm) WLL pounds (kg)
3¤8 (10) ...... 555 (250) 7¤16 (11) ...... 750 (340) 1¤2 (13) ...... 960 (440) 5¤8 (16) ...... 1500 (680) 3¤4 (20) ...... 1880 (850) 1 (25) ...... 3300 (1500) Nylon Rope WLL
Diameter inch (mm) WLL pounds (kg)
3¤8 (10) ...... 278 (130) 7¤16 (11) ...... 410 (190) 1¤2 (13) ...... 525 (240) 5¤8 (16) ...... 935 (420) 3¤4 (20) ...... 1420 (640) 1 (25) ...... 2520 (1140) Double Braided Nylon Rope WLL
Diameter inch (mm) WLL pounds (kg)
3¤8 (10) ...... 336 (150) 7¤16 (11) ...... 502 (230) 1¤2 (13) ...... 655 (300) 5¤8 (16) ...... 1130 (510) 3¤4 (20) ...... 1840 (830) 1 (25) ...... 3250 (1470)
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Steel Strapping WLL
Width ¥ thickness inch WLL pounds (kg)
1-1¤4 × 0.029 ...... 1190 (540) 1-1¤4 × 0.031 ...... 1190 (540) 1-1¤4 × 0.035 ...... 1190 (540) 1-1¤4 × 0.044 ...... 1690 (770) 1-1¤4 × 0.050 ...... 1690 (770) 1-1¤4 × 0.057 ...... 1925 (870) 2 × 0.044 ...... 2650 (1200) 2 × 0.050 ...... 2650 (1200)
(c) Load binders and hardware. The second per second, the cargo will re- strength of load binders and hardware main on the vehicle and will not pene- that are part of, or used in conjunction trate the vehicle’s front-end structure. with, a tiedown assembly must be (b) Protection against lateral movement. equal to, or greater than the minimum When a vehicle carries cargo that may strength specified for that tiedown as- shift sideways in transit, the cargo sembly in paragraph (b) of this section. must either be securely blocked or (d) Attachment to the vehicle. The braced against the sides, sideboards, or hook, bolt, weld, or other connector by stakes of the vehicle or be secured by which a tiedown assembly is attached devices that conform to the require- to a vehicle, and the mounting place ments of paragraph (b)(2), (b)(3), or and means of mounting the connector, (b)(4) of § 393.100. must be at least as strong as the tie- (c) Effective date. This section is ef- down assembly when that connector is fective on October 1, 1973. loaded in any direction in which the [38 FR 23522, Aug. 31, 1973, as amended at 38 tiedown assembly may load it. FR 25183, Sept. 12, 1973] (e) Winches or other fastenings. The anchorages of a winch or other fasten- § 393.106 Front-end structure. ing device mounted on a vehicle and (a) General rule. (1) Except as pro- used in conjunction with a tiedown as- vided in paragraph (g) of this section, sembly must have a combined tensile every cargo-carrying motor vehicle strength equal to, or greater than, the must be equipped with a headerboard strength of the tiedown assembly. or similar device of sufficient strength (f) Adjustability. A tiedown assembly to prevent load shifting and penetra- and its associated connectors and at- tion or crushing of the driver’s com- tachment devices must be designed, partment. constructed, and maintained so that (2) On and after the effective dates the driver of an in-transit vehicle can specified in paragraph (h) of this sec- tighten them. However, the rules in tion, every cargo-carrying motor vehi- this paragraph do not apply to a se- cle must have a front-end structure curement system in which the tiedown that conforms to the rules in this sec- assembly consists of steel strapping or tion. to a tiedown assembly which is not re- (b) Location. The front-end structure quired by the rules in this section. must be located between the vehicle’s (49 U.S.C. 304, 1655; 49 CFR 1.48(b) and 301.60) cargo and the vehicle’s driver. [38 FR 23522, Aug. 31, 1973, as amended at 47 (c) Height and width. The front-end FR 47837, Oct. 28, 1982; 59 FR 34718, July 6, structure must extend either to a 1994; 59 FR 43898, Aug. 25, 1994] height of 4 feet above the floor of the vehicle or to a height at which it § 393.104 Blocking and bracing. blocks forward movement of any item (a) Protection against longitudinal of cargo being carried on the vehicle, movement. When a motor vehicle carries whichever is lower. The front-end cargo that is not firmly braced against structure must have a width which is a front-end structure that conforms to at least equal to the width of the vehi- the requirements of § 393.106, the cargo cle or which blocks forward movement must be secured so that, when the vehi- of any item of cargo being transported cle decelerates at a rate of 20 feet per on the vehicle, whichever is narrower.
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(d) Strength. The front-end structure structure that conforms to the require- must be capable of withstanding the ments of this section for a front-end horizontal forward static load specified structure. in either paragraph (d) (1) or (2) of this (4) A full trailer being towed by a ve- section. hicle that is loaded in such a manner (1) For a front-end structure less that the cargo on the towing vehicle than 6 feet in height, a horizontal for- conforms to the requirements of this ward static load equal to one half (1⁄2) section for a front-end structure. of the weight of the cargo being trans- (5) The rules in paragraphs (d) and (e) ported on the vehicle uniformly dis- of this section do not apply to a motor tributed over the entire portion of the vehicle manufactured before January 1, front-end structure that is within 4 1974. feet above the vehicle’s floor or that is (h) Effective dates. Cargo-carrying at or below a height above the vehicle’s motor vehicles which are not exempted floor at which it blocks forward move- by paragraph (g) of this section must ment of any item of the vehicle’s conform to the rules in this section as cargo, whichever is less. follows: (2) For a front-end structure 6 feet in It must conform to height or higher, a horizontal forward If the vehicle was manufacturedÐ the rules in para- On and afterÐ static load equal to four-tenths (0.4) of graphÐ the weight of the cargo being trans- Before Jan. 1, (a), (b), and (f) ..... October 1, 1973 or ported on the vehicle uniformly dis- 1974. the date it was tributed over the entire front-end manu- factured, whichever is structure. later. (e) Penetration resistance. The front- Before Jan. 1, (c) ...... January 1, 1975. end structure must be designed, con- 1974. structed and maintained so that it is On or after Jan. 1, (a) through (f) in- The date it was 1974. clusive. manufactured. capable of resisting penetration by any item of cargo that contacts it when the Paragraphs (d) and (e) of this section vehicle decelerates at a rate of 20 feet do not apply to a motor vehicle that per second per second. The front-end was manufactured before January 1, structure must have no aperture large 1974. enough to permit any item of cargo in contact with the structure to pass through it. Subpart J—Frames, Cab and Body (f) Substitute devices. The require- Components, Wheels, Steer- ments of this section may be met by ing, and Suspension Systems the use of devices performing the same functions as a front-end structure, if SOURCE: 53 FR 49402, Dec. 7, 1988, unless the devices are at least as strong as, otherwise noted. and provide protection against shifting cargo at least equal to, a front-end § 393.201 Frames. structure which conforms to those re- (a) The frame of every bus, truck, quirements. and truck tractor shall not be cracked, (g) Exemptions. The following motor loose, sagging or broken. vehicles are exempt from the rules in (b) Bolts or brackets securing the cab this section: or the body of the vehicle to the frame (1) A vehicle which is designed and must not be loose, broken, or missing. used exclusively to transport other ve- (c) The frame rail flanges between hicles, if each vehicle it transports is the axles shall not be bent, cut or securely tied down by devices that con- notched, except as specified by the form to the requirements of § 393.102. manufacturer. (2) A pole trailer or semitrailer being (d) All accessories mounted to the towed by a truck tractor that is truck tractor frame must be bolted or equipped with a front-end structure riveted. that conforms to the rules in this sec- (e) No holes shall be drilled in the top tion. or bottom rail flanges, except as speci- (3) A full trailer being towed by a ve- fied by the manufacturer. hicle that is equipped with a front-end (f) Field repairs are allowed.
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§ 393.203 Cab and body components. § 393.209 Steering wheel systems. (a) The cab compartment doors or (a) The steering wheel shall be se- door parts used as an entrance or exist cured and must not have any spokes shall not be missing or broken. Doors cracked through or missing. shall not sag so that they cannot be (b) The steering wheel lash shall not properly opened or closed. No door exceed the following parameters: shall be wired shut or otherwise se- Manual Power cured in the closed position so that it Steering wheel diameter steering steering cannot be readily opened. EXCEPTION: system system When the vehicle is loaded with pipe or 16″ or less ...... 2″+ 41¤2″+ bar stock that blocks the door and the 18″ ...... 21¤4″+ 43¤4″+ cab has a roof exit. 20″ ...... 21¤2″+ 51¤4″+ ″ 3 ″ 3 ″ (b) Bolts or brackets securing the cab 22 ...... 2 ¤4 + 5 ¤4 + or the body of the vehicle to the frame shall not be loose, broken, or missing. (c) Steering column. The steering col- (c) The hood must be securely fas- umn must be securely fastened. tened. (d) Steering system. Universal joints (d) All seats must be securely mount- shall not be worn, faulty or repaired by ed. welding. The steering gear box shall (e) The front bumper must not be not have loose or missing mounting missing, loosely attached, or protrud- bolts or cracks in the gear box or ing beyond the confines of the vehicle mounting brackets. The pitman arm on so as to create a hazard. the steering gear output shaft shall not be loose. Steering wheels shall turn § 393.205 Wheels. freely through the limit of travel in (a) Wheels and rims shall not be both directions. cracked or broken. (e) Power steering systems. All compo- (b) Stud or bolt holes on the wheels nents of the power system must be in shall shall not be elongated (out of operating condition. No parts shall be round). loose or broken. Belts shall not be (c) Nuts or bolts shall not be missing frayed, cracked or slipping. The system or loose. shall not leak. The power steering sys- tem shall have sufficient fluid in the § 393.207 Suspension systems. reservoir. (a) Axles. No axle positioning part shall be cracked, broken, loose or miss- PART 394 [RESERVED] ing. All axles must be in proper align- ment. PART 395—HOURS OF SERVICE OF (b) Adjustable axles. Adjustable axle DRIVERS assemblies shall not have locking pins missing or disengaged. Sec. (c) Leaf springs. No leaf spring shall 395.1 Scope of rules in this part. be cracked, broken, or missing nor 395.2 Definitions. shifted out of position. 395.3 Maximum driving time. (d) Coil springs. No coil spring shall be 395.7 [Reserved] cracked or broken. 395.8 Driver’s record of duty status. (e) Torsion bar. No torsion bar or tor- 395.10—395.12 [Reserved] sion bar suspension shall be cracked or 395.13 Drivers declared out of service. broken. 395.15 Automatic on-board recording de- (f) Air suspensions. The air pressure vices. regulator valve shall not allow air into AUTHORITY: 49 U.S.C. 31133, 31136, and 31502; the suspension system until at least 55 sec. 345, Pub.L. 104–59, 109 Stat. 568, 613; and psi is in the braking system. The vehi- 49 CFR 1.48. cle shall be level (not tilting to the left SOURCE: 33 FR 19758, Dec. 25, 1968, unless or right). Air leakage shall not be otherwise noted. greater than 3 psi in a 5-minute time period when the vehicle’s air pressure § 395.1 Scope of rules in this part. gauge shows normal operating pres- (a) General. (1) The rules in this part sure. apply to all motor carriers and drivers,
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except as provided in paragraphs (b) such time shall be fully and accurately through (n) of this section. accounted for in records to be main- (2) The exceptions from Federal re- tained by the motor carrier. Such quirements contained in paragraphs (l) records shall be made available upon through (n) do not preempt State laws request of the Federal Highway Admin- and regulations governing the safe op- istration. eration of commercial motor vehicles. (e) 100 air-mile radius driver. A driver (b) Adverse driving conditions. (1) Ex- is exempt from the requirements of cept as provided in paragraph (i)(2) of § 395.8 if: this section, a driver who encounters (1) The driver operates within a 100 adverse driving conditions, as defined air-mile radius of the normal work re- in § 395.2, and cannot, because of those porting location; conditions, safely complete the run (2) The driver, except a driver sales- within the 10-hour maximum driving person, returns to the work reporting time permitted by § 395.3(a) may drive location and is released from work and be permitted or required to drive a within 12 consecutive hours; commercial motor vehicle for not more (3) At least 8 consecutive hours off than 2 additional hours in order to duty separate each 12 hours on duty; complete that run or to reach a place (4) The driver does not exceed 10 offering safety for the occupants of the hours maximum driving time following commercial motor vehicle and security 8 consecutive hours off duty; and, for the commercial motor vehicle and (5) The motor carrier that employs its cargo. However, that driver may the driver maintains and retains for a not drive or be permitted to drive— period of 6 months accurate and true (i) For more than 12 hours in the ag- time records showing: gregate following 8 consecutive hours off duty; or (i) The time the driver reports for (ii) After he/she has been on duty 15 duty each day; hours following 8 consecutive hours off (ii) The total number of hours the duty. driver is on duty each day; (2) Emergency conditions. In case of (iii) The time the driver is released any emergency, a driver may complete from duty each day; and his/her run without being in violation (iv) The total time for the preceding of the provisions of the regulations in 7 days in accordance with § 395.8(j)(2) this part, if such run reasonably could for drivers used for the first time or have been completed absent the emer- intermittently. gency. (f) Retail store deliveries. The provi- (c) Driver-salesperson. The provisions sions of § 395.3 (a) and (b) shall not of § 395.3(b) shall not apply to any driv- apply with respect to drivers of com- er-salesperson whose total driving time mercial motor vehicles engaged solely does not exceed 40 hours in any period in making local deliveries from retail of 7 consecutive days. stores and/or retail catalog businesses (d) Oilfield operations. (1) In the in- to the ultimate consumer, when driv- stance of drivers of commercial motor ing solely within a 100-air mile radius vehicles used exclusively in the trans- of the driver’s work-reporting location, portation of oilfield equipment, includ- during the period from December 10 to ing the stringing and picking up of pipe December 25, both inclusive, of each used in pipelines, and servicing of the year. field operations of the natural gas and (g) Sleeper berths. Drivers using sleep- oil industry, any period of 8 consecu- er berth equipment as defined in § 395.2 tive days may end with the beginning or who are off duty at a natural gas or of any off-duty period of 24 or more oil well location, may cumulate the re- successive hours. quired 8 consecutive hours off duty, as (2) In the case of specially trained required by § 395.3, resting in a sleeper drivers of commercial motor vehicles berth in two separate periods totaling 8 which are specially constructed to hours, neither period to be less than 2 service oil wells, on-duty time shall hours, or resting while off duty in not include waiting time at a natural other sleeping accommodations at a gas or oil well site; provided, that all natural gas or oil well location.
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(h) State of Alaska. (1) The provisions ities or farm supplies for agricultural of § 395.3 shall not apply to any driver purposes in a State if such transpor- who is driving a commercial motor ve- tation: hicle in the State of Alaska. A driver (1) Is limited to an area within a 100 who is driving a commercial motor ve- air mile radius from the source of the hicle in the State of Alaska must not commodities or the distribution point drive or be required or permitted to for the farm supplies, and drive— (2) Is conducted during the planting (i) More than 15 hours following 8 and harvesting seasons within such consecutive hours off duty; State, as determined by the State. (ii) After being on duty for 20 hours (l) Ground water well drilling oper- or more following 8 consecutive hours ations. In the instance of a driver of a off duty; commercial motor vehicle who is used (iii) After having been on duty for 70 primarily in the transportation and op- hours in any period of 7 consecutive erations of a ground water well drilling days, if the motor carrier for which the rig, any period of 7 or 8 consecutive driver drives does not operate every days may end with the beginning of day in the week; or any off-duty period of 24 or more suc- (iv) After having been on duty for 80 cessive hours. hours in any period of 8 consecutive (m) Construction materials and days, if the motor carrier for which the equipment. In the instance of a driver driver drives operates every day in the of a commercial motor vehicle who is week. used primarily in the transportation of (2) A driver who is driving a commer- construction materials and equipment, cial motor vehicle in the State of Alas- any period of 7 or 8 consecutive days ka and who encounters adverse driving may end with the beginning of any off- conditions (as defined in § 395.2) may duty period of 24 or more successive drive and be permitted or required to hours. drive a commercial motor vehicle for (n) Utility service vehicles. In the in- the period of time needed to complete stance of a driver of a utility service the run. After he/she completes the vehicle, any period of 7 or 8 consecutive run, that driver must be off duty for 8 days may end with the beginning of consecutive hours before he/she drives any off-duty period of 24 or more suc- again. cessive hours. (i) State of Hawaii. The rules in § 395.8 [57 FR 33647, July 30, 1992, as amended at 58 do not apply to a driver who drives a FR 33777, June 21, 1993; 60 FR 38748, July 28, commercial motor vehicle in the State 1995; 61 FR 14679, Apr. 3, 1996; 63 FR 33279, of Hawaii, if the motor carrier who em- June 18, 1998] ploys the driver maintains and retains for a period of 6 months accurate and § 395.2 Definitions. true records showing— As used in this part, the following (1) The total number of hours the words and terms are construed to driver is on duty each day; and mean: (2) The time at which the driver re- Adverse driving conditions means ports for, and is released from, duty snow, sleet, fog, other adverse weather each day. conditions, a highway covered with (j) Travel time. When a driver at the snow or ice, or unusual road and traffic direction of the motor carrier is travel- conditions, none of which were appar- ing, but not driving or assuming any ent on the basis of information known other responsibility to the carrier, to the person dispatching the run at such time shall be counted as on-duty the time it was begun. time unless the driver is afforded at Automatic on-board recording device least 8 consecutive hours off duty when means an electric, electronic, arriving at destination, in which case electromechanical, or mechanical de- he/she shall be considered off duty for vice capable of recording driver’s duty the entire period. status information accurately and (k) Agricultural operations. The provi- automatically as required by § 395.15. sions of § 395.3 shall not apply to driv- The device must be integrally syn- ers transporting agricultural commod- chronized with specific operations of
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the commercial motor vehicle in which less the driver has been relieved from it is installed. At a minimum, the de- duty by the motor carrier; vice must record engine use, road (2) All time inspecting, servicing, or speed, miles driven, the date, and time conditioning any commercial motor of day. vehicle at any time; Driver-salesperson means any em- (3) All driving time as defined in the ployee who is employed solely as such term driving time; by a private carrier of property by (4) All time, other than driving time, commercial motor vehicle, who is en- in or upon any commercial motor vehi- gaged both in selling goods, services, or cle except time spent resting in a sleep- the use of goods, and in delivering by er berth; commercial motor vehicle the goods (5) All time loading or unloading a sold or provided or upon which the commercial motor vehicle, supervising, services are performed, who does so en- or assisting in the loading or unload- tirely within a radius of 100 miles of ing, attending a commercial motor ve- the point at which he/she reports for hicle being loaded or unloaded, remain- duty, who devotes not more than 50 ing in readiness to operate the com- percent of his/her hours on duty to mercial motor vehicle, or in giving or driving time. The term selling goods for receiving receipts for shipments loaded purposes of this section shall include in or unloaded; all cases solicitation or obtaining of re- (6) All time repairing, obtaining as- orders or new accounts, and may also sistance, or remaining in attendance include other selling or merchandising upon a disabled commercial motor ve- activities designed to retain the cus- hicle; tomer or to increase the sale of goods or services, in addition to solicitation (7) All time spent providing a breath or obtaining of reorders or new ac- sample or urine specimen, including counts. travel time to and from the collection site, in order to comply with the ran- Driving time means all time spent at the driving controls of a commercial dom, reasonable suspicion, post-acci- motor vehicle in operation. dent, or follow-up testing required by part 382 of this subchapter when di- Eight consecutive days means the pe- rected by a motor carrier; riod of 8 consecutive days beginning on any day at the time designated by the (8) Performing any other work in the motor carrier for a 24-hour period. capacity, employ, or service of a motor carrier; and Ground water well drilling rig means any vehicle, machine, tractor, trailer, (9) Performing any compensated semi-trailer, or specialized mobile work for a person who is not a motor equipment propelled or drawn by me- carrier. chanical power and used on highways Seven consecutive days means the pe- to transport water well field operating riod of 7 consecutive days beginning on equipment, including water well drill- any day at the time designated by the ing and pump service rigs equipped to motor carrier for a 24-hour period. access ground water. Sleeper berth means a berth conform- Multiple stops means all stops made in ing to the requirements of § 393.76 of any one village, town, or city may be this chapter. computed as one. Transportation of construction mate- On duty time means all time from the rials and equipment means the transpor- time a driver begins to work or is re- tation of construction and pavement quired to be in readiness to work until materials, construction equipment, and the time the driver is relieved from construction maintenance vehicles, by work and all responsibility for per- a driver to or from an active construc- forming work. On duty time shall in- tion site (a construction site between clude: mobilization of equipment and mate- (1) All time at a plant, terminal, fa- rials to the site to the final completion cility, or other property of a motor of the construction project) within a 50 carrier or shipper, or on any public air mile radius of the normal work re- property, waiting to be dispatched, un- porting location of the driver. This
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paragraph does not apply to the trans- (1) Having been on duty 60 hours in portation of material found by the Sec- any 7 consecutive days if the employ- retary to be hazardous under 49 U.S.C. ing motor carrier does not operate 5103 in a quantity requiring placarding commercial motor vehicles every day under regulations issued to carry out of the week; or such section. (2) Having been on duty 70 hours in Twenty-four-hour period means any any period of 8 consecutive days if the 24-consecutive-hour period beginning employing motor carrier operates com- at the time designated by the motor mercial motor vehicles every day of carrier for the terminal from which the the week. driver is normally dispatched. Utility service vehicle means any com- [57 FR 33649, July 30, 1992, as amended at 60 FR 38748, July 28, 1995] mercial motor vehicle: (1) Used in the furtherance of repair- § 395.7 [Reserved] ing, maintaining, or operating any structures or any other physical facili- § 395.8 Driver’s record of duty status. ties necessary for the delivery of public utility services, including the furnish- (a) Except for a private motor carrier ing of electric, gas, water, sanitary of passengers (nonbusiness), every sewer, telephone, and television cable motor carrier shall require every driver or community antenna service; used by the motor carrier to record his/ (2) While engaged in any activity her duty status for each 24 hour period necessarily related to the ultimate de- using the methods prescribed in either livery of such public utility services to paragraph (a)(1) or (2) of this section. consumers, including travel or move- (1) Every driver who operates a com- ment to, from, upon, or between activ- mercial motor vehicle shall record his/ ity sites (including occasional travel or her duty status, in duplicate, for each movement outside the service area ne- 24-hour period. The duty status time cessitated by any utility emergency as shall be recorded on a specified grid, as determined by the utility provider); shown in paragraph (g) of this section. and The grid and the requirements of para- (3) Except for any occasional emer- graph (d) of this section may be com- gency use, operated primarily within bined with any company forms. The the service area of a utility’s subscrib- previously approved format of the ers or consumers, without regard to Daily Log, Form MCS–59 or the Multi- whether the vehicle is owned, leased, or day Log, MCS–139 and 139A, which rented by the utility. meets the requirements of this section, may continue to be used. [57 FR 33648, July 30, 1992, as amended at 59 (2) Every driver who operates a com- FR 7515, Feb. 15, 1994; 59 FR 60324, Nov. 23, mercial motor vehicle shall record his/ 1994; 60 FR 38748, July 28, 1995; 61 FR 14679, Apr. 3, 1996; 63 FR 33279, June 18, 1998] her duty status by using an automatic on-board recording device that meets § 395.3 Maximum driving time. the requirements of § 395.15 of this part. (a) Except as provided in §§ 395.1(b)(1), The requirements of § 395.8 shall not 395.1(f), and 395.1(i), no motor carrier apply, except paragraphs (e) and (k) (1) shall permit or require any driver used and (2) of this section. by it to drive nor shall any such driver (b) The duty status shall be recorded drive: as follows: (1) More than 10 hours following 8 (1) ‘‘Off duty’’ or ‘‘OFF.’’ consecutive hours off duty; or (2) ‘‘Sleeper berth’’ or ‘‘SB’’ (only if a (2) For any period after having been sleeper berth used). on duty 15 hours following 8 consecu- (3) ‘‘Driving’’ or ‘‘D.’’ tive hours off duty. (4) ‘‘On-duty not driving’’ or ‘‘ON.’’ (b) No motor carrier shall permit or (c) For each change of duty status require a driver of a commercial motor (e.g., the place of reporting for work, vehicle to drive, nor shall any driver starting to drive, on-duty not driving drive, regardless of the number of and where released from work), the motor carriers using the driver’s serv- name of the city, town, or village, with ices, for any period after— State abbreviation, shall be recorded.
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NOTE: If a change of duty status occurs at license number and licensing State of a location other than a city, town, or village, each commercial motor vehicle oper- show one of the following: (1) The highway ated during each 24-hour period on his/ number and nearest milepost followed by the her record of duty status. The driver of name of the nearest city, town, or village and State abbreviation, (2) the highway an articulated (combination) commer- number and the name of the service plaza cial motor vehicle shall show the num- followed by the name of the nearest city, ber assigned by the motor carrier, or town, or village and State abbreviation, or the license number and licensing State (3) the highway numbers of the nearest two of each motor vehicle used in each intersecting roadways followed by the name commercial motor vehicle combination of the nerest city, town, or village and State operated during that 24-hour period on abbreviation. his/her record of duty status. (d) The following information must (6) Name of motor carrier. The name(s) be included on the form in addition to of the motor carrier(s) for which work the grid: is performed shall be shown on the (1) Date; form containing the driver’s record of (2) Total miles driving today; duty status. When work is performed (3) Truck or tractor and trailer num- for more than one motor carrier during ber; the same 24-hour period, the beginning (4) Name of carrier; and finishing time, showing a.m. or (5) Driver’s signature/certification; p.m., worked for each motor carrier (6) 24-hour period starting time (e.g. shall be shown after each motor car- midnight, 9:00 a.m., noon, 3:00 p.m.); rier’s name. Drivers of leased commer- (7) Main office address; cial motor vehicles shall show the (8) Remarks; name of the motor carrier performing (9) Name of co-driver; the transportation. (10) Total hours (far right edge of (7) Signature/certification. The driver grid); shall certify to the correctness of all (11) Shipping document number(s), or entries by signing the form containing name of shipper and commodity; the driver’s duty status record with (e) Failure to complete the record of his/her legal name or name of record. duty activities of this section or The driver’s signature certifies that all § 395.15, failure to preserve a record of entries required by this section made such duty activities, or making of false by the driver are true and correct. reports in connection with such duty activities shall make the driver and/or (8) Time base to be used. (i) The driv- the carrier liable to prosecution. er’s duty status record shall be pre- (f) The driver’s activities shall be re- pared, maintained, and submitted corded in accordance with the follow- using the time standard in effect at the ing provisions: driver’s home terminal, for a 24-hour (1) Entries to be current. Drivers shall period beginning with the time speci- keep their records of duty status cur- fied by the motor carrier for that driv- rent to the time shown for the last er’s home terminal. change of duty status. (ii) The term ‘‘7 or 8 consecutive (2) Entries made by driver only. All en- days’’ means the 7 or 8 consecutive 24- tries relating to driver’s duty status hour periods as designated by the car- must be legible and in the driver’s own rier for the driver’s home terminal. handwriting. (iii) The 24-hour period starting time (3) Date. The month, day and year for must be identified on the driver’s duty the beginning of each 24-hour period status record. One-hour increments shall be shown on the form containing must appear on the graph, be identi- the driver’s duty status record. fied, and preprinted. The words ‘‘Mid- (4) Total miles driving today. Total night’’ and ‘‘Noon’’ must appear above mileage driven during the 24-hour pe- or beside the appropriate one-hour in- riod shall be recorded on the form con- crement. taining the driver’s duty status record. (9) Main office address. The motor car- (5) Commercial motor vehicle identifica- rier’s main office address shall be tion. The driver shall show the number shown on the form containing the driv- assigned by the motor carrier, or the er’s duty status record.
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(10) Recording days off duty. Two or (12) Shipping document number(s) or more consecutive 24-hour periods off name of shipper and commodity shall be duty may be recorded on one duty sta- shown on the driver’s record of duty tus record. status. (11) Total hours. The total hours in (g) Graph grid. The following graph each duty status: off duty other than in grid must be incorporated into a motor a sleeper berth; off duty in a sleeper carrier recordkeeping system which berth; driving, and on duty not driving, must also contain the information re- shall be entered to the right of the quired in paragraph (d) of this section. grid, the total of such entries shall equal 24 hours.
(h) Graph grid preparation. The graph (1) Off duty. Except for time spent grid may be used horizontally or verti- resting in a sleeper berth, a continuous cally and shall be completed as follows:
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line shall be drawn between the appro- (j) Drivers used by more than one motor priate time markers to record the pe- carrier. (1) When the services of a driver riod(s) of time when the driver is not are used by more than one motor car- on duty, is not required to be in readi- rier during any 24-hour period in effect ness to work, or is not under any re- at the driver’s home terminal, the driv- sponsibility for performing work. er shall submit a copy of the record of (2) Sleeper berth. A continuous line duty status to each motor carrier. The shall be drawn between the appropriate record shall include: time markers to record the period(s) of (i) All duty time for the entire 24- time off duty resting in a sleeper berth, hour period; as defined in § 395.2. (If a non-sleeper (ii) The name of each motor carrier berth operation, sleeper berth need not served by the driver during that period; be shown on the grid.) and (3) Driving. A continuous line shall be (iii) The beginning and finishing drawn between the appropriate time time, including a.m. or p.m., worked markers to record the period(s) of driv- for each carrier. ing time, as defined in § 395.2. (2) Motor carriers, when using a driv- (4) On duty not driving. A continuous er for the first time or intermittently, line shall be drawn between the appro- shall obtain from the driver a signed priate time markers to record the pe- statement giving the total time on riod(s) of time on duty not driving duty during the immediately preceding specified in § 395.2. 7 days and the time at which the driver (5) Location—remarks. The name of was last relieved from duty prior to be- the city, town, or village, with State ginning work for the motor carriers. abbreviation where each change of (k) Retention of driver’s record of duty duty status occurs shall be recorded. status. (1) Each motor carrier shall NOTE: If a change of duty status occurs at maintain records of duty status and all a location other than a city, town, or village, supporting documents for each driver show one of the following: (1) The highway it employs for a period of six months number and nearest milepost followed by the from the date of receipt. name of the nearest city, town, or village (2) The driver shall retain a copy of and State abbreviation, (2) the highway number and the name of the service plaza each record of duty status for the pre- followed by the name of the nearest city, vious 7 consecutive days which shall be town, or village and State abbreviation, or in his/her possession and available for (3) the highway numbers of the nearest two inspection while on duty. intersecting roadways followed by the name of the nearest city, town, or village and NOTE: Driver’s Record of Duty Status. State abbreviation. The graph grid, when incorporated as part (i) Filing driver’s record of duty status. of any form used by a motor carrier, must be The driver shall submit or forward by of sufficient size to be legible. The following executed specimen grid illus- mail the original driver’s record of trates how a driver’s duty status should be duty status to the regular employing recorded for a trip from Richmond, Virginia, motor carrier within 13 days following to Newark, New Jersey. The grid reflects the the completion of the form. midnight to midnight 24 hour period.
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Graph Grid (Midnight to Midnight Operation) §§ 395.10—395.12 [Reserved] The driver in this instance reported for duty at the motor carrier’s terminal. The § 395.13 Drivers declared out of serv- driver reported for work at 6 a.m., helped ice. load, checked with dispatch, made a pretrip (a) Authority to declare drivers out of inspection, and performed other duties until service. Every special agent of the Fed- 7:30 a.m. when the driver began driving. At 9 eral Highway Administration (as de- a.m. the driver had a minor accident in Fred- fined in appendix B to this subchapter) ericksburg, Virginia, and spent one half hour is authorized to declare a driver out of handling details with the local police. The driver arrived at the company’s Baltimore, service and to notify the motor carrier Maryland, terminal at noon and went to of that declaration, upon finding at the lunch while minor repairs were made to the time and place of examination that the tractor. At 1 p.m. the driver resumed the trip driver has violated the out of service and made a delivery in Philadelphia, Penn- criteria as set forth in paragraph (b) of sylvania, between 3 p.m. and 3:30 p.m. at this section. which time the driver started driving again. (b) Out of service criteria. (1) No driver Upon arrival at Cherry Hill, New Jersey, at shall drive after being on duty in ex- 4 p.m., the driver entered the sleeper berth cess of the maximum periods permitted for a rest break until 5:45 p.m. at which time by this part. the driver resumed driving again. At 7 p.m. (2) No driver required to maintain a the driver arrived at the company’s terminal record of duty status under § 395.8 or in Newark, New Jersey. Between 7 p.m. and 8 p.m. the driver prepared the required pa- § 395.15 of this part shall fail to have a perwork including completing the driver’s record of duty status current on the record of duty status, driver vehicle inspec- day of examination and for the prior tion report, insurance report for the Fred- seven consecutive days. ericksburg, Virginia accident, checked for (3) Exception. A driver failing only to the next day’s dispatch, etc. At 8 p.m., the have possession of a record of duty sta- driver went off duty. tus current on the day of examination (Approved by the Office of Management and and the prior day, but has completed Budget under control number 2125–0016) records of duty status up to that time (previous 6 days), will be given the op- [47 FR 53389, Nov. 26, 1982, as amended at 49 portunity to make the duty status FR 38290, Sept. 28, 1984; 49 FR 46147, Nov. 23, record current. 1984; 51 FR 12622, Apr. 14, 1986; 52 FR 41721, Oct. 30, 1987; 53 FR 18058, May 19, 1988; 53 FR (c) Responsibilities of motor carriers. (1) 38670, Sept. 30, 1988; 57 FR 33649, July 30, 1992; No motor carrier shall: 58 FR 33777, June 21, 1993; 59 FR 8753, Feb. 23, (i) Require or permit a driver who 1994; 60 FR 38748, July 28, 1995; 62 FR 16709, has been declared out of service to op- Apr. 8, 1997; 63 FR 33279, June 18, 1998] erate a commercial motor vehicle until
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that driver may lawfully do so under matic on-board recording device to the rules in this part. record the driver’s hours of service in (ii) Require a driver who has been de- lieu of complying with the require- clared out of service for failure to pre- ments of § 395.8 of this part. pare a record of duty status to operate (2) Every driver required by a motor a commercial motor vehicle until that carrier to use an automatic on-board driver has been off duty for 8 consecu- recording device shall use such device tive hours and is in compliance with to record the driver’s hours of service. this section. The consecutive 8 hour (b) Information requirements. (1) Auto- off-duty period may include sleeper matic on-board recording devices shall berth time. produce, upon demand, a driver’s hours (2) A motor carrier shall complete of service chart, electronic display, or the ‘‘Motor Carrier Certification of Ac- printout showing the time and se- tion Taken’’ portion of the form MCS– quence of duty status changes includ- 63 (Driver-Vehicle Examination Re- ing the drivers’ starting time at the be- port) and deliver the copy of the form ginning of each day. either personally or by mail to the Re- (2) The device shall provide a means gional Director of Motor Carriers, Fed- whereby authorized Federal, State, or eral Highway Administration, at the local officials can immediately check address specified upon the form within the status of a driver’s hours of service. 15 days following the date of examina- This information may be used in con- tion. If the motor carrier mails the junction with handwritten or printed form, delivery is made on the date it is records of duty status, for the previous postmarked. 7 days. (d) Responsibilities of the driver. (1) No (3) Support systems used in conjunc- driver who has been declared out of tion with on-board recorders at a driv- service shall operate a commercial er’s home terminal or the motor car- motor vehicle until that driver may rier’s principal place of business must lawfully do so under the rules of this be capable of providing authorized Fed- part. eral, State or local officials with sum- (2) No driver who has been declared maries of an individual driver’s hours out of service, for failing to prepare a of service records, including the infor- record of duty status, shall operate a mation specified in § 395.8(d) of this commercial motor vehicle until the part. The support systems must also driver has been off duty for 8 consecu- provide information concerning on- tive hours and is in compliance with board system sensor failures and iden- this section. tification of edited data. Such support (3) A driver to whom a form has been systems should meet the information tendered declaring the driver out of interchange requirements of the Amer- service shall within 24 hours thereafter ican National Standard Code for Infor- deliver or mail the copy to a person or mation Interchange (ANSCII) (EIARS– place designated by motor carrier to 232/CCITT V.24 port (National Bureau receive it. of Standards ‘‘Code for Information (4) Section 395.13 does not alter the Interchange,’’ FIPS PUB 1–1)). hazardous materials requirements pre- (4) The driver shall have in his/her scribed in § 397.5 pertaining to attend- possession records of duty status for ance and surveillance of commercial the previous 7 consecutive days avail- motor vehicles. able for inspection while on duty. These records shall consist of informa- [44 FR 34963, June 18, 1979, as amended at 47 FR 53392, Nov. 26, 1982; 51 FR 12622, Apr. 14, tion stored in and retrievable from the 1986; 53 FR 18058, May 19, 1988; 53 FR 38670, automatic on-board recording device, Sept. 30, 1988; 53 FR 47544, Nov. 23, 1988; 60 FR handwitten records, computer gen- 38748, July 28, 1995] erated records, or any combination thereof. § 395.15 Automatic on-board recording (5) All hard copies of the driver’s devices. record of duty status must be signed by (a) Authority to use automatic on-board the driver. The driver’s signature cer- recording device. (1) A motor carrier tifies that the information contained may require a driver to use an auto- thereon is true and correct.
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(c) The duty status and additional in- board the commercial motor vehicle an formation shall be recorded as follows: information packet containing the fol- (1) ‘‘Off duty’’ or ‘‘OFF’’, or by an lowing items: identifiable code or character; (1) An instruction sheet describing in (2) ‘‘Sleeper berth’’ or ‘‘SB’’ or by an detail how data may be stored and re- identifiable code or character (only if trieved from an automatic on-board re- the sleeper berth is used); cording system; and (3) ‘‘Driving’’ or ‘‘D’’, or by an identi- (2) A supply of blank driver’s records fiable code or character; and of duty status graph-grids sufficient to (4) ‘‘On-duty not driving’’ or ‘‘ON’’, or record the driver’s duty status and by an identifiable code or character. other related information for the dura- (5) Date; tion of the current trip. (6) Total miles driving today; (h) Submission of driver’s record of duty (7) Truck or tractor and trailer num- status. (1) The driver shall submit, elec- ber; tronically or by mail, to the employing (8) Name of carrier; motor carrier, each record of the driv- (9) Main office address; er’s duty status within 13 days follow- (10) 24-hour period starting time (e.g., ing the completion of each record; midnight, 9:00 a.m., noon, 3:00 p.m.) (2) The driver shall review and verify (11) Name of co-driver; that all entries are accurate prior to (12) Total hours; and submission to the employing motor (13) Shipping document number(s), or carrier; and name of shipper and commodity. (3) The submission of the record of (d) Location of duty status change. (1) duty status certifies that all entries For each change of duty status (e.g., made by the driver are true and cor- the place and time of reporting for rect. work, starting to drive, on-duty not (i) Performance of recorders. Motor driving and where released from work), carriers that use automatic on-board the name of the city, town, or village, recording devices for recording their with State abbreviation, shall be re- drivers’ records of duty status in lieu corded. of the handwritten record shall ensure (2) Motor carriers are permitted to that: use location codes in lieu of the re- (1) A certificate is obtained from the quirements of paragraph (d)(1) of this manufacturer certifying that the de- section. A list of such codes showing sign of the automatic on-board re- all possible location identifiers shall be corder has been sufficiently tested to carried in the cab of the commercial meet the requirements of this section motor vehicle and available at the and under the conditions it will be motor carrier’s principal place of busi- used; ness. Such lists shall be made available (2) The automatic on-board recording to an enforcement official on request. device permits duty status to be up- (e) Entries made by driver only. If a dated only when the commercial motor driver is required to make written en- vehicle is at rest, except when register- tries relating to the driver’s duty sta- ing the time a commercial motor vehi- tus, such entries must be legible and in cle crosses a State boundary; the driver’s own handwriting. (3) The automatic on-board recording (f) Reconstruction of records of duty device and associated support systems status. Drivers are required to note any are, to the maximum extent prac- failure of automatic on-board record- ticable, tamperproof and do not permit ing devices, and to reconstruct the altering of the information collected driver’s record of duty status for the concerning the driver’s hours of serv- current day, and the past 7 days, less ice; any days for which the drivers have (4) The automatic on-board recording records, and to continue to prepare a device warns the driver visually and/or handwritten record of all subsequent audibly that the device has ceased to duty status until the device is again function. Devices installed and oper- operational. ational as of October 31, 1988, and au- (g) On-board information. Each com- thorized to be used in lieu of the hand- mercial motor vehicle must have on- written record of duty status by the
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FHWA are exempted from this require- (iii) The motor carrier has required ment. or permitted a driver to fail, or the (5) Automatic on-board recording de- driver has failed, to accurately and vices with electronic displays shall completely record the driver’s hours of have the capability of displaying the service as required in this section; or following: (iv) The motor carrier or driver has (i) Driver’s total hours of driving tampered with or otherwise abused the today; automatic on-board recording device (ii) The total hours on duty today; on any commercial motor vehicle. (iii) Total miles driving today; [53 FR 38670, Sept. 30, 1988, as amended at 60 (iv) Total hours on duty for the 7 FR 38748, July 28, 1995] consecutive day period, including today; PART 396—INSPECTION, REPAIR, (v) Total hours on duty for the prior 8 consecutive day period, including the AND MAINTENANCE present day; and Sec. (vi) The sequential changes in duty 396.1 Scope. status and the times the changes oc- 396.3 Inspection, repair, and maintenance. curred for each driver using the device. 396.5 Lubrication. (6) The on-board recorder is capable 396.7 Unsafe operations forbidden. of recording separately each driver’s 396.9 Inspection of motor vehicles in oper- duty status when there is a multiple- ation. driver operation; 396.11 Driver vehicle inspection report(s). 396.13 Driver inspection. (7) The on-board recording device/sys- 396.15 Driveaway-towaway operations and tem identifies sensor failures and edit- inspections. ed data when reproduced in printed 396.17 Periodic inspection. form. Devices installed and operational 396.19 Inspector qualifications. as of October 31, 1988, and authorized to 396.21 Periodic inspection recordkeeping re- be used in lieu of the handwritten quirements. 396.23 Equivalent to periodic inspection. record of duty status by the FHWA are 396.25 Qualifications of brake inspectors. exempted from this requirement. (8) The on-board recording device is AUTHORITY: 49 U.S.C. 31133, 31136, and 31502; maintained and recalibrated in accord- 49 CFR 1.48. ance with the manufacturer’s specifica- SOURCE: 44 FR 38526, July 2, 1979, unless tions; otherwise noted. (9) The motor carrier’s drivers are adequately trained regarding the prop- § 396.1 Scope. er operation of the device; and General—Every motor carrier, its of- (10) The motor carrier must maintain ficers, drivers, agents, representatives, a second copy (back-up copy) of the and employees directly concerned with electronic hours-of-service files, by the inspection or maintenance of month, in a different physical location motor vehicles shall comply and be than where the original data is stored. conversant with the rules of this part. (j) Rescission of authority. (1) The [44 FR 38526, July 2, 1979, as amended at 53 FHWA may, after notice and oppor- FR 18058, May 19, 1988] tunity to reply, order any motor car- rier or driver to comply with the re- § 396.3 Inspection, repair, and mainte- quirements of § 395.8 of this part. nance. (2) The FHWA may issue such an (a) General. Every motor carrier shall order if the FHWA has determined systematically inspect, repair, and that— maintain, or cause to be systemati- (i) The motor carrier has been issued cally inspected, repaired, and main- a conditional or unsatisfactory safety tained, all motor vehicles subject to its rating by the FHWA; control. (ii) The motor carrier has required or (1) Parts and accessories shall be in permitted a driver to establish, or the safe and proper operating condition at driver has established, a pattern of ex- all times. These include those specified ceeding the hours of service limita- in part 393 of this subchapter and any tions of § 395.3 of this part; additional parts and accessories which
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may affect safety of operation, includ- while being operated on the highway ing but not limited to, frame and frame may be continued in operation only to assemblies, suspension systems, axles the nearest place where repairs can and attaching parts, wheels and rims, safely be effected. Such operation shall and steering systems. be conducted only if it is less hazard- (2) Pushout windows, emergency ous to the public than to permit the ve- doors, and emergency door marking hicle to remain on the highway. lights in buses shall be inspected at least every 90 days. § 396.9 Inspection of motor vehicles in (b) Required records—For vehicles operation. controlled for 30 consecutive days or (a) Personnel authorized to perform in- more, except for a private motor car- spections. Every special agent of the rier of passengers (nonbusiness), the FHWA (as defined in appendix B to this motor carriers shall maintain, or cause subchapter) is authorized to enter upon to be maintained, the following record and perform inspections of motor car- for each vehicle: rier’s vehicles in operation. (1) An identification of the vehicle (b) Prescribed inspection report. The including company number, if so Driver-Equipment Compliance Check marked, make, serial number, year, shall be used to record results of motor and tire size. In addition, if the motor vehicle inspections conducted by au- vehicle is not owned by the motor car- thorized FHWA personnel. rier, the record shall identify the name (c) Motor vehicles declared ‘‘out of serv- of the person furnishing the vehicle; ice.’’ (1) Authorized personnel shall de- (2) A means to indicate the nature clare and mark ‘‘out of service’’ any and due date of the various inspection motor vehicle which by reason of its and maintenance operations to be per- mechanical condition or loading would formed; likely cause an accident or a break- (3) A record of inspection, repairs, down. An ‘‘Out of Service Vehicle’’ and maintenance indicating their date sticker shall be used to mark vehicles and nature; and ‘‘out of service.’’ (4) A record of tests conducted on (2) No motor carrier shall require or pushout windows, emergency doors, permit any person to operate nor shall and emergency door marking lights on any person operate any motor vehicle buses. declared and marked ‘‘out of service’’ (c) Record retention. The records re- until all repairs required by the ‘‘out of quired by this section shall be retained service notice’’ have been satisfac- where the vehicle is either housed or torily completed. The term ‘‘operate’’ maintained for a period of 1 year and as used in this section shall include for 6 months after the motor vehicle towing the vehicle, except that vehi- leaves the motor carrier’s control. cles marked ‘‘out of service’’ may be [44 FR 38526, July 2, 1979, as amended at 48 towed away by means of a vehicle FR 55868, Dec. 16, 1983; 53 FR 18058, May 19, using a crane or hoist. A vehicle com- 1988; 59 FR 8753, Feb. 23, 1994; 59 FR 60324, bination consisting of an emergency Nov. 23, 1994] towing vehicle and an ‘‘out of service’’ vehicle shall not be operated unless § 396.5 Lubrication. such combination meets the perform- Every motor carrier shall ensure that ance requirements of this subchapter each motor vehicle subject to its con- except for those conditions noted on trol is— the Driver Equipment Compliance (a) Properly lubricated; and Check. (b) Free of oil and grease leaks. (3) No person shall remove the ‘‘Out of Service Vehicle’’ sticker from any § 396.7 Unsafe operations forbidden. motor vehicle prior to completion of (a) General. A motor vehicle shall not all repairs required by the ‘‘out of serv- be operated in such a condition as to ice notice’’. likely cause an accident or a break- (d) Motor carrier disposition. (1) The down of the vehicle. driver of any motor vehicle receiving (b) Exemption. Any motor vehicle dis- an inspection report shall deliver it to covered to be in an unsafe condition the motor carrier operating the vehicle
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upon his/her arrival at the next termi- reported to the driver, the report shall nal or facility. If the driver is not so indicate. In all instances, the driver scheduled to arrive at a terminal or fa- shall sign the report. On two-driver op- cility of the motor carrier operating erations, only one driver needs to sign the vehicle within 24 hours, the driver the driver vehicle inspection report, shall immediately mail the report to provided both drivers agree as to the the motor carrier. defects or deficiencies identified. If a (2) Motor carriers shall examine the driver operates more than one vehicle report. Violations or defects noted during the day, a report shall be pre- thereon shall be corrected. pared for each vehicle operated. (3) Within 15 days following the date (c) Corrective action. Prior to requir- of the inspection, the motor carrier ing or permitting a driver to operate a shall— vehicle, every motor carrier or its (i) Certify that all violations noted agent shall repair any defect or defi- have been corrected by completing the ciency listed on the driver vehicle in- ‘‘Signature of Carrier Official, Title, spection report which would be likely and Date Signed’’ portions of the form; to affect the safety of operation of the and vehicle. (ii) Return the completed roadside inspection form to the issuing agency (1) Every motor carrier or its agent at the address indicated on the form shall certify on the original driver ve- and retain a copy at the motor car- hicle inspection report which lists any rier’s principal place of business or defect or deficiency that the defect or where the vehicle is housed for 12 deficiency has been repaired or that re- months from the date of the inspec- pair is unnecessary before the vehicle tion. is operated again. (2) Every motor carrier shall main- (49 U.S.C. 3102; 49 CFR 1.48(b)) tain the original driver vehicle inspec- [44 FR 38526, July 2, 1979, as amended at 49 tion report, the certification of repairs, FR 38290, Sept. 28, 1984; 57 FR 40964, Sept. 8, and the certification of the driver’s re- 1992] view for three months from the date § 396.11 Driver vehicle inspection re- the written report was prepared. port(s). (d) Exceptions. The rules in this sec- tion shall not apply to a private motor (a) Report required. Every motor car- carrier of passengers (nonbusiness), a rier shall require its drivers to report, and every driver shall prepare a report driveaway-towaway operation, or any in writing at the completion of each motor carrier operating only one com- day’s work on each vehicle operated mercial motor vehicle. and the report shall cover at least the [44 FR 38526, July 2, 1979, as amended at 45 following parts and accessories: FR 46425, July 10, 1980; 53 FR 18058, May 19, 1988; 59 FR 8753, Feb. 23, 1994; 63 FR 33279, —Service brakes including trailer brake con- June 18, 1998] nections —Parking (hand) brake —Steering mechanism § 396.13 Driver inspection. —Lighting devices and reflectors Before driving a motor vehicle, the —Tires driver shall: —Horn —Windshield wipers (a) Be satisfied that the motor vehi- —Rear vision mirrors cle is in safe operating condition; —Coupling devices (b) Review the last driver vehicle in- —Wheels and rims spection report; and —Emergency equipment (c) Sign the report, only if defects or (b) Report content. The report shall deficiencies were noted by the driver identify the vehicle and list any defect who prepared the report, to acknowl- or deficiency discovered by or reported edge that the driver has reviewed it to the driver which would affect the and that there is a certification that safety of operation of the vehicle or re- the required repairs have been per- sult in its mechanical breakdown. If no formed. The signature requirement defect or deficiency is discovered by or does not apply to listed defects on a
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towed unit which is no longer part of NOTE: The term commercial motor vehicle the vehicle combination. includes each vehicle in a combination vehi- cle. For example, for a tractor semitrailer, [44 FR 76526, Dec. 27, 1979, as amended at 48 fulltrailer combination, the tractor, FR 55868, Dec. 16, 1983; 63 FR 33280, June 18, semitrailer, and the fulltrailer (including the 1998] converter dolly if so equipped) shall each be inspected. § 396.15 Driveaway-towaway oper- ations and inspections. (b) Except as provided in § 396.23, a motor carrier shall inspect or cause to (a) General. Effective December 7, be inspected all motor vehicles subject 1989, every motor carrier, with respect to its control. to motor vehicles engaged in (c) A motor carrier shall not use a driveaway-towaway operations, shall commercial motor vehicle unless each comply with the requirements of this component identified in appendix G has part. EXCEPTION: Maintenance records passed an inspection in accordance required by § 396.3, the vehicle inspec- with the terms of this section at least tion report required by § 396.11, and the once during the preceding 12 months periodic inspection required by § 396.17 and documentation of such inspection of this part shall not be required for is on the vehicle. The documentation any vehicle which is part of the ship- may be: ment being delivered. (1) The inspection report prepared in (b) Pre-trip inspection. Before the be- accordance with paragraph 396.21(a), or ginning of any driveaway-towaway op- (2) Other forms of documentation, eration of motor vehicles in combina- based on the inspection report (e.g., tion, the motor carrier shall make a sticker or decal), which contains the careful inspection and test to ascertain following information: that: (i) The date of inspection; (1) The towbar or saddle-mount con- (ii) Name and address of the motor nections are properly secured to the carrier or other entity where the in- towed and towing vehicle; spection report is maintained; (2) They function adequately without (iii) Information uniquely identifying cramping or binding of any of the the vehicle inspected if not clearly parts; and marked on the motor vehicle; and (3) The towed motor vehicle follows (iv) A certification that the vehicle substantially in the path of the towing has passed an inspection in accordance vehicle without whipping or swerving. with § 396.17. (c) Post-trip inspection. Motor carriers (d) A motor carrier may perform the shall maintain practices to ensure that required annual inspection for vehicles following completion of any trip in under the carrier’s control which are driveaway-towaway operation of motor not subject to an inspection under vehicles in combination, and before § 396.23(b)(1). they are used again, the towbars and (e) In lieu of the self inspection pro- saddle-mounts are disassembled and in- vided for in paragraph (d) of this sec- spected for worn, bent, cracked, bro- tion, a motor carrier may choose to ken, or missing parts. Before reuse, have a commercial garage, fleet leasing suitable repair or replacement shall be company, truck stop, or other similar made of any defective parts and the de- commercial business perform the in- vices shall be properly reassembled. spection as its agent, provided that [44 FR 38526, July 2, 1979, as amended at 53 business operates and maintains facili- FR 49410, Dec. 7, 1988; 53 FR 49968, Dec. 12, ties appropriate for commercial vehicle 1988] inspections and it employs qualified in- spectors, as required by § 396.19. § 396.17 Periodic inspection. (f) Vehicles passing roadside or peri- (a) Every commercial motor vehicle odic inspections performed under the shall be inspected as required by this auspices of any State government or section. The inspection shall include, equivalent jurisdiction or the FHWA, at a minimum, the parts and acces- meeting the minimum standards con- sories set forth in appendix G of this tained in appendix G of this sub- subchapter. chapter, will be considered to have met
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the requirements of an annual inspec- (D) Experience as a commercial vehi- tion for a period of 12 months com- cle inspector for a State, Provincial or mencing from the last day of the Federal Government. month in which the inspection was per- (b) A driver who receives documents formed, except as provided in in accordance with paragraph (a) of § 396.23(b)(1). this section must sign a receipt for (g) It shall be the responsibility of them. The motor carrier shall main- the motor carrier to ensure that all tain the receipt for a period of one year parts and accessories not meeting the from the date of signature. minimum standards set forth in appen- dix G to this subchapter are repaired [53 FR 49410, Dec. 7, 1988; 53 FR 49968, Dec. 12, promptly. 1988; 63 FR 33280, June 18, 1998] (h) Failure to perform properly the annual inspection set forth in this sec- § 396.21 Periodic inspection record- keeping requirements. tion shall cause the motor carrier to be subject to the penalty provisions pro- (a) The qualified inspector perform- vided by 49 U.S.C. 521(b). ing the inspection shall prepare a re- port which: [53 FR 49410, Dec. 7, 1988; 53 FR 49968, Dec. 12, 1988, as amended at 54 FR 50725, Dec. 8, 1989] (1) Identifies the individual perform- ing the inspection; § 396.19 Inspector qualifications. (2) Identifies the motor carrier oper- (a) It shall be the motor carrier’s re- ating the vehicle; sponsibility to ensure that the individ- (3) Identifies the date of the inspec- ual(s) performing an annual inspection tion; under § 396.17 (d) or (e) is qualified as (4) Identifies the vehicle inspected; follows: (5) Identifies the vehicle components (1) Understands the inspection cri- inspected and describes the results of teria set forth in 49 CFR part 393 and the inspection, including the identi- appendix G of this subchapter and can fication of those components not meet- identify defective components; ing the minimum standards set forth in (2) Is knowledgeable of and has mas- appendix G to this subchapter; and tered the methods, procedures, tools (6) Certifies the accuracy and com- and equipment used when performing pleteness of the inspection as comply- an inspection; and ing with all the requirements of this (3) Is capable of performing an in- section. spection by reason of experience, train- (b)(1) The original or a copy of the in- ing, or both as follows: spection report shall be retained by the (i) Successfully completed a State or motor carrier or other entity who is re- Federal-sponsored training program or sponsible for the inspection for a period has a certificate from a State or Cana- of fourteen months from the date of dian Province which qualifies the per- the inspection report. The original or a son to perform commercial motor vehi- copy of the inspection report shall be cle safety inspections, or retained where the vehicle is either (ii) Have a combination of training housed or maintained. and/or experience totaling at least 1 (2) The original or a copy of the in- year. Such training and/or experience spection report shall be available for may consist of: inspection upon demand of an author- (A) Participation in a truck manufac- ized Federal, State or local official. turer-sponsored training program or (3) Exception. Where the motor car- similar commercial training program rier operating the commercial motor designed to train students in truck op- vehicles did not perform the commer- eration and maintenance; cial motor vehicle’s last annual inspec- (B) Experience as a mechanic or in- tion, the motor carrier shall be respon- spector in a motor carrier maintenance sible for obtaining the original or a program; copy of the last annual inspection re- (C) Experience as a mechanic or in- port upon demand of an authorized spector in truck maintenance at a com- Federal, State, or local official. mercial garage, fleet leasing company, or similar facility; or [54 FR 50725, Dec. 8, 1989]
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§ 396.23 Equivalent to periodic inspec- (c) No motor carrier shall require or tion. permit any employee who does not (a) The motor carrier may meet the meet the minimum brake inspector requirements of § 396.17 through a State qualifications of § 396.25(d) to be respon- or other jurisdiction’s roadside inspec- sible for the inspection, maintenance, tion program. The inspection must service or repairs of any brakes on its have been performed during the preced- commercial motor vehicles. ing 12 months. In using the roadside in- (d) The motor carrier shall ensure spection, the motor carrier would need that each brake inspector is qualified to retain a copy of an annual inspec- as follows: tion report showing that the inspection (1) Understands the brake service or was performed in accordance with the inspection task to be accomplished and minimum periodic inspection stand- can perform that task; and ards set forth in appendix G to this (2) Is knowledgeable of and has mas- subchapter. When accepting such an in- tered the methods, procedures, tools spection report, the motor carrier must and equipment used when performing ensure that the report complies with an assigned brake service or inspection the requirements of § 396.21(a). task; and (b)(1) If a commercial motor vehicle (3) Is capable of performing the as- is subject to a mandatory State inspec- signed brake service or inspection by tion program which is determined by reason of experience, training or both the Administrator to be as effective as as follows: § 396.17, the motor carrier shall meet (i) Has successfully completed an ap- the requirement of § 396.17 through that prenticeship program sponsored by a State’s inspection program. Commer- State, a Canadian Province, a Federal cial motor vehicle inspections may be agency or a labor union, or a training conducted by State personnel, at State program approved by a State, Provin- authorized commercial facilities, or by cial or Federal agency, or has a certifi- the motor carrier under the auspices of cate from a State or Canadian Province a State authorized self-inspection pro- which qualifies the person to perform gram. the assigned brake service or inspec- (2) Should the FHWA determine that tion task (including passage of Com- a State inspection program, in whole mercial Driver’s License air brake or in part, is not as effective as § 396.17, tests in the case of a brake inspection); the motor carrier must ensure that the or periodic inspection required by § 396.17 (ii) Has brake-related training or ex- is performed on all commercial motor perience or a combination thereof to- vehicles under its control in a manner taling at least one year. Such training specified in § 396.17. or experience may consist of: [53 FR 49410, Dec. 7, 1988; 53 FR 49968, Dec. 12, (A) Participation in a training pro- 1988, as amended at 60 FR 38749, July 28, 1995] gram sponsored by a brake or vehicle manufacturer or similar commercial § 396.25 Qualifications of brake inspec- training program designed to train stu- tors. dents in brake maintenance or inspec- (a) The motor carrier shall ensure tion similar to the assigned brake serv- that all inspections, maintenance, re- ice or inspection tasks; or pairs or service to the brakes of its (B) Experience performing brake commercial motor vehicles, are per- maintenance or inspection similar to formed in compliance with the require- the assigned brake service or inspec- ments of this section. tion task in a motor carrier mainte- (b) For purposes of this section, brake nance program; or inspector means any employee of a (C) Experience performing brake motor carrier who is responsible for en- maintenance or inspection similar to suring all brake inspections, mainte- the assigned brake service or inspec- nance, service, or repairs to any com- tion task at a commercial garage, fleet mercial motor vehicle, subject to the leasing company, or similar facility. motor carrier’s control, meet the appli- (e) No motor carrier shall employ cable Federal standards. any person as a brake inspector unless
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the evidence of the inspector’s quali- 397.103 Requirements for State routing des- fications, required under this section is ignations. maintained by the motor carrier at its Subpart E—Preemption Procedures principal place of business, or at the lo- cation at which the brake inspector is 397.201 Purpose and scope of the procedures. employed. The evidence must be main- 397.203 Standards for determining preemp- tained for the period during which the tion. brake inspector is employed in that ca- 397.205 Preemption application. 397.207 Preemption notice. pacity and for one year thereafter. 397.209 Preemption processing. However, motor carriers do not have to 397.211 Preemption determination. maintain evidence of qualifications to 397.213 Waiver of preemption application. inspect air brake systems for such in- 397.215 Waiver notice. spections performed by persons who 397.217 Waiver processing. have passed the air brake knowledge 397.219 Waiver determination and order. and skills test for a Commercial Driv- 397.221 Timeliness. 397.223 Petition for reconsideration. er’s License. 397.225 Judicial review.
[56 FR 491, Jan. 7, 1991] AUTHORITY: 49 U.S.C. 322; 49 CFR 1.48. Sub- part A also issued under 49 U.S.C. 31136, PART 397—TRANSPORTATION OF 31502. Subparts C, D, and E also issued under HAZARDOUS MATERIALS; DRIV- 49 U.S.C. 5112, 5125. ING AND PARKING RULES SOURCE: 36 FR 4876, Mar. 13, 1971, unless otherwise noted. Subpart A—General Subpart A—General Sec. 397.1 Application of the rules in this part. § 397.1 Application of the rules in this 397.2 Compliance with Federal motor car- part. rier safety regulations. 397.3 State and local laws, ordinances, and (a) The rules in this part apply to regulations. each motor carrier engaged in the 397.5 Attendance and surveillance of motor transportation of hazardous materials vehicles. by a motor vehicle which must be 397.7 Parking. marked or placarded in accordance 397.9 [Reserved] with § 177.823 of this title and to— 397.11 Fires. (1) Each officer or employee of the 397.13 Smoking. motor carrier who performs super- 397.15 Fueling. visory duties related to the transpor- 397.17 Tires. 397.19 Instructions and documents. tation of hazardous materials; and (2) Each person who operates or who Subpart B [Reserved] is in charge of a motor vehicle contain- ing hazardous materials. Subpart C—Routing of Non-Radioactive (b) Each person designated in para- Hazardous Materials graph (a) of this section must know and obey the rules in this part. 397.61 Purpose and scope. 397.63 Applicability. [36 FR 4876, Mar. 13, 1971, as amended at 36 397.65 Definitions. FR 16067, Aug. 19, 1971; 53 FR 18058, May 19, 397.67 Motor carrier responsibility for rout- 1988; 60 FR 38749, July 28, 1995] ing. 397.69 Highway routing designations; pre- § 397.2 Compliance with Federal motor emption. carrier safety regulations. 397.71 Federal standards. A motor carrier or other person to 397.73 Public information and reporting re- whom this part is applicable must com- quirements. 397.75 Dispute resolution. ply with the rules in parts 390 through 397.77 Judicial review of dispute decision. 397, inclusive, of this subchapter when he/she is transporting hazardous mate- Subpart D—Routing of Class 7 rials by a motor vehicle which must be (Radioactive) Materials marked or placarded in accordance with § 177.823 of this title. 397.101 Requirements for motor carriers and drivers. [37 FR 18080, Sept. 7, 1972]
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§ 397.3 State and local laws, ordi- the vehicle and has it within his/her nances, and regulations. unobstructed field of view. Every motor vehicle containing haz- (2) A qualified representative of a ardous materials must be driven and motor carrier is a person who— parked in compliance with the laws, or- (i) Has been designated by the carrier dinances, and regulations of the juris- to attend the vehicle; diction in which it is being operated, (ii) Is aware of the nature of the haz- unless they are at variance with spe- ardous materials contained in the vehi- cific regulations of the Department of cle he/she attends; Transportation which are applicable to (iii) Has been instructed in the proce- the operation of that vehicle and which dures he/she must follow in emer- impose a more stringent obligation or gencies; and restraint. (iv) Is authorized to move the vehicle § 397.5 Attendance and surveillance of and has the means and ability to do so. motor vehicles. (3) A safe haven in an area specifi- (a) Except as provided in paragraph cally approved in writing by local, (b) of this section, a motor vehicle State, or Federal governmental au- which contains a Division 1.1, 1.2, or 1.3 thorities for the parking of unattended (explosive) material must be attended vehicles containing Division 1.1, 1.2, or at all times by its driver or a qualified 1.3 materials. representative of the motor carrier (e) The rules in this section do not that operates it. relieve the driver from any obligation (b) The rules in paragraph (a) of this imposed by law relating to the placing section do not apply to a motor vehicle of warning devices when a motor vehi- which contains Division 1.1, 1.2, or 1.3 cle is stopped on a public street or material if all the following conditions highway. exist— (1) The vehicle is located on the prop- [59 FR 63925, Dec. 12, 1994] erty of a motor carrier, on the property of a shipper or consignee of the explo- § 397.7 Parking. sives, in a safe haven, or, in the case of (a) A motor vehicle which contains a vehicle containing 50 pounds or less Division 1.1, 1.2, or 1.3 materials must of a Division 1.1, 1.2, or 1.3 material, on not be parked under any of the follow- a construction or survey site; and ing circumstances— (2) The lawful bailee of the explosives (1) On or within 5 feet of the traveled is aware of the nature of the explosives portion of a public street or highway; the vehicle contains and has been in- (2) On private property (including structed in the procedures which must premises of fueling or eating facility) be followed in emergencies; and without the knowledge and consent of (3) The vehicle is within the bailee’s the person who is in charge of the prop- unobstructed field of view or is located erty and who is aware of the nature of in a safe haven. the hazardous materials the vehicle (c) A motor vehicle which contains contains; or hazardous materials other than Divi- sion 1.1, 1.2, or 1.3, materials, and (3) Within 300 feet of a bridge, tunnel, which is located on a public street or dwelling, or place where people work, highway, or the shoulder of a public congregate, or assemble, except for highway, must be attended by its driv- brief periods when the necessities of er. However, the vehicle need not be at- operation require the vehicle to be tended while its driver is performing parked and make it impracticable to duties which are incident and nec- park the vehicle in any other place. essary to the driver’s duties as the op- (b) A motor vehicle which contains erator of the vehicle. hazardous materials other than Divi- (d) For purposes of this section— sion 1.1, 1.2, or 1.3 materials must not (1) A motor vehicle is attended when be parked on or within five feet of the the person in charge of the vehicle is traveled portion of public street or on the vehicle, awake, and not in a highway except for brief periods when sleeper berth, or is within 100 feet of the necessities of operation require the
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vehicle to be parked and make it im- flat, leaking, or improperly inflated, practicable to park the vehicle in any the driver must cause the tire to be re- other place. paired, replaced, or properly inflated before the vehicle is driven. However, [59 FR 63925, Dec. 12, 1994] the vehicle may be driven to the near- § 397.9 [Reserved] est safe place to perform the required repair, replacement, or inflation. § 397.11 Fires. (c) If, as the result of an examination (a) A motor vehicle containing haz- pursuant to paragraph (a) of this sec- ardous materials must not be operated tion, or otherwise, a tire is found to be near an open fire unless its driver has overheated, the driver shall imme- first taken precautions to ascertain diately cause the overheated tire to be that the vehicle can safely pass the fire removed and placed at a safe distance from the vehicle. The driver shall not without stopping. operate the vehicle until the cause of (b) A motor vehicle containing haz- the overheating is corrected. ardous materials must not be parked (d) Compliance with the rules in this within 300 feet of an open fire. section does not relieve a driver from § 397.13 Smoking. the duty to comply with the rules in §§ 397.5 and 397.7. No person may smoke or carry a lighted cigarette, cigar, or pipe on or § 397.19 Instructions and documents. within 25 feet of— (a) A motor carrier that transports (a) A motor vehicle which contains Division 1.1, 1.2, or 1.3 (explosive) mate- Class 1 materials, Class 5 materials, or rials must furnish the driver of each flammable materials classified as Divi- motor vehicle in which the explosives sion 2.1, Class 3, Divisions 4.1 and 4.2; or are transported with the following doc- (b) An empty tank motor vehicle uments: which has been used to transport Class (1) A copy of the rules in this part; 3, flammable materials, or Division 2.1 (2) [Reserved] flammable gases, which when so used, (3) A document containing instruc- was required to be marked or placarded tions on procedures to be followed in in accordance with the rules in § 177.823 the event of accident or delay. The doc- of this title. uments must include the names and [59 FR 63925, Dec. 12, 1994] telephone numbers of persons (includ- ing representatives of carriers or ship- § 397.15 Fueling. pers) to be contracted, the nature of When a motor vehicle which contains the explosives being transported, and hazardous materials is being fueled— the precautions to be taken in emer- (a) Its engine must not be operating; gencies such as fires, accidents, or and leakages. (b) A person must be in control of the (b) A driver who receives documents fueling process at the point where the in accordance with paragraph (a) of fuel tank is filled. this section must sign a receipt for them. The motor carrier shall main- § 397.17 Tires. tain the receipt for a period of one year (a) If a motor vehicle which contains from the date of signature. hazardous materials is equipped with (c) A driver of a motor vehicle which dual tires on any axle, its driver must contains Division 1.1, 1.2, or 1.3 mate- stop the vehicle in a safe location at rials must be in possession of, be famil- least once during each 2 hours or 100 iar with, and be in compliance with miles of travel, whichever is less, and (1) The documents specified in para- must examine its tires. The driver graph (a) of this section; must also examine the vehicle’s tires (2) The documents specified in at the beginning of each trip and each § 177.817 of this title; and time the vehicle is parked. (3) The written route plan specified (b) If, as the result of an examination in § 397.67. pursuant to paragraph (a) of this sec- [59 FR 63925, Dec. 12, 1994, as amended at 63 tion, or otherwise, a tire if found to be FR 33280, June 18, 1998]
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Subpart B [Reserved] FHWA. The Federal Highway Admin- istration, an agency within the Depart- Subpart C—Routing of Non- ment of Transportation. Hazardous material. A substance or Radioactive Hazardous Materials material, including a hazardous sub- stance, which has been determined by SOURCE: 59 FR 51830, Oct. 12, 1994, unless the Secretary of Transportation to be otherwise noted. capable of posing an unreasonable risk to health, safety, or property when § 397.61 Purpose and scope. transported in commerce, and which This subpart contains routing re- has been so designated. quirements and procedures that States Indian tribe. Has the same meaning as and Indian tribes are required to follow contained in § 4 of the Indian Self-De- if they establish, maintain, or enforce termination and Education Act, 25 routing designations over which a non- U.S.C. 450b. radioactive hazardous material Motor carrier. A for-hire motor carrier (NRHM) in a quantity which requires or a private motor carrier of property. placarding may or may not be trans- The term includes a motor carrier’s ported by a motor vehicle. It also pro- agents, officers and representatives as vides regulations for motor carriers well as employees responsible for hir- transporting placarded or marked ing, supervising, training, assigning, or NRHM and procedures for dispute reso- dispatching of drivers. lutions regarding NRHM routing des- Motor vehicle. Any vehicle, machine, ignations. tractor, trailer, or semitrailer pro- pelled or drawn by mechanical power § 397.63 Applicability. and used upon the highways in the The provisions of this subpart apply transportation of passengers or prop- to any State or Indian tribe that estab- erty, or any combination thereof. lishes, maintains, or enforces any rout- NRHM. A non-radioactive hazardous ing designations over which NRHM material transported by motor vehicle may or may not be transported by in types and quantities which require motor vehicle. They also apply to any placarding, pursuant to Table 1 or 2 of motor carrier that transports or causes 49 CFR 172.504. to be transported placarded or marked Political subdivision. A municipality, NRHM in commerce. public agency or other instrumentality of one or more States, or a public cor- § 397.65 Definitions. poration, board, or commission estab- lished under the laws of one or more For purposes of this subpart, the fol- States. lowing definitions apply: Radioactive material. Any material Administrator. The Federal Highway having a specific activity greater than Administrator, who is the chief execu- 0.002 microcuries per gram (uCi/g), as tive of the Federal Highway Adminis- defined in 49 CFR 173.403. tration, an agency within the United Routing agency. The State highway States Department of Transportation, agency or other State agency des- or his/her designate. ignated by the Governor of that State, Commerce. Any trade, traffic, or or an agency designated by an Indian transportation in the United States tribe, to supervise, coordinate, and ap- which: prove the NRHM routing designations (1) Is between a place under the juris- for that State or Indian tribe. diction of a State or Indian tribe and Routing designations. Any regulation, any place outside of such jurisdiction; limitation, restriction, curfew, time of or travel restriction, lane restriction, (2) Is solely within a place under the routing ban, port-of-entry designation, jurisdiction of a State or Indian tribe or route weight restriction, applicable but which affects trade, traffic, or to the highway transportation of transportation described in subpara- NRHM over a specific highway route or graph (a). portion of a route.
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Secretary. The Secretary of Transpor- § 397.69 Highway routing designations; tation. preemption. State. A State of the United States, (a) Any State or Indian tribe that es- the District of Columbia, the Common- tablishes or modifies a highway rout- wealth of Puerto Rico, the Common- ing designation over which NRHM may wealth of the Northern Mariana Is- or may not be transported on or after lands, the Virgin Islands, American November 14, 1994, and maintains or en- Samoa or Guam. forces such designation, shall comply with the highway routing standards set § 397.67 Motor carrier responsibility forth in § 397.71 of this subpart. For pur- for routing. poses of this subpart, any highway (a) A motor carrier transporting routing designation affecting the high- NRHM shall comply with NRHM rout- way transportation of NRHM, made by ing designations of a State or Indian a political subdivision of a State is tribe pursuant to this subpart. considered as one made by that State, (b) A motor carrier carrying hazard- and all requirements of this subpart ous materials required to be placarded apply. or marked in accordance with 49 CFR (b) Except as provided in §§ 397.75 and 177.823 and not subject to a NRHM 397.219, a NRHM route designation routing designations pursuant to this made in violation of paragraph (a) of subpart, shall operate the vehicle over this section is preempted pursuant to section 105(b)(4) of the Hazardous Mate- routes which do not go through or near rials Transportation Act (49 U.S.C. app. heavily populated areas, places where 1804(b)(4)). This provision shall become crowds are assembled, tunnels, narrow effective after November 14, 1996. streets, or alleys, except where the (c) A highway routing designation es- motor carrier determines that: tablished by a State, political subdivi- (1) There is no practicable alter- sion, or Indian tribe before November native; 14, 1994 is subject to preemption in ac- (2) A reasonable deviation is nec- cordance with the preemption stand- essary to reach terminals, points of ards in paragraphs (a)(1) and (a)(2) of loading and unloading, facilities for § 397.203 of this subpart. food, fuel, repairs, rest, or a safe haven; (d) A State, political subdivision, or or Indian tribe may petition for a waiver (3) A reasonable deviation is required of preemption in accordance with by emergency conditions, such as a de- § 397.213 of this part. tour that has been established by a highway authority, or a situation ex- § 397.71 Federal standards. ists where a law enforcement official (a) A State or Indian tribe shall com- requires the driver to take an alter- ply with the Federal standards under native route. paragraph (b) of this section when es- (c) Operating convenience is not a tablishing, maintaining or enforcing basis for determining whether it is specific NRHM routing designations practicable to operate a motor vehicle over which NRHM may or may not be in accordance with paragraph (b) of transported. this section. (b) The Federal standards are as fol- (d) Before a motor carrier requires or lows: permits a motor vehicle containing ex- (1) Enhancement of public safety. The plosives in Class 1, Divisions 1.1, 1.2, State or Indian tribe shall make a find- 1.3, as defined in 49 CFR 173.50 and ing, supported by the record to be de- 173.53 respectively, to be operated, the veloped in accordance with paragraphs carrier or its agent shall prepare a (b)(2)(ii) and (b)(3)(iv) of this section, written route plan that complies with that any NRHM routing designation this section and shall furnish a copy to enhances public safety in the areas the driver. However, the driver may subject to its jurisdiction and in other prepare the written plan as agent for areas which are directly affected by the motor carrier when the trip begins such highway routing designation. In at a location other than the carrier’s making such a finding, the State or In- terminal. dian tribe shall consider:
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(i) The factors listed in paragraph documents presented during the hear- (b)(9) of this section; and ing or submitted for the record. (ii) The DOT ‘‘Guidelines for Apply- (3) Consultation with others. Prior to ing Criteria to Designate Routes for the establishment of any NRHM rout- Transporting Hazardous Materials,’’ ing designation, the State or Indian DOT/RSPA/OHMT–89–02, July 1989 1 or tribe shall provide notice to, and con- its most current version; or an equiva- sult with, officials of affected political lent routing analysis which adequately subdivisions, States and Indian tribes, considers overall risk to the public. and any other affected parties. Such (2) Public participation. Prior to the actions shall include the following: establishment of any NRHM routing (i) At least 60 days prior to establish- designation, the State or Indian tribe ing a routing designation, the State or shall undertake the following actions Indian tribe shall provide notice, in to ensure participation by the public in writing, of the proposed routing des- the routing process: ignation to officials responsible for (i) The State or Indian tribe shall highway routing in all other affected provide the public with notice of any States or Indian tribes. A copy of this proposed NRHM routing designation notice may also be sent to all affected and a 30-day period in which to com- political subdivisions. This notice shall ment. At any time during this period request approval, in writing, by those or following review of the comments States or Indian tribes, of the proposed received, the State or Indian tribe shall routing designations. If no response is decide whether to hold a public hearing received within 60 days from the day of on the proposed NRHM route designa- receipt of the notification of the pro- tion. The public shall be given 30 days posed routing designation, the routing prior notice of the public hearing designation shall be considered ap- which shall be conducted as described proved by the affected State or Indian in paragraph (b)(2)(ii) of this section. tribe. Notice for both the comment period (ii) The manner in which consulta- and the public hearing, if one is held, tion under this paragraph is conducted shall be given by publication in at least is left to the discretion of the State or two newspapers of general circulation Indian tribe. in the affected area or areas and shall (iii) The State or Indian tribe shall contain a complete description of the attempt to resolve any concern or dis- proposed routing designation, together agreement expressed by any consulted with the date, time, and location of official related to the proposed routing any public hearings. Notice for both designation. the comment period and any public (iv) The State or Indian tribe shall hearing may also be published in the keep a record of the names and ad- official register of the State. dresses of the officials notified pursu- (ii) If it is determined that a public ant to this section and of any consulta- hearing is necessary, the State or In- tion or meeting conducted with these dian tribe shall hold at least one public officials or their representatives. Such hearing on the record during which the record shall describe any concern or public will be afforded the opportunity disagreement expressed by the officials to present their views and any informa- and any action undertaken to resolve tion or data related to the proposed such disagreement or address any con- NRHM routing designation. The State cern. shall make available to the public, (4) Through routing. In establishing upon payment of prescribed costs, cop- any NRHM routing designation, the ies of the transcript of the hearing, State or Indian tribe shall ensure which shall include all exhibits and through highway routing for the trans- portation of NRHM between adjacent areas. The term ‘‘through highway 1 This document may be obtained from routing’’ as used in this paragraph Safety Technology and Information Manage- ment Division, HHS–10, Federal Highway Ad- means that the routing designation ministration, U.S. Department of Transpor- must ensure continuity of movement tation, 400 7th Street, SW., Washington, D.C. so as to not impede or unnecessarily 20590–0001. delay the transportation of NRHM. The
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State or Indian tribe shall utilize the practicable route considering the fac- procedures established in paragraphs tors listed in paragraph (b)(9) of this (b)(2) and (b)(3) of this section in meet- section. In establishing any NRHM ing these requirements. In addition, routing designation, the State or In- the State or Indian tribe shall make a dian tribe shall provide reasonable ac- finding, supported by a risk analysis cess for motor vehicles transporting conducted in accordance with para- NRHM to reach: graph (b)(1) of this section, that the (i) Terminals, routing designation enhances public (ii) Points of loading, unloading, safety. If the risk analysis shows— pickup and delivery, and (i) That the current routing presents (iii) Facilities for food, fuel, repairs, at least 50 percent more risk to the rest, and safe havens. public than the deviation under the (8) Responsibility for local compliance. proposed routing designation, then the The States shall be responsible for en- proposed routing designation may go suring that all of their political sub- into effect. divisions comply with the provisions of (ii) That the current routing presents this subpart. The States shall be re- a greater risk but less than 50 percent sponsible for resolving all disputes be- more risk to the public than the devi- tween such political subdivisions with- ation under the proposed routing re- in their jurisdictions. If a State or any striction, then the proposed routing re- political subdivision thereof, or an In- striction made by a State or Indian dian tribe chooses to establish, main- tribe shall only go into effect if it does tain, or enforce any NRHM routing des- not force a deviation of more than 25 ignation, the Governor, or Indian tribe, miles or result in an increase of more shall designate a routing agency for than 25 percent of that part of a trip af- the State or Indian tribe, respectively. fected by the deviation, whichever is The routing agency shall ensure that shorter, from the most direct route all NRHM routing designations within through a jurisdiction as compared to its jurisdiction comply with the Fed- the intended deviation. eral standards in this section. The (iii) That the current route has the State or Indian tribe shall comply with same or less risk to the public than the the public information and reporting deviation resulting from the proposed requirements contained in § 397.73. routing designation, then the routing (9) Factors to consider. In establishing designation shall not be allowed. any NRHM routing designation, the (5) Agreement of other States; burden on State or Indian tribe shall consider the commerce. Any NRHM routing designa- following factors: tion which affects another State or In- (i) Population density. The population dian tribe shall be established, main- potentially exposed to a NRHM release tained, or enforced only if: shall be estimated from the density of (i) It does not unreasonably burden the residents, employees, motorists, commerce, and and other persons in the area, using (ii) It is agreed to by the affected United States census tract maps or State or Indian tribe within 60 days of other reasonable means for determin- receipt of the notice sent pursuant to ing the population within a potential paragraph (b)(3)(i) of this section, or it impact zone along a designated high- is approved by the Administrator pur- way route. The impact zone is the po- suant to § 397.75. tential range of effects in the event of (6) Timeliness. The establishment of a a release. Special populations such as NRHM routing designation by any schools, hospitals, prisons, and senior State or Indian tribe shall be com- citizen homes shall, among other pleted within 18 months of the notice things, be considered when determining given in either paragraph (b)(2) or (b)(3) the potential risk to the populations of this section, whichever occurs first. along a highway routing. Consideration (7) Reasonable routes to terminals and shall be given to the amount of time other facilities. In establishing or pro- during which an area will experience a viding for reasonable access to and heavy population density. from designated routes, the State or (ii) Type of highway. The characteris- Indian tribe shall use the shortest tics of each alternative NRHM highway
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routing designation shall be compared. (viii) Continuity of routes. Adjacent Vehicle weight and size limits, under- jurisdictions shall be consulted to en- pass and bridge clearances, roadway sure routing continuity for NRHM geometrics, number of lanes, degree of across common borders. Deviations access control, and median and shoul- from the most direct route shall be der structures are examples of charac- minimized. teristics which a State or Indian tribe (ix) Alternative routes. Consideration shall consider. shall be given to the alternative routes (iii) Types and quantities of NRHM. An to, or resulting from, any NRHM route examination shall be made of the type designation. Alternative routes shall and quantity of NRHM normally trans- be examined, reviewed, or evaluated to ported along highway routes which are the extent necessary to demonstrate included in a proposed NRHM routing that the most probable alternative designation, and consideration shall be routing resulting from a routing des- given to the relative impact zone and ignation is safer than the current rout- risks of each type and quantity. ing. (iv) Emergency response capabilities. In (x) Effects on commerce. Any NRHM consultation with the proper fire, law routing designation made in accord- enforcement, and highway safety agen- ance with this subpart shall not create cies, consideration shall be given to the an unreasonable burden upon inter- emergency response capabilities which state or intrastate commerce. may be needed as a result of a NRHM (xi) Delays in transportation. No routing designation. The analysis of NRHM routing designations may cre- the emergency response capabilities ate unnecessary delays in the transpor- shall be based upon the proximity of tation of NRHM. the emergency response facilities and (xii) Climatic conditions. Weather con- their capabilities to contain and sup- ditions unique to a highway route such press NRHM releases within the impact as snow, wind, ice, fog, or other cli- zones. matic conditions that could affect the (v) Results of consultation with affected safety of a route, the dispersion of the persons. Consideration shall be given to NRHM upon release, or increase the the comments and concerns of all af- difficulty of controlling it and cleaning fected persons and entities provided it up shall be given appropriate consid- during public hearings and consulta- eration. tions conducted in accordance with this section. (xiii) Congestion and accident history. Traffic conditions unique to a highway (vi) Exposure and other risk factors. routing such as: traffic congestion; ac- States and Indian tribes shall define cident experience with motor vehicles, the exposure and risk factors associ- ated with any NRHM routing designa- traffic considerations that could affect tions. The distance to sensitive areas the potential for an accident, exposure shall be considered. Sensitive areas in- of the public to any release, ability to clude, but are not limited to, homes perform emergency response oper- and commercial buildings; special pop- ations, or the temporary closing of a ulations in hospitals, schools, handi- highway for cleaning up any release capped facilities, prisons and stadiums; shall be given appropriate consider- water sources such as streams and ation. lakes; and natural areas such as parks, § 397.73 Public information and re- wetlands, and wildlife reserves. porting requirements. (vii) Terrain considerations. Topog- raphy along and adjacent to the pro- (a) Public information. Information on posed NRHM routing designation that NRHM routing designations must be may affect the potential severity of an made available by the States and In- accident, the dispersion of the NRHM dian tribes to the public in the form of upon release and the control and clean maps, lists, road signs or some com- up of NRHM if released shall be consid- bination thereof. If road signs are used, ered. those signs and their placements must
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comply with the provisions of the Man- (1) Be submitted to the Adminis- ual on Uniform Traffic Control De- trator, Federal Highway Administra- vices,2 published by the FHWA, par- tion, U.S. Department of Transpor- ticularly the Hazardous Cargo signs tation, 400 7th Street, SW., Washing- identified as R14–2 and R14–3 shown in ton, DC 20590–0001. Attention: HCC–10 Section 2B–43 of that Manual. Docket Room, Hazardous Materials (b) Reporting and publishing require- Routing Dispute Resolution Docket. ments. Each State or Indian tribe, (2) Identify the State or Indian tribe through its routing agency, shall pro- filing the petition and any other State, vide information identifying all NRHM political subdivision, or Indian tribe routing designations which exist with- whose NRHM routing designation is in their jurisdictions on November 14, the subject of the dispute. 1994 to the FHWA, HHS–30, 400 7th St., (3) Contain a certification that the SW., Washington, D.C. 20590–0001 by petitioner has complied with the noti- March 13, 1995. The State or Indian fication requirements of paragraph (c) tribe shall include descriptions of these of this section, and include a list of the routing designations, along with the names and addresses of each State, po- dates they were established. This infor- litical subdivision, or Indian tribe offi- mation may also be published in each cial who was notified of the filing of State’s official register of State regula- the petition. tions. Information on any subsequent (4) Clearly set forth the dispute for changes or new NRHM routing designa- which resolution is sought, including a tions shall be furnished within 60 days complete description of any disputed after establishment to the FHWA. This NRHM routing designation and an ex- information will be available from the planation of how the disputed routing FHWA, consolidated by the FHWA, and designation affects the petitioner or published annually in whole or as up- how it impedes through highway rout- ing. If the routing designation being dates in the FEDERAL REGISTER. Each State may also publish this informa- disputed results in alternative routing, tion in its official register of State reg- then a comparative risk analysis for ulations. the designated route and the resulting alternative routing shall be provided. (Approved by the Office of Management and (5) Describe any actions taken by the Budget under control number 2125–0554) State or Indian tribe to resolve the dis- pute. § 397.75 Dispute resolution. (6) Explain the reasons why the peti- (a) Petition. One or more States or In- tioner believes that the Administrator dian tribes may petition the Adminis- should intervene in resolving the dis- trator to resolve a dispute relating to pute. an agreement on a proposed NRHM (7) Describe any proposed actions routing designation. In resolving a dis- that the Administrator should take to pute under these provisions, the Ad- resolve the dispute and how these ac- ministrator will provide the greatest tions would provide the greatest level level of safety possible without unrea- of highway safety without unreason- sonably burdening commerce, and en- ably burdening commerce and would sure compliance with the Federal ensure compliance with the Federal standards established at § 397.71 of this standards established in this subpart. subpart. (c) Notice. (1) Any State or Indian (b) Filing. Each petition for dispute tribe that files a petition for dispute resolution filed under this section resolution under this subpart shall must: mail a copy of the petition to any af- fected State, political subdivision, or Indian tribe, accompanied by a state- 2 This publication may be purchased from ment that the State, political subdivi- the Superintendent of Documents, U.S. Gov- sion, or Indian tribe may submit com- ernment Printing Office (GPO), Washington, D.C. 20402 and has Stock No. 050–001–81001–8. ments regarding the petition to the Ad- It is available for inspection and copying as ministrator within 45 days. prescribed in 49 CFR part 7, appendix D. See (2) By serving notice on any other 23 CFR part 655, subpart F. State, political subdivision, or Indian
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tribe determined by the Administrator the parties, the record of the hearing, to be possibly affected by the issues in and any other information in the dispute or the resolution sought, or by record. The decision will include a publication in the FEDERAL REGISTER, written statement setting forth the the Administrator may afford those relevant facts and the legal basis for persons an opportunity to file written the decision. comments on the petition. (g) Record. The Administrator will (3) Any affected State, political sub- serve a copy of the decision upon the division, or Indian tribe submitting petitioner and any other party who written comments to the Adminis- participated in the proceedings. A copy trator with respect to a petition filed of each decision will be placed on file under this section shall send a copy of in the public docket. The Adminis- the comments to the petitioner and trator may publish the decision or no- certify to the Administrator as to hav- tice of the decision in the FEDERAL ing complied with this requirement. REGISTER. The Administrator may notify other persons participating in the proceeding § 397.77 Judicial review of dispute de- of the comments and provide an oppor- cision. tunity for those other persons to re- Any State or Indian tribe adversely spond. affected by the Administrator’s deci- (d) Court actions. After a petition for sion under § 397.75 of this subpart may dispute resolution is filed in accord- seek review by the appropriate district ance with this section, no court action court of the United States under such may be brought with respect to the proceeding only by filing a petition subject matter of such dispute until a with such court within 90 days after final decision has been issued by the such decision becomes final. Administrator or until the last day of the one-year period beginning on the Subpart D—Routing of Class 7 day the Administrator receives the pe- (Radioactive) Materials tition, whichever occurs first. (e) Hearings; alternative dispute resolu- § 397.101 Requirements for motor car- tion. Upon receipt of a petition filed riers and drivers. pursuant to paragraph (a) of this sec- (a) Except as provided in paragraph tion, the Administrator may schedule a (b) of this section or in circumstances hearing to attempt to resolve the dis- when there is only one practicable pute and, if a hearing is scheduled, will highway route available, considering notify all parties to the dispute of the operating necessity and safety, a car- date, time, and place of the hearing. rier or any person operating a motor During the hearing the parties may vehicle that contains a Class 7 (radio- offer any information pertinent to the active) material, as defined in 49 CFR resolution of the dispute. If an agree- 172.403, for which placarding is required ment is reached, it may be stipulated under 49 CFR part 172 shall: by the parties, in writing, and, if the (1) Ensure that the motor vehicle is Administrator agrees, made part of the operated on routes that minimize radi- decision in paragraph (f) of this sec- ological risk; tion. If no agreement is reached, the (2) Consider available information on Administrator may take the matter accident rates, transit time, population under consideration and announce his density and activities, and the time of or her decision in accordance with day and the day of week during which paragraph (f) of this section. Nothing transportation will occur to determine in this section shall be construed as the level of radiological risk; and prohibiting the parties from settling (3) Tell the driver which route to the dispute or seeking other methods take and that the motor vehicle con- of alternative dispute resolution prior tains Class 7 (radioactive) materials. to the final decision by the Adminis- (b) Except as otherwise permitted in trator. this paragraph and in paragraph (f) of (f) Decision. The Administrator will this section, a carrier or any person op- issue a decision based on the petition, erating a motor vehicle containing a the written comments submitted by highway route controlled quantity of
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Class 7 (radioactive) materials, as de- cle repair stops or because of emer- fined in 49 CFR 173.403(l), shall operate gency conditions, shall be made in ac- the motor vehicle only over preferred cordance with the criteria in paragraph routes. (a) of this section to minimize radio- (1) For purposes of this subpart, a logical risk, unless due to emergency preferred route is an Interstate System conditions, time does not permit use of highway for which an alternative route those criteria. is not designated by a State routing (d) A carrier (or a designated agent) agency; a State-designated route se- who operates a motor vehicle which lected by a State routing agency pursu- contains a package of highway route ant to § 397.103; or both of the above. controlled quantity of Class 7 (radio- (2) The motor carrier or the person active) materials, as defined in 49 CFR operating a motor vehicle containing a 173.403(l), shall prepared a written highway route controlled quantity of route plan and supply a copy before de- Class 7 (radioactive) materials, as de- parture to the motor vehicle driver and fined in 49 CFR 173.403(l) and (y), shall a copy to the shipper (before departure select routes to reduce time in transit for exclusive use shipments, as defined over the preferred route segment of the in 49 CFR 173.403(i), or within fifteen trip. An Interstate System bypass or working days following departure for Interstate System beltway around a all other shipments). Any variation be- city, when available, shall be used in tween the route plan and routes actu- place of a preferred route through a ally used, and the reason for it, shall be city, unless a State routing agency has reported in an amendment to the route designated an alternative route. plan delivered to the shipper as soon as (c) A motor vehicle may be operated practicable but within 30 days follow- over a route, other than a preferred ing the deviation. The route plan shall route, only under the following condi- contain: tions: (1) A statement of the origin and des- (1) The deviation from the preferred tination points, a route selected in route is necessary to pick up or deliver compliance with this section, all a highway route controlled quantity of planned stops, and estimated departure Class 7 (radioactive) materials, to and arrival times; and make necessary rest, fuel or motor ve- (2) Telephone numbers which will ac- hicle repair stops, or because emer- cess emergency assistance in each gency conditions make continued use State to be entered. of the preferred route unsafe or impos- (e) No person may transport a pack- sible; age of highway route controlled quan- (2) For pickup and delivery not over tity of Class 7 (radioactive) materials preferred routes, the route selected on a public highway unless: must be the shortest-distance route (1) The driver has received within the from the pickup location to the nearest two preceding years, written training preferred route entry location, and the on: shortest-distance route to the delivery (i) Requirements in 49 CFR parts 172, location from the nearest preferred 173, and 177 pertaining to the Class 7 route exit location. Deviation from the (radioactive) materials transported; shortest-distance pickup or delivery (ii) The properties and hazards of the route is authorized if such deviation: Class 7 (radioactive) materials being (i) Is based upon the criteria in para- transported; and graph (a) of this section to minimize (iii) Procedures to be followed in case the radiological risk; and of an accident or other emergency. (ii) Does not exceed the shortest-dis- (2) The driver has in his or her imme- tance pickup or delivery route by more diate possession a certificate of train- than 25 miles and does not exceed 5 ing as evidence of training required by times the length of the shortest-dis- this section, and a copy is placed in his tance pickup or delivery route. or her qualification file (see § 391.51 of (iii) Deviations from preferred this subchapter), showing: routes, or pickup or delivery routes (i) The driver’s name and operator’s other than preferred routes, which are license number; necessary for rest, fuel, or motor vehi- (ii) The dates training was provided;
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(iii) The name and address of the per- to minimize radiological risk using son providing the training; ‘‘Guidelines for Selecting Preferred (iv) That the driver has been trained Highway Routes for Highway Route in the hazards and characteristics of Controlled Quantity Shipments of Ra- highway route controlled quantity of dioactive Materials,’’ or an equivalent Class 7 (radioactive) materials; and routing analysis which adequately con- (v) A statement by the person provid- siders overall risk to the public. Des- ing the training that information on ignations must be preceded by sub- the certificate is accurate. stantive consultation with affected (3) The driver has in his or her imme- local jurisdictions and with any other diate possession the route plan re- affected States to ensure consideration quired by paragraph (d) of this section of all impacts and continuity of des- and operates the motor vehicle in ac- ignated routes. cordance with the route plan. (b) State routing agencies may des- (f) A person may transport irradiated ignate preferred routes as an alter- reactor fuel only in compliance with a native to, or in addition to, one or plan if required under 49 CFR 173.22(c) more Interstate System highways, in- that will ensure the physical security cluding interstate system bypasses, or of the material. Variation for security Interstate System beltways. purposes from the requirements of this section is permitted so far as necessary (c) A State-designated route is effec- to meet the requirements imposed tive when— under such a plan, or otherwise im- (1) The State gives written notice by posed by the U.S. Nuclear Regulatory certified mail, return receipt re- Commission in 10 CFR part 73. quested, to the Associate Adminis- (g) Expect for packages shipped in trator for Safety and System Applica- compliance with the physical security tions, Federal Highway Administra- requirements of the U.S. Nuclear Regu- tion, Attn: Traffic Control Division, latory Commission in 10 CFR part 73, HHS–32, Room 3419, Registry of State- each carrier who accepts for transpor- designated routes, at the address tation a highway route controlled above; and quantity of Class 7 (radioactive) mate- (2) Receipt thereof is acknowledged rial (see 49 CFR 173.401(l)), shall, within in writing by the Associate Adminis- 90 days following the acceptance of the trator. package, file the following information (d) Upon request, the Office of High- concerning the transportation of each way Safety, Traffic Control Division, such package with the Associate Ad- HHS–32, room 3419, at the address ministrator for Safety and System Ap- above, will provide a list of State-des- plications, Federal Highway Adminis- ignated preferred routes and a copy of tration, Attn: Traffic Control Division, the ‘‘Guidelines for Selecting Preferred HHS–32, room 3419, 400 Seventh Street, Highway Routes for Highway Route SW., Washington, DC 20590–0001: Controlled Quantity Shipments of Ra- (1) The route plan required under dioactive Materials.’’ paragraph (d) of this section, including [57 FR 44131, Sept. 24, 1992] all required amendments reflecting the routes actually used; (2) A statement identifying the Subpart E—Preemption names and addresses of the shipper, Procedures carrier and consignee; and (3) A copy of the shipping paper or SOURCE: 57 FR 44132, Sept. 24, 1992, unless the description of the Class 7 (radio- otherwise noted. active) material in the shipment re- quired by 49 CFR 172.202 and 172.203. § 397.201 Purpose and scope of the procedures. [57 FR 44131, Sept. 24, 1992] (a) This subpart prescribes proce- § 397.103 Requirements for State rout- dures by which: ing designations. (1) Any person, including a State, po- (a) The State routing agency, as de- litical subdivision thereof, or Indian fined in § 397.201(c), shall select routes tribe, directly affected by any highway
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routing designation for hazardous ma- Political subdivision includes a mu- terials may apply to the Administrator nicipality; a public agency or other in- for a determination as to whether that strumentality of one or more States, or highway routing designation is pre- a public corporation, board, or commis- empted under 49 U.S.C. 5125, or § 397.69 sion established under the laws of one or § 397.203 of this part; and or more States. (2) A State, political subdivision Routing agency means the State high- thereof, or Indian tribe may apply to way agency or other State agency des- the Administrator for a waiver of pre- ignated by the Governor of a State, or emption with respect to any highway an agency designated by an Indian routing designation that the State, po- tribe, to supervise, coordinate, and ap- litical subdivision thereof, or Indian prove the highway routing designa- tribe acknowledges to be preempted by tions for that State or Indian tribe. 49 U.S.C. 5125, or § 397.69 or § 397.203 of Any highway routing designation made this part, or that has been determined by a political subdivision of a State by a court of competent jurisdiction to shall be considered a designation made be so preempted. by that State. (b) Unless otherwise ordered by the Routing designation includes any reg- Administrator, an application for a ulation, limitation, restriction, curfew, preemption determination which in- time of travel restriction, lane restric- cludes an application for a waiver of tion, routing ban, port-of-entry des- preemption will be treated and proc- ignation, or route weight restriction essed solely as an application for a pre- applicable to the highway transpor- emption determination. tation of hazardous materials over a (c) For purposes of this part: specific highway route or portion of a Act means 49 U.S.C. 5101 et seq., for- route. merly known as the Hazardous Mate- State means a State of the United rials Transportation Act. States, the District of Columbia, the Administrator means the Federal Commonwealth of Puerto Rico, the Highway Administrator, who is the Commonwealth of the Northern Mari- chief executive of the Federal Highway ana Islands, the Virgin Islands, Amer- Administration, an agency of the ican Samoa, Guam, or any other terri- United States Department of Transpor- tory or possession of the United States tation, or his/her designate. designated by the Secretary. Hazardous material means a substance [57 FR 44132, Sept. 24, 1992, as amended at 59 or material, including a hazardous sub- FR 51834, Oct. 12, 1994] stance, which has been determined by the Secretary of Transportation to be § 397.203 Standards for determining capable of posing an unreasonable risk preemption. to health, safety, or property, when (a) Any highway routing designation transported in commerce, and which established, maintained, or enforced by has been so designated. a State, political subdivision thereof, Indian tribe has the same meaning as or Indian tribe is preempted if— contained in section 4 of the Indian (1) Compliance with both the high- Self-Determination and Education Act, way routing designation and any re- 25 U.S.C. 450b. quirement under the Act or of a regula- Person means an individual, firm, co- tion issued under the Act is not pos- partnership, corporation, company, as- sible; sociation, joint-stock association, in- (2) The highway routing designation cluding any trustee, receiver, assignee, as applied or enforced creates an obsta- or similar representative thereof, or cle to the accomplishment and execu- government, Indian tribe, or agency or tion of the Act or the regulations instrumentality of any government or issued under the Act; or Indian tribe when it offers hazardous (3) The highway routing designation materials for transportation in com- is preempted pursuant to § 397.69(b) of merce or transports hazardous mate- this part. rials in furtherance of a commercial (b) [Reserved] enterprise, but such term does not in- [57 FR 44132, Sept. 24, 1992, as amended at 59 clude the United States Postal Service. FR 51834, Oct. 12, 1994]
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§ 397.205 Preemption application. construed as prohibiting any person, (a) Any person, including a State, po- including a State, political subdivision litical subdivision thereof, or Indian thereof, or Indian tribe, directly af- tribe directly affected by any highway fected by any highway routing designa- routing designation of another State, tion from seeking a determination of political subdivision, or Indian tribe, preemption in any court of competent may apply to the Administrator for a jurisdiction in lieu of applying to the determination of whether that highway Administrator under paragraph (a) of routing designation is preempted by this section. the Act or § 397.203 of this subpart. The § 397.207 Preemption notice. Administrator shall publish notice of the application in the FEDERAL REG- (a) If the applicant is other than a ISTER. State, political subdivision thereof, or (b) Each application filed under this Indian tribe, the applicant shall mail a section for a determination must: copy of the application to the State, (1) Be submitted to the Adminis- political subdivision thereof, or Indian trator, Federal Highway Administra- tribe concerned, accompanied by a tion, U.S. Department of Transpor- statement that comments may be sub- tation, Washington, DC 20590–0001. At- mitted regarding the application to the tention: HCC–10 Docket Room, Hazard- Administrator within 45 days. The ap- ous Materials Preemption; plication filed with the Administrator (2) Set forth a detailed description of must include a certification that the the highway routing designation of the applicant has complied with this para- State, political subdivision thereof, or graph and must include the names and Indian tribe for which the determina- addresses of each official to whom a tion is sought; copy of the application was sent. (3) If applicable, specify the provi- (b) The Administrator may afford in- sions of the Act or the regulations terested persons an opportunity to file issued under the Act under which the written comments on the application applicant seeks preemption of the by serving notice on any persons read- highway routing designation of the ily identifiable by the Administrator as State, political subdivision thereof, or persons who will be affected by the rul- Indian tribe; ing sought or by publication in the (4) Explain why the applicant be- FEDERAL REGISTER. lieves the highway routing designation (c) Each person submitting written of the State, political subdivision comments to the Administrator with thereof, or Indian tribe should or respect to an application filed under should not be preempted under the this section shall send a copy of the standards of § 397.203; and comments to the applicant and certify (5) State how the applicant is af- to the Administrator that he or she has fected by the highway routing designa- complied with this requirement. The tion of the State, political subdivision Administrator may notify other per- thereof, or Indian tribe. sons participating in the proceeding of (c) The filing of an application for a the comments and provide an oppor- determination under this section does tunity for those other persons to re- not constitute grounds for noncompli- spond. ance with any requirement of the Act or any regulation issued under the Act. § 397.209 Preemption processing. (d) Once the Administrator has pub- (a) The Administrator may initiate lished notice in the FEDERAL REGISTER an investigation of any statement in of an application received under para- an application and utilize in his or her graph (a) of this section, no applicant evaluation any relevant facts obtained for such determination may seek relief by that investigation. The Adminis- with respect to the same or substan- trator may solicit and accept submis- tially the same issue in any court until sions from third persons relevant to an final action has been taken on the ap- application and will provide the appli- plication or until 180 days after filing cant an opportunity to respond to all of the application, whichever occurs third person submissions. In evaluating first. Nothing in this section shall be an application, the Administrator may
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consider any other source of informa- or Indian tribe is preempted under the tion. The Administrator may convene a Act or regulations issued thereunder. hearing or conference, if a hearing or The fact that a determination has not conference will advance the evaluation been issued under this section with re- of the application. spect to a particular highway routing (b) The Administrator may dismiss designation of a State, political sub- the application without prejudice if: division thereof, or Indian tribe carries (1) he or she determines that there is no implication as to whether the re- insufficient information upon which to quirement is preempted under the Act base a determination; or or regulations issued thereunder. (2) he or she requests additional in- formation from the applicant and it is § 397.213 Waiver of preemption appli- not submitted. cation. (a) Any State, political subdivision § 397.211 Preemption determination. thereof, or Indian tribe may apply to (a) Upon consideration of the applica- the Administrator for a waiver of pre- tion and other relevant information re- emption with respect to any highway ceived, the Administrator issues a de- routing designation that the State, po- termination. litical subdivision thereof, or Indian (b) Notwithstanding that an applica- tribe acknowledges to be preempted by tion for a determination has not been the Act, § 397.203 of this subpart, or a filed under § 397.205, the Administrator, court of competent jurisdiction. The on his or her own initiative, may issue Administrator may waive preemption a determination as to whether a par- with respect to such requirement upon ticular highway routing designation of a determination that such require- a State, political subdivision thereof, ment— or Indian tribe is preempted under the (1) Affords an equal or greater level Act or the regulations issued under the of protection to the public than is af- Act. forded by the requirements of the Act (c) The determination includes a or regulations issued under the Act, written statement setting forth the and relevant facts and the legal basis for (2) Does not unreasonably burden the determination, and provides that commerce. any person aggrieved thereby may file a petition for reconsideration within 20 (b) Each application filed under this days in accordance with § 397.223. section for a waiver of preemption de- (d) Unless the determination is issued termination must: pursuant to paragraph (b) of this sec- (1) Be submitted to the Adminis- tion, the Administrator serves a copy trator, Federal Highway Administra- of the determination upon the appli- tion, U.S. Department of Transpor- cant. In all preemption determinations, tation, Washington, DC 20590–0001. At- the Administrator serves a copy of the tention: HCC–10 Docket Room, Hazard- determination upon any other person ous Materials Preemption Docket; who participated in the proceeding or (2) Set forth a detailed description of who is readily identifiable by the Ad- the highway routing designation of the ministrator as affected by the deter- State, political subdivision thereof, or mination. A copy of each determina- Indian tribe for which the determina- tion is placed on file in the public tion is being sought; docket. The Administrator may pub- (3) Include a copy of any relevant lish the determination or notice of the court order or determination issued determination in the FEDERAL REG- pursuant to § 397.211; ISTER. (4) Contain an express acknowledg- (e) If no petition for reconsideration ment by the applicant that the high- is filed within 20 days in accordance way routing designation of the State, with § 397.223, a determination issued political subdivision thereof, our In- under this section constitutes the final dian tribe is preempted under the Act agency decision as to whether a par- or the regulations issued under the ticular highway routing designation of Act, unless it has been so determined a State, political subdivision thereof, by a court of competent jurisdiction or
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in a determination issued under this the persons or class or classes of per- subpart; sons to whom notice was not sent. (5) Specify each provision of the Act (c) The Administrator may require or the regulations issued under the Act the applicant to provide notice in addi- that preempts the highway routing tion to that required by paragraphs (a) designation of the State, political sub- and (b) of this section, or may deter- division thereof, or Indian tribe; mine that the notice required by para- (6) State why the applicant believes graph (a) of this section is not imprac- that the highway routing designation ticable, or that notice should be pub- of the State, political subdivision lished in the FEDERAL REGISTER. thereof, or Indian tribe affords an equal (d) The Administrator may serve no- or greater level of protection to the tice on any other persons readily iden- public than is afforded by the require- tifiable by the Administrator as per- ments of the Act or the regulations sons who will be affected by the deter- issued under the Act; mination sought and may afford those (7) State why the applicant believes persons an opportunity to file written that the highway routing designation comments on the application. of the State, political subdivision (e) Any person submitting written thereof, or Indian tribe does not unrea- comments to the Administrator with sonably burden commerce; and respect to an application filed under (8) Specify what steps the State, po- this section shall send a copy of the litical subdivision thereof, or Indian comments to the applicant. The person tribe is taking to administer and en- shall certify to the Administrator that force effectively the preempted re- he or she has complied with the re- quirement. quirements of this paragraph. The Ad- ministrator may notify other persons § 397.215 Waiver notice. participating in the proceeding of the (a) The applicant State, political sub- comments and provide an opportunity division thereof, or Indian tribe shall for those other persons to respond. mail a copy of the application and any subsequent amendments or other docu- § 397.217 Waiver processing. ments relating to the application to (a) The Administrator may initiate each person whom the applicant rea- an investigation of any statement in sonably ascertains will be affected by an application and utilize any relevant the determination sought. The copy of facts obtained by that investigation. the application must be accompanied The Administrator may solicit and ac- by a statement that the person may cept submissions from third persons submit comments regarding the appli- relevant to an application and will pro- cation to the Administrator within 45 vide the applicant an opportunity to days. The application filed with the respond to all third person submis- Administrator must include a certifi- sions. In evaluating an application, the cation with the application has com- Administrator may convene a hearing plied with this paragraph and must in- or conference, if a hearing or con- clude the names and addresses of each ference will advance the evaluation of person to whom the application was the application. sent. (b) The Administrator may dismiss (b) Notwithstanding the provisions of the application without prejudice if: paragraph (a) of this section, if the (1) he or she determines that there is State, political subdivision thereof, or insufficient information upon which to Indian tribe determines that compli- base a determination; ance with paragraph (a) of this section (2) Upon his or her request, addi- would be impracticable, the applicant tional information is not submitted by shall: the applicant; or (1) Comply with the requirements of (3) The applicant fails to provide the paragraph (a) of this section with re- notice required by this subpart. gard to those persons whom it is rea- (c) Except as provided in this sub- sonable and practicable to notify; and part, the Administrator will only con- (2) Include with the application filed sider an application for a waiver of pre- with the Administrator a description of emption determination if:
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(1) The applicant expressly acknowl- sion thereof, or Indian tribe achieves edges in its application that the high- its stated purpose; and way routing designation of the State, (4) Whether there is need for uniform- political subdivision thereof, or Indian ity with regard to the subject con- tribe for which the determination is cerned and if so, whether the highway sought is preempted by the Act or the routing designation of the State, polit- regulations thereunder; or ical subdivision thereof, or Indian tribe (2) The highway routing designation competes or conflicts with those of of the State, political subdivision other States, political subdivisions thereof, or Indian tribe has been deter- thereof, or Indian tribes. mined by a court of competent juris- (c) The order includes a written diction or in a determination issued statement setting forth the relevant pursuant to § 397.211 to be preempted by facts and the legal basis for the deter- the Act or the regulations issued there- mination, and provides that any person under. aggrieved by the order may file a peti- (d) When the Administrator has re- tion for reconsideration in accordance ceived all substantive information nec- with § 397.223. essary to process an application for a (d) The Administrator serves a copy waiver of preemption determination, of the order upon the applicant, any notice of that fact will be served upon other person who participated in the the applicant. Additional notice to all proceeding and upon any other person other persons who received notice of readily identifiable by the Adminis- the proceeding may be served by pub- trator as one who may be affected by lishing a notice in the FEDERAL REG- the order. A copy of each order is ISTER. placed on file in the public docket. The Administrator may publish the order § 397.219 Waiver determination and or notice of the order in the FEDERAL order. REGISTER. (a) Upon consideration of the applica- (e) If no petition for reconsideration tion and other relevant information re- is filed within 20 days in accordance ceived or obtained during the proceed- with § 397.223, an order issued under ing, the Administrator issues an order this section constitutes the final agen- setting forth his or her determination. cy decision regarding whether a par- (b) The Administrator may issue a ticular requirement of a State, politi- waiver of preemption order only if he cal subdivision thereof, or Indian tribe or she finds that the requirement of is preempted under the Act or any reg- the State, political subdivision thereof, ulations issued thereunder, or whether or Indian tribe affords the public a preemption is waived. level of safety at least equal to that af- forded by the requirements of the Act § 397.221 Timeliness. and the regulations issued under the Act and does not unreasonably burden If the Administrator fails to take ac- commerce. In determining whether the tion on the application within 90 days requirement of the State, political sub- of serving the notice required by division thereof, or Indian tribe unrea- § 397.217(d), the applicant may treat the sonably burdens commerce, the Admin- application as having been denied in all istrator may consider the following respects. factors: (1) The extent to which increased § 397.223 Petition for reconsideration. costs and impairment of efficiency re- (a) Any person aggrieved by an order sult from the highway routing designa- issued under § 397.211 or § 397.219 may tion of the State, political subdivision file a petition for reconsideration with thereof, or Indian tribe; the Administrator. The petition must (2) Whether the highway routing des- be filed within 20 days of service of the ignation of the State, political subdivi- determination or order issued under sion thereof, or Indian tribe has a ra- the above sections. tional basis; (b) The petition must contain a con- (3) Whether the highway routing des- cise statement of the basis for seeking ignation of the State, political subdivi- reconsideration, including any specific
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factual or legal errors, or material in- culture as defined in section 3(f) of the formation not previously available. Fair Labor Standards Act of 1938, as (c) The petitioner shall mail a copy amended (29 U.S.C. 203(f)) or section of the petition to each person who par- 3121(g) of the Internal Revenue Code of ticipated, either as an applicant or 1954 (26 U.S.C. 3121(g)). routing, in the waiver of preemption (b) Carrier of migrant workers by motor proceeding, accompanied by a state- vehicle. ‘‘Carrier of migrant worker by ment that the person may submit com- motor vehicle’’ means any person, in- ments concerning the petition to the cluding any ‘‘contract carrier by motor Administrator within 20 days. The peti- vehicle’’, but not including any ‘‘com- tion filed with the Administrator must mon carrier by motor vehicle’’, who or contain a certification that the peti- which transports in interstate or for- tioner has complied with this para- eign commerce at any one time three graph and include the names and ad- or more migrant workers to or from dresses of all persons to whom a copy their employment by any motor vehi- of the petition was sent. cle other than a passenger automobile (d) The Administrator’s decision or station wagon, except a migrant under this section constitutes the final worker transporting himself/herself or agency decision. If no petition for re- his/her immediate family. consideration is filed under this sec- (c) Motor carrier. ‘‘Motor carrier’’ tion, then the determination issued means any carrier of migrant workers under § 397.211 or § 397.219 becomes the by motor vehicle as defined in para- final agency decision at the end of the graph (b) of this section. 20 day period. (d) Motor vehicle. ‘‘Motor vehicle’’ means any vehicle, machine, tractor, § 397.225 Judicial review. trailer, or semitrailer propelled or A party to a proceeding under drawn by mechanical power and used § 397.205(a), § 397.213(a), or § 397.223(a) upon the highways in the transpor- may seek review by the appropriate tation of passengers or property, or district court of the United States of any combination thereof, determined the decision of the Administrator by the Administration, but does not in- under such proceeding only by filing a clude a passenger automobile or sta- petition with such court within 60 days tion wagon, any vehicle, locomotive, or after the final agency decision. car operated exclusively on a rail or rails, or a trolley bus operated by elec- PART 398—TRANSPORTATION OF tric power derived from a fixed over- MIGRANT WORKERS head wire, furnishing local passenger transportation in street-railway serv- Sec. ice. 398.1 Definitions. (e) Bus. ‘‘Bus’’ means any motor ve- 398.2 Applicability. hicle designed, constructed, and used 398.3 Qualifications of drivers or operators. for the transportation of passengers: 398.4 Driving of motor vehicles. 398.5 Parts and accessories necessary for Except passenger automobiles or sta- safe operation. tion wagons other than taxicabs. 398.6 Hours of service of drivers; maximum (f) Truck. ‘‘Truck’’ means any self- driving time. propelled motor vehicle except a truck 398.7 Inspection and maintenance of motor tractor, designed and constructed pri- vehicles. marily for the transportation of prop- 398.8 Administration inspection of motor erty. vehicles in operation. (g) Truck tractor. ‘‘Truck tractor’’ AUTHORITY: Secs. 203, 204, 49 Stat. 544, as means a self-propelled motor vehicle amended, 546, as amended; 49 U.S.C. 303, 304. designed and used primarily for draw- SOURCE: 33 FR 19765, Dec. 25, 1968, unless ing other vehicles and not so con- otherwise noted. structed as to carry a load other than a part of the weight of the vehicle and § 398.1 Definitions. load so drawn. (a) Migrant worker. ‘‘Migrant worker’’ (h) Semitrailer. ‘‘Semitrailer’’ means means any individual proceeding to or any motor vehicle other than a ‘‘pole returning from employment in agri- trailer’’, with or without motive power
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designed to be drawn by another motor guish colors red, green and yellow; vehicle and so constructed that some drivers requiring correction by glasses part of its weight rests upon the towing shall wear properly prescribed glasses vehicle. at all times when driving. (i) Driver or operator. ‘‘Driver or oper- (5) Hearing: Hearing shall not be less ator’’ means any person who drives any than 10/20 in the better ear, for con- motor vehicle. versational tones, without a hearing (j) Highway. ‘‘Highway’’ means the aid. entire width between the boundary (6) Liquor, narcotics and drugs: Shall lines of every way publicly maintained not be addicted to the use of narcotics when any part thereof is open to the or habit forming drugs, or the exces- use of the public for purposes of vehicu- sive use of alcoholic beverages or liq- lar traffic. uors. (7) Initial and periodic physical exam- § 398.2 Applicability. ination of drivers: No person shall drive The regulations prescribed in this nor shall any motor carrier require or part shall be applicable to motor car- permit any person to drive any motor riers of migrant workers, as defined in vehicle unless within the immediately § 398.1(b), only in the case of transpor- preceding 36 month period such person tation of any migrant worker for a shall have been physically examined total distance of more than seventy- and shall have been certified in accord- five miles, and then only if such trans- ance with the provisions of paragraph portation is across the boundary line of (b)(8) of this section by a licensed doc- any State, the District of Columbia, or tor of medicine or osteopathy as meet- Territory of the United States, or a ing the requirements of this sub- foreign country. section. (8) Certificate of physical examination: [33 FR 19765, Dec. 25, 1968, as amended at 40 Every motor carrier shall have in its FR 44557, Sept. 29, 1975] files at its principal place of business § 398.3 Qualifications of drivers or op- for every driver employed or used by it erators. a legible certificate of a licensed doctor (a) Compliance required. Every motor of medicine or osteopathy based on a carrier, and its officers, agents, rep- physical examination as required by resentatives and employees who drive paragraph (b)(7) of this section or a leg- motor vehicles or are responsible for ible photographically reproduced copy the hiring, supervision, training, as- thereof, and every driver shall have in signment or dispatching of drivers his/her possession while driving, such a shall comply and be conversant with certificate or a photographically repro- the requirements of this part. duced copy thereof covering himself/ (b) Minimum physical requirements. No herself. person shall drive, nor shall any motor (9) Doctor’s certificate: The doctor’s carrier require or permit any person to certificate shall certify as follows: drive, any motor vehicle unless such DOCTOR’S CERTIFICATE person possesses the following mini- mum qualifications: (Driver of Migrant Workers) (1) No loss of foot, leg, hand or arm, This is to certify that I have this day ex- (2) No mental, nervous, organic, or amined lllllll in accordance with functional disease, likely to interfere § 398.3(b) of the Federal Motor Carrier Safety with safe driving. Regulations of the Federal Highway Admin- (3) No loss of fingers, impairment of istration and that I find him/her use of foot, leg, fingers, hand or arm, or Qualified under said rules b Qualified only when wearing glasses b other structural defect or limitation, I have kept on file in my office a com- likely to interfere with safe driving. pleted examination. (4) Eyesight: Visual acuity of at least 20/40 (Snellen) in each eye either with- ——————————————————————— (Date) out glasses or by correction with glass- es; form field of vision in the hori- (Place) zontal meridian shall not be less than a total of 140 degrees; ability to distin- (Signature of examining doctor)
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——————————————————————— greater affirmative obligation or re- (Address of doctor) straint. Signature of driver lllllllllllll (c) Driving while ill or fatigued. No Address of driver llllllllllllll driver shall drive or be required or per- (c) Minimum age and experience re- mitted to drive a motor vehicle while quirements. No person shall drive, nor his/her ability or alertness is so im- shall any motor carrier require or per- paired through fatigue, illness, or any mit any person to drive, any motor ve- other cause as to make it unsafe for hicle unless such person possesses the him/her to begin or continue to drive, following minimum qualifications: except in case of grave emergency (1) Age. Minimum age shall be 21 where the hazard to passengers would years. be increased by observance of this sec- (2) Driving skill. Experience in driving tion and then only to the nearest point some type of motor vehicle (including at which the safety of passengers is as- private automobiles) for not less than sured. one year, including experience (d) Alcoholic beverages. No driver shall throughout the four seasons. drive or be required or permitted to (3) Knowledge of regulations. Famili- drive a motor vehicle, be in active con- arity with the rules and regulations trol of any such vehicle, or go on duty prescribed in this part pertaining to or remain on duty, when under the in- the driving of motor vehicles. fluence of any alcoholic beverage or (4) Knowledge of English. Every driver liquor, regardless of its alcoholic con- shall be able to read and speak the tent, nor shall any driver drink any English language sufficiently to under- such beverage or liquor while on duty. stand highway traffic signs and signals (e) Schedules to conform with speed lim- and directions given in English and to its. No motor carrier shall permit nor respond to official inquiries. require the operation of any motor ve- hicle between points in such period of (5) Driver’s permit. Possession of a time as would necessitate the vehicle valid permit qualifying the driver to being operated at speeds greater than operate the type of vehicle driven by those prescribed by the jurisdictions in him/her in the jurisdiction by which or through which the vehicle is being the permit is issued. operated. [33 FR 19765, Dec. 25, 1968, as amended at 40 (f) Equipment and emergency devices. FR 44557, Sept. 29, 1975] No motor vehicle shall be driven unless the driver thereof shall have satisfied § 398.4 Driving of motor vehicles. himself/herself that the following (a) Compliance required. Every motor parts, accessories, and emergency de- carrier shall comply with the require- vices are in good working order; nor ments of this part, shall instruct its of- shall any driver fail to use or make use ficers, agents, representatives and driv- of such parts, accessories, and devices ers with respect thereto, and shall take when and as needed: such measures as are necessary to in- Service brakes, including trailer brake sure compliance therewith by such per- connections. sons. All officers, agents, representa- Parking (hand) brake. tives, drivers, and employees of motor Steering mechanism. carriers directly concerned with the Lighting devices and reflectors. management, maintenance, operation, Tires. or driving of motor vehicles, shall com- Horn. ply with and be conversant with the re- Windshield wiper or wipers. Rear-vision mirror or mirrors. quirements of this part. Coupling devices. (b) Driving rules to be obeyed. Every Fire extinguisher, at least one properly motor vehicle shall be driven in ac- mounted. cordance with the laws, ordinances, Road warning devices, at least one red and regulations of the jurisdiction in burning fusee and at least three flares (oil which it is being operated, unless such burning pot torches), red electric lanterns, laws, ordinances and regulations are at or red emergency reflectors. variance with specific regulations of (g) Safe loading—(1) Distribution and this Administration which impose a securing of load. No motor vehicle shall
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be driven nor shall any motor carrier is attached to the semitrailer. Closed permit or require any motor vehicle to vans without windows or means to as- be driven if it is so loaded, or if the sure ventilation shall not be used. load thereon is so improperly distrib- (j) Limitation on distance of travel in uted or so inadequately secured, as to trucks. Any truck when used for the prevent its safe operation. transportation of migrant workers, if (2) Doors, tarpaulins, tailgates and such workers are being transported in No motor vehicle shall other equipment. excess of 600 miles, shall be stopped for be driven unless the tailgate, tailboard, a period of not less than eight consecu- tarpaulins, doors, all equipment and rigging used in the operation of said tive hours either before or upon com- vehicle, and all means of fastening the pletion of 600 miles travel, and either load, are securely in place. before or upon completion of any sub- (3) Interference with driver. No motor sequent 600 miles travel to provide rest vehicle shall be driven when any object for drivers and passengers. obscures his/her view ahead, or to the (k) Lighting devices and reflectors. No right or left sides, or to the rear, or motor vehicle shall be driven when any interferes with the free movement of of the required lamps or reflectors are his/her arms or legs, or prevents his/her obscured by the tailboard, by any and free and ready access to the accessories all lighting devices required by subpart required for emergencies, or prevents B of part 393 of this subchapter shall be the free and ready exit of any person lighted during darkness or at any other from the cab or driver’s compartment. time when there is not sufficient light (4) Property on motor vehicles. No vehi- to render vehicles and persons visible cle transporting persons and property upon the highway at a distance of 500 shall be driven unless such property is feet. stowed in a manner which will assure: (i) Unrestricted freedom of motion to (l) Ignition of fuel; prevention. No driv- the driver for proper operation of the er or any employee of a motor carrier vehicle; shall: (ii) Unobstructed passage to all exits (1) Fuel a motor vehicle with the en- by any person; and gine running, except when it is nec- (iii) Adequate protection to pas- essary to run the engine to fuel the ve- sengers and others from injury as a re- hicle; sult of the displacement or falling of (2) Smoke or expose any open flame such articles. in the vicinity of a vehicle being (5) Maximum passengers on motor vehi- fueled; cles. No motor vehicle shall be driven if (3) Fuel a motor vehicle unless the the total number of passengers exceeds nozzle of the fuel hose is continuously the seating capacity which will be per- in contact with the intake pipe of the mitted on seats prescribed in § 398.5(f) fuel tank; when that section is effective. All pas- sengers carried on such vehicle shall (4) Permit any other person to en- remain seated while the motor vehicle gage in such activities as would be is in motion. likely to result in fire or explosion. (h) Rest and meal stops. Every carrier (m) Reserve fuel. No supply of fuel for shall provide for reasonable rest stops the propulsion of any motor vehicle or at least once between meal stops. Meal for the operation of any accessory stops shall be made at intervals not to thereof shall be carried on the motor exceed six hours and shall be for a pe- vehicle except in a properly mounted riod of not less than 30 minutes dura- fuel tank or tanks. tion. (n) Driving by unauthorized person. (i) Kinds of motor vehicles in which Except in case of emergency, no driver workers may be transported. Workers shall permit a motor vehicle to which may be transported in or on only the he/she is assigned to be driven by any following types of motor vehicles: A person not authorized to drive such ve- bus, a truck with no trailer attached, hicle by the motor carrier in control or a semitrailer attached to a truck- thereof. tractor provided that no other trailer
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(o) Protection of passengers from (b) Lighting devices. Every motor ve- weather. No motor vehicle shall be driv- hicle shall be equipped with the light- en while transporting passengers un- ing devices and reflectors required by less the passengers therein are pro- subpart B of part 393 of this sub- tected from inclement weather condi- chapter. tions such as rain, snow, or sleet, by (c) Brakes. Every motor vehicle shall use of the top or protective devices re- be equipped with brakes as required by quired by § 398.5(f). subpart C of part 393 of this subchapter, (p) Unattended vehicles; precautions. except § 393.44 of this subchapter, and No motor vehicle shall be left unat- shall satisfy the braking performance tended by the driver until the parking requirements contained therein. brake has been securely set, the wheels (d) Coupling devices; fifth wheel mount- chocked, and all reasonable pre- ing and locking. The lower half of every cautions have been taken to prevent fifth wheel mounted on any truck-trac- the movement of such vehicle. tor or dolly shall be securely affixed to (q) Railroad grade crossings; stopping the frame thereof by U-bolts of ade- required; sign on rear of vehicle. Every quate size, securely tightened, or by motor vehicle shall, upon approaching other means providing at least equiva- any railroad grade crossing, make a lent security. Such U-bolts shall not be full stop not more than 50 feet, nor less of welded construction. The installa- than 15 feet from the nearest rail of tion shall be such as not to cause such railroad grade crossing, and shall cracking, warping, or deformation of not proceed until due caution has been the frame. Adequate means shall be taken to ascertain that the course is provided positively to prevent the clear; except that a full stop need not shifting of the lower half of a fifth be made at: wheel on the frame to which it is at- (1) A street car crossing within a tached. The upper half of every fifth business or residence district of a mu- wheel shall be fastened to the motor nicipality; vehicle with at least the security re- (2) A railroad grade crossing where a quired for the securing of the lower police officer or a traffic-control signal half to a truck-tractor or dolly. Lock- (not a railroad flashing signal) directs ing means shall be provided in every traffic to proceed; fifth wheel mechanism including (3) An abandoned or exempted grade adapters when used, so that the upper crossing which is clearly marked as and lower halves may not be separated such by or with the consent of the without the operation of a positive proper state authority, when such manual release. A release mechanism marking can be read from the driver’s operated by the driver from the cab position. shall be deemed to meet this require- All such motor vehicles shall display a ment. On fifth wheels designed and sign on the rear reading, ‘‘This Vehicle constructed as to be readily separable, Stops at Railroad Crossings.’’ the fifth wheel locking devices shall [33 FR 19765, Dec. 25, 1968, as amended at 40 apply automatically on coupling for FR 44557, Sept. 29, 1975] any motor vehicle the date of manufac- ture of which is subsequent to Decem- § 398.5 Parts and accessories nec- ber 31, 1952. essary for safe operation. (e) Tires. Every motor vehicle shall (a) Compliance. Every motor carrier be equipped with tires of adequate ca- and its officers, agents, drivers, rep- pacity to support its gross weight. No resentatives and employees directly motor vehicle shall be operated on concerned with the installation and tires which have been worn so smooth maintenance of equipment and acces- as to expose any tread fabric or which sories shall comply and be conversant have any other defect likely to cause with the requirements and specifica- failure. No vehicle shall be operated tions of this part, and no motor carrier while transporting passengers while shall operate any motor vehicle, or using any tire which does not have cause or permit it to be operated, un- tread configurations on that part of less it is equipped in accordance with the tire which is in contact with the said requirements and specifications. road surface. No vehicle transporting
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passengers shall be operated with re- (6) Exit. Adequate means of ingress grooved, re-capped, or re-treaded tires and egress to and from the passenger on front wheels. space shall be provided on the rear or (f) Passenger compartment. Every at the right side. Such means of ingress motor vehicle transporting passengers, and egress shall be at least 18 inches other than a bus, shall have a pas- wide. The top and the clear opening senger compartment meeting the fol- shall be at least 60 inches high, or as lowing requirements: high as the side wall of the passenger (1) Floors. A substantially smooth space if less than 60 inches. The bottom floor, without protruding obstructions shall be at the floor of the passenger more than two inches high, except as space. are necessary for securing seats or (7) Gates and doors. Gates or doors other devices to the floor, and without shall be provided to close the means of cracks or holes. ingress and egress and each such gate (2) Sides. Side walls and ends above or door shall be equipped with at least the floor at least 60 inches high, by at- one latch or other fastening device of tachment of sideboards to the perma- such construction as to keep the gate nent body construction if necessary. or door securely closed during the Stake body construction shall be con- course of transportation; and readily strued to comply with this requirement operative without the use of tools. only if all six-inch or larger spaces be- (8) Ladders or steps. Ladders or steps tween stakes are suitably closed to pre- for the purpose of ingress or egress vent passengers from falling off the ve- shall be used when necessary. The max- hicle. imum verticle spacing of footholds (3) Nails, screws, splinters. The floor shall not exceed 12 inches, except that and the interior of the sides and ends of the lowest step may be not more than the passenger-carrying space shall be 18 inches above the ground when the free of inwardly protruding nails, vehicle is empty. screws, splinters, or other projecting (9) Hand holds. Hand holds or devices objects likely to be injurious to pas- for similar purpose shall be provided to sengers or their apparel. permit ingress and egress without haz- (4) Seats. On and after November 1, ard to passengers. 1957, a seat shall be provided for each (10) Emergency exit. Vehicles with per- worker transported. The seats shall be: manently affixed roofs shall be Securely attached to the vehicle dur- equipped with at least one emergency ing the course of transportation; not exit having a gate or door, latch and less than 16 inches nor more than 19 hand hold as prescribed in paragraphs inches above the floor; at least 13 (f) (7) and (9) of this section and located inches deep; equipped with backrests on a side or rear not equipped with the extending to a height of at least 36 exit prescribed in paragraph (f)(6) of inches above the floor, with at least 24 this section. inches of space between the backrests (11) Communication with driver. Means or between the edges of the opposite shall be provided to enable the pas- seats when face to face; designed to sengers to communicate with the driv- provide at least 18 inches of seat for er. Such means may include telephone, each passenger; without cracks more speaker tubes, buzzers, pull cords, or than two inches wide, and the exposed other mechanical or electrical means. surfaces, if made of wood, planed or (g) Protection from cold. Every motor sanded smooth and free of splinters. vehicle shall be provided with a safe (5) Protection from weather. Whenever means of protecting passengers from necessary to protect the passengers cold or undue exposure, but in no event from inclement weather conditions, be shall heaters of the following types be equipped with a top at least 80 inches used: high above the floor and facilities for (1) Exhaust heaters. Any type of ex- closing the sides and ends of the pas- haust heater in which the engine ex- senger-carrying compartment. Tarpau- haust gases are conducted into or lins or other such removable devices through any space occupied by persons for protection from the weather shall or any heater which conducts engine be secured in place. compartment air into any such space.
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(2) Unenclosed flame heaters. Any type (b) Prescribed inspection report. Form of heater employing a flame which is MCS 63, Driver-Equipment Compliance not fully enclosed. Check, shall be used to record findings (3) Heaters permitting fuel leakage. Any from motor vehicles selected for final type of heater from the burner of which inspection by authorized Administra- there could be spillage or leakage of tion employees. fuel upon the tilting or overturning of (c) Motor vehicles declared ‘‘out of serv- the vehicle in which it is mounted. ice’’. (1) Authorized Administration em- (4) Heaters permitting air contamina- ployees shall declare and mark ‘‘out of tion. Any heater taking air, heated or service’’ any motor vehicle which by to be heated, from the engine compart- reason of its mechanical condition or ment or from direct contact with any loading is so imminently hazardous to portion of the exhaust system; or any operate as to be likely to cause an acci- heater taking air in ducts from the dent or a breakdown. Form MCS 64, outside atmosphere to be conveyed ‘‘Out of Service Vehicle’’ sticker shall through the engine compartment, un- be used to mark vehicles ‘‘out of serv- less said ducts are so constructed and installed as to prevent contamination ice.’’ of the air so conveyed by exhaust or (2) No motor carrier shall require or engine compartment gases. permit any person to operate nor shall (5) Any heater not securely fastened any person operate any motor vehicle to the vehicle. declared and marked, ‘‘out of service’’ until all repairs required by the ‘‘out of § 398.6 Hours of service of drivers; service notice’’ on Form MCS 63 have maximum driving time. been satisfactorily completed. The No person shall drive nor shall any term operate as used in this section motor carrier permit or require a driv- shall include towing the vehicle; pro- er employed or used by it to drive or vided, however, that vehicles marked operate for more than 10 hours in the ‘‘out of service’’ may be towed away by aggregate (excluding rest stops and means of a vehicle using a crane or stops for meals) in any period of 24 con- hoist; and provided further, that the secutive hours, unless such driver be vehicle combination consisting of the afforded eight consecutive hours rest emergency towing vehicle and the ‘‘out immediately following the 10 hours ag- of service’’ vehicle meets the perform- gregate driving. The term ‘‘24 consecu- ance requirements of § 393.52. tive hours’’ as used in this part means (3) No person shall remove the ‘‘Out any such period starting at the time of Service Vehicle’’ sticker from any the driver reports for duty. motor vehicle prior to completion of § 398.7 Inspection and maintenance of all repairs required by the ‘‘out of serv- motor vehicles. ice notice’’ on Form MCS 63. (4) The person or persons completing Every motor carrier shall systemati- the repairs required by the ‘‘out of cally inspect and maintain or cause to be systematically maintained, all service notice’’ shall sign the ‘‘Certifi- motor vehicles and their accessories cation of Repairman’’ in accordance subject to its control, to insure that with the terms prescribed on Form such motor vehicles and accessories are MCS 63, entering the name of his/her in safe and proper operating condition. shop or garage and the date and time the required repairs were completed. If § 398.8 Administration inspection of the driver completes the required re- motor vehicles in operation. pairs, he/she shall sign and complete (a) Administration personnel authorized the ‘‘Certification of Repairman.’’ to perform inspections. All persons des- (d) Motor carrier’s disposition of Form ignated as Special Agents of the Fed- MCS 63. (1) Motor carriers shall care- eral Highway Administration, as de- fully examine Forms MCS 63. Any and tailed in appendix B of chapter III of all violations or mechanical defects this title, are authorized to enter upon noted thereon shall be corrected. To and perform inspections of motor car- the extent drivers are shown not to be rier’s vehicles in operation. in compliance with the Federal Motor
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Carrier Safety Regulations, appro- § 399.205 Definitions. priate corrective action shall be taken Cab-over-engine (COE) A truck or by the motor carrier. (2) Motor carriers shall complete the truck-tractor having all, or the front ‘‘Motor Carrier Certification of Action portion, of the engine under the cab. Taken’’ on Form MCS 63 in accordance COE—High profile A COE having the with the terms prescribed thereon. door sill step above the height of the Motor carriers shall return Forms MCS front tires. 63 to the address indicated upon Form Deck plate A horizontal surface de- MCS 63 within fifteen (15) days follow- signed to provide a person with stable ing the date of the vehicle inspection. footing for the performance of work such as the connection and disconnec- [33 FR 19765, Dec. 25, 1968, as amended at 40 tion of air and electrical lines, gaining FR 44557, Sept. 29, 1975] access to permanently-mounted equip- ment or machinery or for similar PART 399—EMPLOYEE SAFETY AND needs. HEALTH STANDARDS Door sill step Any step normally pro- tected from the elements by the cab Subparts A–K [Reserved] door when closed. Effective peripheral grip Any shaped Subpart L—Step, Handhold, and Deck Re- surface, free of sharp edges, in which a quirements for Commercial Motor Ve- full grasp can be made to secure a hicles handhold by a person. Sec. Fingertip grasp A handhold surface 399.201 Purpose and scope. which provides a person contact re- 399.203 Applicability. stricted to finger segments 1 and/or 2 399.205 Definitions. only; or which limits wrap-around clo- 399.207 Truck and truck-tractor access re- quirements. sure of finger segment 1 with the palm 399.209 Test procedures. of the hand to 90 degrees as shown in 399.211 Maintenance. Illustration I.
AUTHORITY: 49 U.S.C. 304, 1655; 49 CFR 1.48 and 301.60.
SOURCE: 44 FR 43732, July 26, 1979, unless otherwise noted.
Subparts A–K [Reserved] Subpart L—Step, Handhold, and Deck Requirements for Com- mercial Motor Vehicles § 399.201 Purpose and scope. This subpart prescribes step, hand- hold, and deck requirements on com- mercial motor vehicles. These require- ments are intended to enhance the safety of motor carrier employees.
§ 399.203 Applicability. This subpart applies to all trucks and truck-tractors, having a high profile Full grasp A handhold surface which cab-over-engine (COE) configuration, provides a person contact with finger for entrance, egress and back of cab ac- segments 2 and 3 and which provides cess, manufactured on and after Sep- space for finger segment 1 to wrap tember 1, 1982. around toward the palm of the hand be- [44 FR 43732, July 26, 1979, as amended at 46 yond the 90-degree surface restriction FR 56799, Nov. 19, 1981] shown in Illustration I. The handhold
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need not require contact between fin- tion by reference was approved by the gers and thumb. For example, the hand Director of the Federal Register on position shown in Illustration II quali- July 17, 1979. These materials are in- fies as full grasp. corporated as they exist on the date of the approval and a notice of any change in these materials will be pub- lished in the FEDERAL REGISTER. Slip resistant material Any material designed to minimize the accumulation of grease, ice, mud or other debris and afford protection from accidental slip- ping.
§ 399.207 Truck and truck-tractor ac- cess requirements. (a) General rule. Any person entering or exiting the cab or accessing the rear portion of a high profile COE truck or truck-tractor shall be afforded suffi- cient steps and handholds, and/or deck plates to allow the user to have at least 3 limbs in contact with the truck or truck-tractor at any time. This rule applies to intermediate positions as well as transition between intermedi- ate positions. To allow for changes in Ground The flat horizontal surface on climbing sequence, the step design which the tires of a motor vehicle rest. shall include, as a minimum, one inter- Handhold That which qualifies as mediate step of sufficient size to ac- providing full grasp if a person is able commodate two feet. Exception. If air to find a hand position on the handhold and electrical connections necessary to which allows more than fingertip couple or uncouple a truck-tractor grasp. from a trailer are accessible from the Handprint The surface area contacted ground, no step, handholds or deck by the hand when grasping a handhold. plates are required to permit access to The size of this area is the width of the the rear of the cab. hand across the metacarpal and half (b) Performance requirements. All high the circumference of the handhold. The profile COE trucks or truck-tractors hand breadth of the typical person is shall be equipped on each side of the 88.9 millimeters (3.5 inches). vehicle where a seat is located, with a Person Any individual within the 5th sufficient number of steps and percentile female adult through the handholds to conform with the require- 95th percentile male adult of anthropo- ments of paragraph (a) of this section metric measures as described by the and shall meet the performance re- 1962 Health Examination Survey, quirements: ‘‘Weight, Height and Selected Body Di- (1) Vertical height. All measurements mensions of Adults, United States 1960– of vertical height shall be made from 1962’’ which is incorporated by ref- ground level with the vehicle at un- erence. It is Public Health Service pub- laden weight. lication No. 1000–Series 11–No. 8 and is (2) Distance between steps. The dis- for sale from the U.S. Department of tance between steps, up to and includ- Commerce, National Technical Infor- ing the door sill step, shall provide any mation Service, 5285 Port Royal Road, person a stable resting position which Springfield, Virginia 22161. When order- can be sustained without body motion ing use NTIS Accession No. PB 267174. and by exerting no more arm force It is also available for inspection at the than 35 percent of the person’s body Office of the Federal Register Library, weight per grasp during all stages of 800 North Capitol Street, NW, suite 700, entry and exit. This criterion applies Washington, DC 20408. This incorpora- to intermediate positions as well as
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transition between intermediate posi- which minimizes the accumulation of tions above ground level. foreign material. Wherever practicable, (i) When the ground provides the per- a self-cleaning material should be used. son foot support during entry or is the (4) Foot accommodation. Step depth or final step in the sequence during exit, clearance and step width necessary to and the step is 508 millimeters (20 accommodate a climbing person are de- inches) or more above ground, the sta- fined by using a minimum 127 millime- ble resting position shall be achievable ter (5 inch) diameter disc as shown in by the person using both hands to Illustration III. grasp the handhold(s) and requiring no more arm force than 35 percent of body (i) Single foot accommodation. The disc weight per grasp. shall fit on a tread rung, or in a step (ii) The vertical height of the first recess, with no exterior overhang. step shall be no more than 609 millime- (ii) Two-foot accommodation. Two ters (24 inches) from ground level. discs shall fit on a tread rung, or in a (3) Construction. Each step or deck step recess, with no exterior overhang. plate shall be of a slip resistant design
NOTE: The 127 millimeter (5 inch) disc is (8) Handhold size and shape. Each only intended to test for a minimum depth handhold shall be free of sharp edges and width requirement. The step need not re- (minimum 1 millimeter [0.04 inch] ra- tain the disc at rest. dius) and have an effective peripheral (5) Step strength. Each step must grip length that permits full grasp by withstand a vertical static load of at any person. least 204 kilograms (450 pounds) uni- (9) Handhold strength. Each handhold formly distributed over any 127 milli- shall withstand a horizontal static load meter (5 inch) increment of step width. of at least 114 kilograms (250 pounds) uniformly distributed over the area of (6) Handhold location. A handhold a hand print and applied away from the must be located within the reach of mounting surface. any person entering or exiting the ve- (10) Deck plates. Deck plates shall be hicle. on the rear of a truck-tractor as nec- (7) Exterior mounting specifications for essary to couple or uncouple air and/or handholds. Each handhold, affixed to electrical connections. the exterior of the vehicle, shall have (11) Deck plate strength. Each deck at least 38 millimeters (1.5 inches) plate shall be capable of withstanding clearance between the handhold and the vertical static load of at least 205 the surface to which it is mounted for kilograms (450 pounds) uniformly dis- the distance between its mounting tributed over a 127 millimeter (5 inch) points. diameter disc.
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§ 399.209 Test procedures. ministrator for Motor Carriers may specify in writing, in possession of credentials issued (a) The force exerted on a handhold by the FHWA, are special agents. They are will be measured using a handheld hereby authorized to inspect and copy spring scale or force transducer which records and to inspect and examine lands, can be attached to the vehicle and is buildings, and equipment to the manner and free to rotate into alignment with a extent provided by law. person’s hand position. 4. Facsimile of the Administration Credential: (b) Hand grasp will be evaluated by UNITED STATES OF AMERICA observing the handgrip of any individ- ual who conforms with the definition of DEPARTMENT OF TRANSPORTATION FEDERAL ‘‘person’’ appearing in § 399.205 of this HIGHWAY ADMINISTRATION subpart. This is to certify that llllll whose photograph and signature appear hereon is § 399.211 Maintenance. duly accredited as llllll with author- All steps, handholds, and/or deck ity to enter upon, to inspect, and examine plates required by this subpart shall be lands, buildings, and equipment, and to in- adequately maintained to serve their spect and copy records and papers of carriers intended function. and other persons, in performance of his/her duties under the Department of Transpor- APPENDIX A TO SUBCHAPTER B tation Act, related acts, and regulations of the Department. [RESERVED] By direction of the Secretary APPENDIX B TO SUBCHAPTER B—SPECIAL (Certifying Authority) (Bearer) AGENTS (Sec. 204, Interstate Commerce Act (49 U.S.C. CAUTIONARY NOTE: This appendix relates 304); sec. 6, Department of Transportation only to Federal authority to enforce the reg- Act (49 U.S.C. 1655); 49 U.S.C. 1801 et seq.; 18 ulations in this subchapter. In its present U.S.C. 831–835; and the delegations of author- form, it has no application for the States and ity at 49 CFR 1.48 and 301.60; 49 U.S.C. 3102; 49 is not to be included in any adoption of these CFR 1.48(b)) regulations by State authorities as a condi- tion of eligibility for grants under part 350 of [35 FR 1016, Jan. 24, 1970 as amended at 36 FR this chapter. 16067, Aug. 19, 1971; 43 FR 20011, May 10, 1978; 1. Authority. Persons appointed as special 44 FR 46425, July 10, 1980; 49 FR 38290, Sept. agents of the Federal Highway Administra- 28, 1984; 60 FR 38749, July 28, 1995; 61 FR 1843, tion (‘‘Administration’’), are authorized to Jan. 24, 1996] enter upon, to inspect, and to examine any and all lands, buildings, and equipment of APPENDIXES C–E TO SUBCHAPTER B motor carriers and other persons subject to [RESERVED] the Interstate Commerce Act, the Depart- ment of Transportation Act, and other relat- APPENDIX F TO SUBCHAPTER B— ed Acts, and to inspect and copy any and all COMMERCIAL ZONES accounts, books, records, memoranda, cor- respondence, and other documents of such NOTE.— The text of these definitions is carriers and other persons. identical to the text of 49 CFR part 372, sub- 2. Compliance. Motor carriers and other part B, revised as of October 1, 1975, which is persons subject to these Acts shall submit no longer in print. their accounts, books, records, memoranda, correspondence, and other documents for in- COMMERCIAL ZONES spection and copying, and they shall submit Sec. their lands, buildings, and equipment for ex- 1 New York, N.Y. amination and inspection, to any special 2 Chicago, Ill. agent of the Administration upon demand and display of an Administration credential 3 St. Louis, Mo.-East St. Louis, Ill. identifying him/her as a special agent. 4 Washington, D.C. 3. Definition of special agent. Federal High- 5 Los Angeles, Calif., and contiguous and ad- way Administration (FHWA) employees jacent municipalities. charged with enforcing 42 U.S.C. 4917 and 49 6 Philadelphia, Pa. U.S.C. 104, 501 et seq., 521 et seq., 5101 et seq., 7 Cincinnati, Ohio 5901 et seq., 31101–31104, 31108, 31131 et seq., 8 Kansas City, Mo.-Kansas City, Kans. 31161, 31301 et seq., and 31501 et seq., including 9 Boston, Mass. employees within the Office of Motor Car- 10 Davenport, Iowa; Rock Island and Moline, riers and such other persons as the Federal Ill. Highway Administrator or the Associate Ad-
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11 Commercial zones of municipalities in or will have a subsequent movement by New Jersey within 5 miles of New York, water carrier, and which is performed wholly N.Y. between points named in subparagraph (1) of 12 Commercial zones of municipalities in this paragraph, on the one hand, and, on the Westchester and Nassau Counties, N.Y. other, those points in Newark and Elizabeth, 13 Tucson, Ariz. N.J., identified as follows: All points in that 14 Albuquerque, N. Mex. area within the corporate limits of the cities 18 Ravenswood, W. Va. of Newark and Elizabeth, N.J., west of New- 19 Lake Charles, La. 20 Syracuse, N.Y. ark Bay and bounded on the south by the 21 Baltimore, Md. main line of the Central Railroad of New Jer- 22 Cleveland, Ohio. sey, on the west by the Newark & Elizabeth 23 Detroit, Mich. Branch of the Central Railroad Company of 24 Seattle, Wash. New Jersey, and on the north by the prop- 25 Albany, N.Y. erty line of the Penn Central Transportation 26 Minneapolis-St. Paul, Minn. Company. 27 New Orleans, La. (3) Transportation which is performed in 28 Pittsburgh, Pa. respect of a shipment by rail carrier, and 29 Portland, Oreg. which is performed wholly between points 30 Vancouver, Wash. named in subparagraph (1) of this paragraph, 31 Charleston, S.C. on the one hand, and, on the other, 32 Charleston, W. Va. 33 Memphis, Tenn. (a) Those portions of Kearny, N.J., within 34 Houston, Tex. an area bounded on the north by the main 35 Pueblo, Colo. line of the Jersey City Branch of the Penn 36 Warren, Ohio Central Transportation Co., on the south and 37 Louisville, Ky. east by Fish House Road and Pennsylvania 38 Sioux City, Iowa. Avenue, and on the west by the property line 39 Beaumont, Tex. of the Penn Central Transportation Co. 40 Metropolitan Government of Nashville Truck-Train Terminal. and Davidson County, Tenn. (b)(i) That portion of Newark, N.J., within 41 Consolidated City of Indianapolis, Ind. an area bounded on the north by South 42 Lexington-Fayette Urban County, Ky. Street and Delancey Street, on the east by 43 Definitions. Doremus Avenue, on the south by the freight 44 Commercial zones determined generally, right-of-way of the Penn Central Transpor- with exceptions. 45 Controlling distances and population tation Co. (Waverly Yard, Newark, N.J., to data. Greenville Piers, Jersey City, N.J., line), and on the west by the Penn Central Transpor- Section 1 New York, N.Y. tation Co.’s Hunter Street produce yard, and (a) The application of § 372.241 Commercial (ii) that portion of Newark, N.J., within an Zones determined generally, with excep- area bounded on the north by Poinier Street, tions, is hereby extended to New York, N.Y. on the east by Broad Steet, on the south by (b) The exemption provided by section the passenger right-of-way of the Penn Cen- 203(b)(8) of the Interstate Commerce Act, of tral Transportation Co.’s main line and on transportation by motor vehicle, in inter- the west by Frelinghuysen Avenue. state or foreign commerce, performed wholly (c) That portion of Port Reading, N.J., within the zone the limits of which are de- within an area bounded on the east by the fined in paragraph (a) of this section, is here- Arthur Kill, on the south by the right-of-way by removed as to all such transportation ex- of the Reading Co., on the west by Cliff cept: Road, and on the north by Woodbridge- (1) Transportation which is performed Carteret Road, and wholly within the following territory: The (d) That portion of Elizabeth, N.J., within area within the corporate limits of the cities an area bounded by a line extending from of New York, Yonkers, Mount Vernon, North Newark Bay westward along Trumbull Pelham, Pelham, Pelham Manor, Great Neck Street to its intersection with Division Estates, Floral Park, and Valley Stream, N.Y., and Englewood, N.J.; the area within Street; thence northward along Trumbull the borough limits of Alpine, Tenafly, Engle- Street to its intersection with East North wood Cliffs, Leonia, Fort Lee, Edgewater, Avenue; thence eastward along East North Cliffside Park, Fairview, Palisades Park, and Avenue to its intersection with the New Jer- Ridgefield, Bergen County, N.J.; and that sey Turnpike, thence along the New Jersey part of Hudson County, N.J., east of Newark Turnpike to the Elizabeth Channel; thence Bay and the Hackensack River; easterly along the Elizabeth Channel to New- (2) Transportation which is performed in ark Bay; thence along the western shore of respect of a shipment which has had a prior, Newark Bay to the point of beginning.
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Sec. 2 Chicago, Ill. of the Interstate Commerce Act (49 U.S.C. 303(b)(8)), includes and is comprised of all The zone adjacent to and commercially a points as follows: (1) All points within the part of Chicago, Ill., within which transpor- corporate limits of St. Louis, Mo.; (2) all tation by motor vehicle, in interstate or for- points in St. Louis County, Mo., within a eign commerce, not under a common con- line drawn 0.5 mile south, west, and north of trol, management, or arrangement for a con- the following line:—Beginning at the Jeffer- tinuous carriage or shipment to or from a son Barracks Bridge across the Mississippi point beyond the zone is partially exempt River and extending westerly along Missouri from regulation under section 203(b)(8) of the Highway 77 to its junction with U.S. High- Interstate Commerce Act (49 U.S.C. way 61 Bypass, thence along U.S. Highway 61 303(b)(8)), includes and is comprised of all Bypass to its junction with U.S. Highway 66, points as follows: thence westerly along U.S. Highway 66 to its The area within the corporate limits of junction with Bowles Avenue, thence north- Chicago, Evanston, Oak Park, Cicero, Ber- erly along Bowles Avenue, actual or pro- wyn, River Forest, Willow Springs, jected, to the Meramec River, thence eas- Bridgeview, Hickory Hills, Worth, terly along the south bank of the Meramec Homewood, and Lansing, Ill.; the area within River to a point directly south of the west- the township limits of Niles, Maine, Leyden, ern boundary of Kirkwood, thence across the Norwood Park, Proviso, Lyons, Riverside, Meramec River to and along the western Stickeny, Worth, Calumet, Bremen, and boundary of Kirkwood to Marshall Road, Thornton Townships, Cook County, Ill.; the thence westerly along Marshall Road to its area comprised of that part of Lemont Town- junction with Treecourt Avenue, thence ship, Cook County, and that part of Downers northerly along Treecourt Avenue to its Grove Township, Du Page County, Ill., junction with Big Bend Road, thence eas- bounded by a line beginning at the intersec- terly along Big Bend Road to the western tion of Archer Avenue and the southern cor- boundry of Kirkwood, thence northerly along porate limits of Willow Springs, Ill., and ex- the western boundary of Kirkwood to its tending in a southwesterly direction along junction with Dougherty Ferry Road, thence Archer Avenue to its junction with Chicago westerly along Dougherty Ferry Road to its Joliet Road (Sag Lemont Highway), thence junction with Interstate Highway 244, thence in a westerly direction over Chicago Joliet northerly along Interstate Highway 244 to its Road to its junction with Walker Road, junction with Manchester Road, thence eas- thence directly north along an imaginary terly along Manchester Road to its junction line to the southern shoreline of the Chicago with the northwest corner of Kirkwood, Sanitary and Ship Canal, thence in a north- thence along the western and northern easterly direction along said shoreline to the boundaries of Kirkwood to the western corporate limits of Willow Springs, including boundary of Huntleigh, Mo., thence along points on the indicated portions of the high- the western and northern boundaries of ways specified; the area within Burr Ridge, Huntleigh to its junction with Lindbergh Du Page County, bounded by a line begin- Boulevard, thence northerly along Lindbergh ning at the intersection of County Line Road Boulevard to its junction with Lackland Av- and Frontage Road, thence southwesterly enue, thence in a westerly direction along along Frontage Road to its intersection with Lackland Avenue to its junction with the Garfield Street, thence northerly along Gar- right-of-way of the proposed Circumferential field Street to its junction with 74th Street, Expressway (Interstate Highway 244), thence thence westerly along an imaginary line to in a northerly direction along said right-of- the junction of 74th Street and Grant Street, way to its junction with the right-of-way of thence southerly along Grant Street to its the Chicago, Rock Island and Pacific Rail- junction with 75th Street, thence westerly road, thence in an easterly direction along along 75th Street to its junction with Brush said right-of-way to its junction with Hill Road, thence southerly along Brush Hill Dorsett Road, thence in an easterly direction Road to its junction with Frontage Road, along Dorsett Road to its junction with thence northeasterly along Frontage Road to Lindbergh Boulevard, thence in a northerly its junction with County Line Road; and the direction along Lindbergh Boulevard to its area within the corporate limits of Ham- junction with St. Charles Rock Road, thence mond, Whiting, East Chicago, and Gary, Ind. westerly along St. Charles Rock Road to its function with the Missouri River, thence Sec. 3 St. Louis, Mo.-East St. Louis, Ill. northerly along the east shore of the Mis- (a) The zone adjacent to and commercially souri River to its junction with the Norfolk a part of St. Louis, Mo.-East St. Louis, Ill, and Western Railway Co. right-of-way, within which transportation by motor vehi- thence easterly along the southern boundary cle in interstate or foreign commerce, not of the Norfolk and Western Railway Co. under a common control, management or ar- right-of-way to Lindbergh Boulevard, thence rangement for a continuous carriage to or in an easterly direction along Lindbergh from a point beyond the zone is partially ex- Boulevard to the western boundary of St. empt from regulation under section 203(b)(8) Ferdinand (Florissant), Mo., thence along
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the western, northern, and eastern bound- trol, management, or arrangement for a con- aries of St. Ferdinand to junction Insterstate tinuous carriage to or from a point beyond Highway 270, and thence along Interstate the zone is partially exempt from regulation Highway 270 to the corporate limits of St. under section 203(b)(8) of the Interstate Com- Louis (near Chain of Rocks Bridge); and (3) merce Act (49 U.S.A. 303(b)(8)) includes and it all points within the corporate limits of East is comprised of all as follows: St. Louis, Belleville, Granite City, Madison, Beginning at the intersection of Mac- Venice, Brooklyn, National City, Fairmont Arthur Boulevard and Falls Road (Maryland City, Washington Park, and Sauget, Ill.; that Highway 189) and extending northeasterly part of the village of Cahokia, Ill., bounded along Falls Road to its junction with Scott by Illinois Highway 3 on the east, First Ave- Drive, thence west on Scott Drive to its nue and Red House (Cargill) Road on the junction with Viers Drive, thence west on south and southwest, the east line of the Viers Drive to its junction with Glen Mill right-of-way of the Alton and Southern Rail- Road, thence northeast on Glen Mill Road to road on the west, and the corporate limits of its junction with Maryland Highway 28, Sauget, Ill., on the northwest and north; thence west on Maryland Highway 28 to its that part of Centerville, Ill., bounded by a junction with Shady Grove Road, thence line beginning at the junction of 26th Street northeast on Shady Grove Road approxi- and the corporate limit of East St. Louis, mately 2.7 miles to Crabbs Branch, thence Ill., and extending northeasterly along 26th southeasterly along the course of Crabbs Street to its junction with Bond Avenue, Branch to Rock Creek, thence southerly thence southeasterly along Bond Avenue to along the course of Rock Creek to Viers Mill its junction with Owen Street, thence south- Road (Maryland Highway 586), thence south- westerly along Owen Street to its junction easterly along Viers Mill Road approxi- with Church Road, thence southeasterly mately 0.3 mile to its junction with Aspen along Church Road to its junction with Illi- Hill Road, thence northeasterly along Aspen nois Avenue, thence southwesterly along Illi- Hill Road to its junction with Brookeville nois Avenue to the southwesterly side of the Road (Maryland Highway 97), thence south- right-of-way of the Illinois Central Railroad easterly along Brookeville Road to its junc- Co., thence along the southwesterly side of tion with Maryland Highway 183, thence the right-of-way of the Illinois Central Rail- northeasterly along Maryland Highway 183 road Co. to the corporate limits of East St. to Colesville, Md., thence southeasterly Louis, Ill, thence along the corporate limits along Beltsville Road to its junction with of East St. Louis, Ill., to the point of begin- Powder Mill Road (Maryland Highway 212), ning; and that area bounded by a line com- thence easterly over Powder Mill Road to its junction with Montgomery Road, thence mencing at the intersection of the right-of- northeasterly along Montgomery Road, ap- way of the Alton and Southern Railroad and proximately 0.2 mile, to its junction with an the Madison, Ill., corporate limits near 19th unnumbered highway extending northeast- Street, and extending east and south along erly to the north of Ammendale Normal In- said right-of-way to its intersection with the stitute, thence along such unnumbered high- right-of-way of Illinois Terminal Railroad way for a distance of about 2.2 miles to its Co., thence southwesterly along the Illinois junction somewhat north of Virginia Manor, Terminal Railroad Co. right-of-way to its Md., with an unnumbered highway extending intersection with Illinois Highway 203, easterly through Muirkirk, Md., thence thence northwesterly along said highway to along such unnumbered highway through its intersection with the Madison, Ill., cor- Muirkirk to its junction, approximately 1.8 porate boundary near McCambridge Avenue, miles east of the Baltimore and Ohio Rail- thence northerly along the Madison, Ill., cor- road, with an unnumbered highway, thence porate boundary to the point of beginning. southwesterly along such unnumbered high- (b) The exemption provided by section way for a distance of about 0.5 mile to its 203(b)(8) of the Interstate Commerce Act in junction with an unnumbered highway, respect of transportation by motor vehicle, thence southeasterly along such unnumbered in interstate or foreign commerce, between highway through Springfield and Hillmeade, Belleville, Ill., on the one hand, and, on the Md., to its junction with Defense Highway other, any other point in the commercial (U.S. Highway 50), thence southwesterly zone, the limits of which are defined in para- along Defense Highway approximately 0.8 graph (a) of this section, is hereby removed, mile to its junction with Enterprise Road and the said transportation is hereby sub- (Maryland Highway 556), thence southerly jected to all applicable provisions of the over Enterprise Road to its junction with Interstate Commerce Act. Central Avenue (Maryland Highway 214), thence westerly over Central Avenue about Sec. 4 Washington, DC. 0.5 mile to its crossing of Western Branch, The zone adjacent to and commercially a thence southerly down the course of Western part of Washington, DC, within which trans- Branch to Maryland Highway 202, thence portation by motor vehicle, in interstate or westerly approximately 0.3 mile along Mary- foreign commerce, not under a common con- land Highway 202 to its junction with White
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House Road, thence southwesterly along Angeles, Calif., or wholly within any White House Road to its junction with Mary- municipalitiy contiguous or adjacent to Los land Highway 221, thence southeasterly Angeles, Calif., or wholly a part of Los Ange- along Maryland Highway 221 to its junction les, as defined in paragraph (b) of this sec- with Maryland Highway 4, thence westerly tion, or wholly within the zone adjacent to along Maryland Highway 4 to the boundary and commercially a part of the San Pedro, of Andrews Air Force Base, thence south and Wilmington, and Terminal Island Districts of west along said boundary to Brandywine Los Angeles and Long Beach, as defined in Road (Maryland Highway 5), thence north- paragraph (c) of this section, or wholly with- westerly along Maryland Highway 5 to its in the zone of any independent municipality junction with Maryland Highway 337, thence contiguous or adjacent to Los Angeles, as de- southwesterly along Maryland Highway 337 termined under § 372.241, or otherwise, be- to its junction with Maryland Highway 224, tween any point in Los Angeles County, thence southerly along Maryland Highway Calif., north of the line described below, on 224 to a point opposite the mouth of Broad the one hand, and, on the other, any point in Creek, thence due west across the Potomac Los Angeles County, Calif., south thereof is River to the west bank thereof, thence hereby removed and the said transportation southerly along the west bank of the Poto- is hereby subjected to all the applicable pro- mac River to Gunston Cove, thence up the visions of the Interstate Commerce Act: course of Gunston Cove to Pohick Creek, Beginning at the Pacific Ocean, and ex- thence up the course of Pohick Creek to Vir- tending easterly along the northern and ginia Highway 611, thence southwesterly eastern corporate limits of Manhattan Beach along Virginia Highway 611 to the Fairfax- to the northern corporate limits of Redondo Prince William County line, thence along Beach, thence along the northern and east- said county line to Virginia Highway 123, ern corporate limits of Redondo Beach to the thence northerly along Virginia Highway 123 intersection of Inglewood Avenue and Re- to its junction with Virginia Highway 636, dondo Beach Boulevard, thence along Re- thence northeasterly along Virginia High- dondo Beach Boulevard to the corporate lim- way 636 to its junction with Virginia High- its of Torrance, thence along the northwest- way 638, thence northwesterly along Virginia ern and eastern corporate limits of Torrance Highway 638 to its junction with Virginia to 182d Street, thence along 182d Street, Wal- Highway 620, thence westerly along Virginia nut, and Main Streets to Alondra Boulevard, Highway 620 to its junction with Virginia thence along Alondra Boulevard to its inter- Highway 655, thence northeasterly along Vir- section with Dwight Avenue, thence south- ginia Highway 655 to its junction with U.S. erly along Dwight Avenue and an imaginary Highway 211, thence westerly along U.S. straight line extending southward to Green- Highway 211 to its junction with Virginia leaf Boulevard, thence eastward along Green- Highway 608, thence northerly along Vir- leaf Boulevard to the northwestern corner of ginia Highway 608 to its junction with U.S. the corporate limits of Long Beach, thence Highway 50, thence westerly along U.S. along the northern and eastern corporate Highway 50 to the Fairfax-Loudoun County limits of Long Beach to Artesia Boulevard, line, thence northeasterly along said county thence east on Artesia Boulevard to the Los line to its intersection with Dulles Inter- Angeles-Orange County line. national Airport, thence along the southern, (b) For the purpose of administration and western, and northern boundaries of said air- enforcement of Part II of the Interstate port to the Fairfax-Loudoun County line (at Commerce Act, the zone adjacent to and or near Dulles Airport Access Road), thence commercially a part of Los Angeles and con- northeasterly along said county line to its tiguous municipalities (except the San junction with Virginia Highway 7, thence Pedro, Wilmington, and Terminal Island dis- southeasterly along Virginia Highway 7 to tricts of Los Angeles and Long Beach, Calif.), its junction with Virginia Highway 193, in which transportation by motor vehicle in thence along Virginia Highway 193 to its interstate or foreign commerce, not under a junction with Scott Run Creek, thence common control, management, or arrange- northerly down the course of Scott Run ment for a continuous carriage or shipment Creek to the Potomac River, thence due to or from a point beyond the zone, will be north across the river to MacArthur Boule- partially exempt from regulation under sec- vard to its junction with Maryland Highway tion 203(b)(8) of the act, is hereby defined to 189, the point of beginning. include the area of a line extending in a gen- erally northwesterly and northerly direction Sec. 5 Los Angeles, Calif., and contiguous and from the intersection of Inglewood Avenue adjacent municipalities. and Redondo Beach Boulevard along the (a) The exemption provided by section eastern and northern corporate limits of Re- 203(b)(8) of Part II of the Interstate Com- dondo Beach, Calif., to the eastern corporate merce Act to the extent it affects transpor- limits of Manhattan Beach, Calif., thence tation by motor vehicle, in interstate or for- along the eastern and northern corporate eign commerce, performed wholly within Los limits of Manhattan Beach to the Pacific
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Ocean, thence along the shoreline of the Pa- a portion of the eastern, and along the south- cific Ocean to the western corporate limits ern and western, corporate limits of Tor- of Los Angeles at a point east of Topanga rance to the northwestern corner of Tor- Canyon, and thence along the western cor- rance, south of a line extending in a gen- porate limits of Los Angeles to a point near erally easterly direction from the northwest- Santa Susana Pass; south of a line extending ern corner of Torrance along the northwest- in a generally easterly direction from a point ern and a portion of the eastern corporate near Santa Susana Pass along the northern limits of Torrance to 182d Street, thence corporate limits of Los Angeles to the east- along 182d, Walnut, Main, and Alondra Bou- ern corporate limits of Burbank, Calif., levard to its intersection with Dwight Ave- thence along the eastern corporate limits of nue, thence southerly along Dwight Avenue Burbank to the northern corporate limits of and an imaginary straight line extending Glendale, Calif., and thence along the north- southward from Dwight Avenue to Greenleaf ern corporate limits of Glendale and Pasa- Boulevard and thence along Greenleaf Boule- dena, Calif., to the northeastern corner of vard and the northern corporate limits of Pasadena; west of a line extending in a gen- Long Beach to the northeastern corner of erally southerly and southwesterly direction Long Beach; west of the eastern corporate from the northeastern corner of Pasadena limits of Long Beach; and north of the south- along the eastern and a portion of the south- ern corporate limits of Long Beach and Los ern corporate limits of Pasadena to the east- Angeles. ern corporate limits of San Marino, Calif., thence along the eastern corporate limits of Sec. 6 Philadelphia, Pa. San Marino and the eastern and a portion of the southern corporate limits of Alhambra, The zone adjacent to and commercially a Calif., to the western corporate limits of part of Philadelphia, Pa., within which Monterey Park, Calif., and the western cor- transportation by motor vehicle, in inter- porate limits of Montebello, Calif., thence state or foreign commerce, not under a com- along the western corporate limits of mon control, management, or arrangement Montebello, Calif., to the Rio Hondo, and the for a continuous carriage or shipment to or Los Angeles River to the northern corporate from a point beyond such zone, is partially limits of Long Beach; and north of a line ex- exempt from regulation under section tending in a generally westerly direction 203(b)(8) of the Interstate Commerce Act (49 from the Los Angeles River along the north- U.S.C. 303(b)(8)) includes and is comprised of ern corporate limits of Long Beach and all points as follows: thence along Greenleaf Boulevard to its (a) The area within Pennsylvania included intersection with an imaginary straight line within the corporate limits of Philadelphia extending southward from Dwight Avenue, and Bensalem and Lower Southampton thence north on the imaginary straight line Townships in Bucks County; Conshohocken extending southward from Dwight Avenue, and West Conshohocken, Pa., and Lower and thence northerly along Dwight Avenue Moreland, Abington, Cheltenham, Spring- to Alondra Boulevard, thence west along field, Whitemarsh, and Lower Merion Town- Alondra Boulevard, Main, Walnut, and 182d ships in Montgomery County; an area in Streets to the eastern corporate limits of Upper Dublin Township, Montgomery Coun- Torrance, thence along a portion of the east- ty, bounded by a line beginning at the inter- ern and the northwestern corporate limits of section of Pennsylvania Avenue and Fort Torrance to Redondo Beach Boulevard, and Washington Avenue and extending northeast thence along Redondo Beach Boulevard to along Fort Washington Avenue to its junc- Inglewood Avenue. tion with Susquehanna Road, thence south- (c) For the purpose of administration and east along Susquehanna Road to its junction enforcement of Part II of the Interstate with the right-of-way of the Pennsylvania Commerce Act, the zone adjacent to and Railroad Company, thence southwest along commercially a part of the San Pedro, Wil- the right-of-way of the Pennsylvania Rail- mington, and Terminal Island districts of road Company to Pennsylvania Avenue, Los Angeles and Long Beach in which trans- thence northwest along Pennsylvania Ave- portation by motor vehicle in interstate or nue to its junction with Fort Washington foreign commerce, not under a common con- Avenue, the point of beginning; Haverford trol, management, or arrangement for a con- Township in Delaware County; and an area tinuous carriage or shipment to or from a in Delaware County south and east of a line point beyond the zone, will be partially ex- extending southward from the intersection empt from regulation under section 203(b)(8) of the western and northern boundaries of of the act, is hereby defined to include the Upper Darby Township along Darby Creek to area east of a line extending in a generally Bishop Avenue, thence south along Bishop northerly and northwesterly direction from Avenue to Baltimore Pike, thence west along the Pacific Ocean along the western cor- Baltimore Pike to Pennsylvania Highway porate limits of Los Angeles to 258th Street, 320, thence south along Pennsylvania High- thence along 258th Street to the eastern cor- way 320 to the corporate limits of Chester, porate limits of Torrance, and thence along thence along the northern corporate limit of
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Chester in a westerly direction to the east- the Symmes-Sycamore Township line, ern boundary of Upper Chichester Township, thence in a southerly direction along the thence south to the southern boundary of Symmes-Sycamore Township line to its said township along the eastern boundary intersection with the Columbia Township thereof, and thence west along the southern line, thence in a westerly direction along boundary of said township to the Delaware Sycamore-Columbia Township line to Ma- State line, and thence south along the Dela- deira Township, thence in a clockwise direc- ware State line to the Delaware River, and tion around the boundary of Madeira Town- (b) The area in New Jersey included in the ship to the Sycamore-Columbia Township corporate limits of Camden, Gloucester City, line, thence in a westerly direction along Woodlynne, Merchantville, and Palmyra said township line to Silverton Township, Boroughs, and the area included in Pennsau- thence in a southerly direction along said ken Township in Camden County. corporate limits to junction with Redbank Road, thence in a southerly direction over Sec. 7 Cincinnati, Ohio. Redbank Road to the Cincinnati Corporate The zone adjacent to and commercially a limits. part of Cincinnati, Ohio, within which trans- That part of Kenton County, Ky., lying on portation by motor vehicle, in interstate or and north of a line commencing at the inter- foreign commerce, not under a common con- section of the Kenton-Boone County line and trol, management, or arrangement for a con- Dixie Highway (U.S. Highways 25 and 42), and tinuing carriage to or from a point beyond extending over said highway to the corporate the zone is partially exempt from regulation limits of Covington, Ky., including commu- under section 203(b)(8) of the Interstate Com- nities on the described line. merce Act (49 U.S.C. 203(b)(8)), includes and That part of Campbell County, Ky., lying is comprised of all points as follows: on and north of a line commencing at the Addyston, Ohio. Mariemont, Ohio. southern corporate limits of Newport, Ky., Cheviot, Ohio. North Bend, Ohio. and extending along Licking Pike (Kentucky Cincinnati, Ohio. Norwood, Ohio. Highway 9) to junction with Johns Hill Road, Cleves, Ohio. St. Bernard, Ohio. thence along Johns Hill Road to junction Elmwood Place, Covington, Ky. with Alexandria Pike (U.S. Highway 27), Ohio. Newport, Ky. thence northward along Alexandria Pike to Fairfax, Ohio. Cold Spring, Ky. junction with River Road (Kentucky High- That part of Ohio bounded by a line com- way 445), thence over the latter to the Ohio mencing at the intersection of the Colerain- River, including communities on the de- Springfield Township line and corporate lim- scribed line. its of Cincinnati, Ohio, and extending along That part of Boone County, Ky., bounded said township line in a northerly direction to by a line beginning at the Boone-Kenton its intersection with the Butler-Hamilton County line, thence in an easterly direction County line west of Erlanger, Ky., and ex- along said county line to its intersection tending in a northwesterly direction along with Ohio Highway 4, thence in a northerly Donaldson Highway to its intersection with direction along Ohio Highway 4 to its inter- Zig-Zag Road, thence along Zig-Zag Road to section with Seward Road, thence in a north- its intersection with Kentucky Highway 18, erly direction along said road to its intersec- thence along Kentucky Highway 18 to its tion with Port Union Road, thence east intersection with Kentucky Highway 237, along Port Union Road to the Fairfield thence along Kentucky Highway 237 to its Township-Union Township line, thence intersection with Kentucky Highway 20, and northward along said township line to its thence easterly along Kentucky Highway 20 intersection with the right-of-way of the to the Boone-Kenton County line. Pennsylvania Railroad Co., thence south- That part of Boone and Kenton Counties, easterly along the right-of-way of the Penn- Ky., bounded by a line commencing at the sylvania Railroad Co. to its intersection intersection of the Boone-Kenton County with Princeton-Glendale Road (Ohio High- line and U.S. Highway 42, and extending in a way 747), thence southward along said road southwesterly direction along U.S. Highway to its intersection with Mulhauser Road, 42 to its junction with Gunpowder Road, thence in an easterly direction along said thence southerly along Gunpowder Road to road to the terminus thereof west of the its junction with Sunnybrook Road, thence tracks of the Pennsylvania Railroad Co., easterly along Sunnybrook Road to its junc- thence continue in an easterly direction in a tion with Interstate Highway 75, thence in a straight line to Allen Road, thence along the straight line in a northeasterly direction to latter to the junction thereof with Cin- Richardson Road, thence in an easterly di- cinnati-Dayton Road, thence in a southerly rection over Richardson Road to its junction direction along Cincinnati-Dayton Road, to with Kentucky State Route 1303, thence in a the Butler, Hamilton County line, thence northerly direction over Kentucky State along said county line to the Warren-Hamil- Route 1303 to the southern boundary of Edge- ton County line in an easterly direction to wood, Kenton County, Ky.
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Sec. 8 Kansas City, Mo.-Kansas City, Kans. 119th Street, thence east along 119th Street to the corporate limits of Olathe, Kans., The zone adjacent to and commercially a thence south and east along the Olathe cor- part of Kansas City, Mo.-Kansas City, Kans., porate limits to Schlagel Road, thence south within which transportation by motor vehi- along Schlagel Road to Olathe Morse Road, cle, in interstate or foreign commerce, not thence west along Olathe Morse Road to the under a common control, management, or northeast corner of Johnson County arrangement for a continuing carriage to or Airportr, thence south, west, and north from a point beyond the zone is partially ex- along the boundaries of said airport to empt from regulation under section 203(b)(8) Pflumm Road, thence north along Pflumm of the Interstate Commerce Act (49 U.S.C. Road to its junction with Olathe Martin City 303(b)(8)), includes and is comprised of all Road, thence west along Olathe Martin City points as follows: Road to its junction with Murden Road, Beginning on the north side of the Mis- thence south along Murden Road to its junc- souri River at the western boundary line of tion with Olathe Morse Road (the corporate Parkville, Mo., thence along the western and boundary of Olathe, Kans.), thence west and northern boundaries of Parkville to the Kan- north along said corporate boundary to its sas City, Mo., corporate limits, thence along intersection with U.S. Highway 56, thence the western, northern, and eastern corporate southwest along U.S. Highway 56 to its junc- limits of Kansas City, Mo., to its junction tion with 159th Street. with U.S. Bypass 71 (near Liberty, Mo.), Thence west along 159th Street to its junc- thence along U.S. Bypass 71 to Liberty, tion with the Johnson County Industrial Air- thence along the northern and eastern port, thence south, west, north and east boundaries of Liberty to its junction with along the boundaries of said airport to the U.S. Bypass 71 south of Liberty, thence south point of beginning, on 159th Street, thence, along U.S. Bypass 71 to its junction with the east along 159th Street to its junction with Independence, Mo., corporate limits, thence U.S. Highway 56, thence northeast along U.S. along the eastern Independence, Mo., cor- Highway 56 to its junction with Parker Road, porate limits to its junction with Interstate thence north along Parker Road to the Highway 70, thence along Interstate High- northern boundary of Olathe, thence east way 70 to its junction with the Blue Springs, and north along the northern corporate lim- Mo., corporate limits, thence along the west- its of Olathe to Pickering Road, thence ern, northern, and eastern corporate limits north along Pickering Road to 107th Street of Blue Springs, Mo., to its junction with (the corporate boundary of Lenexa, Kans.), U.S. Highway 40, thence east along U.S. thence along the western and northern Highway 40 to its junction with Brizen-Dine boundaries of Lenexa to Pflumm Road, Road, thence south along the southerly ex- thence north along Pflumm Road to its junc- tension of Brizen-Dine Road to its junction tion with Kansas Highway 10, thence along with Missouri Highway AA, thence along Kansas Highway 10 to its junction with Kan- Missouri Highway AA to its junction with sas Highway 7, thence along an imaginary the Blue Springs, Mo., corporate limits, line due west across the Kansas River to the thence along the southern and western cor- Wyandotte County-Leavenworth County line porate limits of Blue Springs, Mo., to its (142d Street) at Loring, Kans., thence west- junction with U.S. Highway 40, thence west erly along County Route No. 82, a distance of along U.S. Highway 40 to its junction with three-fourths of a mile to the entrance of the the Lee’s Summit, Mo., corporate limits. facilities at Mid-Continent Underground Thence along the eastern Lee’s Summit Storage, Loring, thence from Loring in a corporate limits to the Jackson-Cass County northerly direction along Loring Lane and line, thence west along Jackson-Cass County Lindwood Avenue to the southern boundary line to the eastern corporate limits of of Bonner Springs, Kans. Belton, Mo., thence along the eastern, south- Thence along the southern, western, and ern, and western corporate limits of Belton northern boundaries of Bonner Springs to its to the western boundary of Richards-Gebaur intersection with Kansas Highway 7, thence Air Force Base, thence along the western southeast along Kansas Highway 7 to its boundary of said Air Force Base to Missouri junction with Kansas Highway 32, thence Highway 150, thence west along Missouri east on Kansas Highway 32 to the corporate Highway 150 to the Kansas-Missouri State boundary of Kansas City, Kans., thence line, thence north along the Kansas-Missouri north, west, and east along the corporate State line, to 110th Street, thence west along boundaries of Kansas City, Kans., to its junc- 110th Street to its junction with U.S. High- tion with Cernech Road and Pomeroy Drive, way 69, thence north along U.S. Highway 69 thence northwesterly along Pomeroy Drive to its junction with 103d Street, thence west to its junction with 79th Street, thence along along 103d Street to its junction with 79th Street to its junction with Walcotte Quivera Road (the corporate boundary of Drive at Pomeroy, Kans., thence due west 1.3 Lenexa, Kans.), thence along the eastern and miles to its junction with an unnamed road, southern boundaries of Lenexa to Black Bob thence north along such unnamed road to Road, thence south along Black Bob Road to the entrance of Powell Port facility, thence
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due north to the southern bank of the Mis- thence along the northern and western souri River, thence east along the southern boundaries of said airport to the southwest- bank of Missouri River to a point directly ern corner thereof, and thence south in a across from the western boundary of Park- straight line to the northern boundary of ville, Mo., thence across the Missouri River Davenport Township. to the point of beginning. (c)(1) That part of Iowa lying west of the municipal limits of Davenport south of Iowa Sec. 9 Boston, Mass. Highway 22, north of the Mississippi River For the purpose of administration and en- and east of the present western boundary of forcement of Part II of the Interstate Com- the Dewey Portland Cement Co., at Linwood, merce Act, the zone adjacent to and commer- including points on such boundaries, and (2) cially a part of Boston, Mass., and contig- that part of Iowa east of the municipal lim- uous municipalities in which transportation its of Bettendorf, south of U.S. Highway 67, by motor vehicle in interstate or foreign west of a private road running between U.S. commerce, not under a common control, Highway 67 and Riverside Power Plant of the management, or arrangement for a continu- Iowa-Illinois Gas & Electric Co., and north of ous carriage or shipment to or from a point the Mississippi River, including points on beyond the zone, will be partially exempt such boundaries. under section 203(b)(8) of the act from regula- (d) The municipalities of Carbon Cliff, tion, is hereby defined to include the follow- Silvis, East Moline, Moline, Rock Island, and ing: Milan, Ill., and that part of Illinois lying Boston, Mass. Cambridge, Mass. south or east of such municipalities, within Winthrop, Mass. Watertown, Mass. a line as follows: Beginning at a point where Chelsea, Mass. Brookline, Mass. Illinois Highway 84 crosses the southern mu- Revere, Mass. Newton, Mass. nicipal limits of Carbon Cliff and extending Everett, Mass. Needham, Mass. southerly along such highway to its junction Malden, Mass. Dedham, Mass. with Colona Road, thence westerly along Medford, Mass. Milton, Mass. Colona Road to Bowlesburg Road, thence Somerville, Mass. Quincy, Mass. southerly on Bowlesburg Road to the south- Sec. 10 Davenport, Iowa; Rock Island and ern boundary of Hampton Township, thence Moline, Ill. along the southern boundaries of Hampton and South Moline Townships to U.S. High- For the purpose of administration and en- way 150, thence southerly along U.S. High- forcement of Part II of the Interstate Com- way 150 to the southern boundary of the Mo- merce Act, the zones adjacent to and com- line Airport, thence along the southern and mercially a part of Davenport, Iowa, Rock western boundaries of the Moline Airport to Island and Moline, Ill., in which transpor- Illinois Highway 92, and thence along Illinois tation by motor vehicle, in interstate or for- Highway 92 to the corporate limits of Milan. eign commerce, not under a common con- (e) All points in Illinois within one-half trol, management, or arrangement for a con- mile on each side of Rock Island County tinuous carriage or shipment to or from a State Aid Route No. 9 extending southwest- point beyond such municipalities or zones, erly from the corporate limits of Milan for a will be partially exempt from regulation distance of 1 mile, including points on such under section 203(b)(8) of the act (49 U.S.C. highway. 303(b)(8) are hereby determined to be coex- tensive and to include and to be comprised of Sec. 11 Commercial zones of municipalities in the following: New Jersey within 5 miles of New York, N.Y. (a) All points within the corporate limits of the city of Davenport and the city of (a) The application of § 372.241 is hereby ex- Bettendorf, and in Davenport Township, tended to each municipality in New Jersey, Iowa. any part of which is within 5 miles of the (b) All points north of Davenport Township corporate limits of New York, N.Y. within that portion of Sheridan Township, (b) The exemption provided by section Iowa, bounded by a line as follows: Beginning 203(b)(8) of the Interstate Commerce Act, of at the points where U.S. Highway 61 crosses transportation by motor vehicle, in inter- the Davenport-Sheridan Township line and state or foreign commerce, performed wholly extending northward along U.S. Highway 61 within any commercial zone, the limits of to the right-of-way of the Chicago, Milwau- which are defined in paragraph (a) of this kee, St. Paul & Pacific Railroad Co., thence section, is hereby removed as to all such northwesterly along said right-of-way to its transportation except (1) transportation junction with the first east-west unnum- which is performed wholly between any two bered highway, thence westerly approxi- points in New Jersey, or (2) transportation mately 0.25 mile to its junction with a north- which is performed wholly between points in south unnumbered highway, thence south- New Jersey named in § 372.201, on the one erly along such unnumbered highway to the hand, and, on the other, points in New York northeast corner of Mount Joy Airport, named in § 372.201.
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Sec. 12 Commercial zones of municipalities in mon control, management, or arrangement Westchester and Nassau Counties, N.Y. for a continuous carriage or shipment to or from a point beyond the zone, is partially ex- (a) The application of § 372.241 is hereby ex- empt, under section 203(b)(8) of the Inter- tended to each municipality in Westchester state Commerce Act (49 U.S.C. 303(b)(8)), or Nassau Counties, N.Y. from regulation, includes, and is comprised (b) The exemption provided by section of, all points as follows: 203(b)(8) of the Interstate Commerce Act, of (a) The municipality of Albuqerque, N. transportation by motor vehicle, in inter- Mex., itself. state or foreign commerce, performed wholly (b) All points within a line drawn 5 miles within any commercial zone, the limits of beyond the corporate limits of Albuquerque, which are defined in paragraph (a) of this N. Mex. section, is hereby removed as to all such (c) All points in that area north of the line transportation except (1) transportation described in paragraph (b) of this section, which is performed wholly between points in bounded by a line as follows: Beginning at New York neither of which is New York City, the intersection of the line described in para- NY, or (2) transportation which is performed graph (b) of this section and New Mexico wholly between points in Westchester or Highway 528, extending in a northeasterly di- Nassau County named in § 372.201, on the one rection along New Mexico Highway 528 to its hand, and, on the other, New York City, intersection with New Mexico Highway 44, N.Y., or points in New Jersey named in thence easterly along New Mexico Highway § 372.201. 44 to its intersection with New Mexico High- Sec. 13 Tucson, Ariz. way 422, thence southerly along New Mexico Highway 422 to its intersection with the line That zone adjacent to and commercially a described in paragraph (b) of this section. part of Tucson, Ariz., within which transpor- (d) All of any municipality any part of tation by motor vehicle, in interstate or for- which is within the limits of the combined eign commerce, not under a common con- areas defined in paragraphs (b) and (c) of this trol, management, or arrangement for a con- section; tinuous carriage or shipment to or from a (e) All of any municipality wholly sur- point beyond the zone, is partially exempt, rounded, or so surrounded except for a water under section 203(b)(8) of the Interstate Com- boundary, by the city of Albuquerque, N. merce Act (49 U.S.C. 303(b)(8)) from regula- Mex., or by any municipality included under tion, includes, and is comprised of, all points the terms of paragraph (b) of this section. as follows: (a) The municipality of Tucson, Ariz., Sec. 18 Ravenswood, W. Va. itself. That zone adjacent to and commercially a (b) All points within a line drawn 5 miles part of Ravenswood, W. Va., within which beyond the corporate limits of Tucson, Ariz. transportation by motor vehicle, in inter- (c) All points in that area south of the line state or foreign commerce, not under com- described in paragraph (b) of this section, mon control, management, or arrangement bounded by a line as follows: Beginning at for a continuous carriage or shipment to or the point where the line described in para- from a point beyond the zone, is partially ex- graph (b) of this section, intersects Wilmot empt, under section 203(b)(8) of the Inter- Road, thence south along Wilmot Road to state Commerce Act (49 U.S.C. 303(b)(8)), junction Nogales Old Vail Connection, from regulation, includes, and is comprised thence west along Nogales Old Vail Connec- of, all points as follows: tion, actual or extended, to the Santa Cruz (a) The municipality of Ravenswood, W. River, thence north along the east bank of Va., itself. the Santa Cruz River to its joinder with the (b) All points within a line drawn 3 miles line described in paragraph (b) of this sec- beyond the corporate limits of Ravenswood, tion. W. Va., and (d) All of any municipality any part of (c) All points in West Virginia in that area which is within the limits of the combined south and southwest of those described in areas defined in paragraphs (b) and (c) of this paragraph (b) of this section, bounded by a section. line as follows: Beginning at the point where (e) All of any municipality wholly sur- the Ohio River meets the line described in rounded, or so surrounded except for a water paragraph (b) of this section southwest of boundary, by the city of Tucson or by any Ravenswood, thence southerly along the east municipality included under the terms of bank of the Ohio River to the point where paragraph (d) of this section. the mouth of the Lick Run River empties into the Ohio River; thence in a northeast- Sec. 14 Albuquerque, N. Mex. erly direction along the northern bank of the The zone adjacent to and commercially a Lick Run River to the point where it crosses part of Albuquerque, N. Mex., within which West Virginia Highway 2 south of Ripley transportation by motor vehicle, in inter- Landing, W. Va.; thence in a northerly direc- state or foreign commerce, not under a com- tion along West Virginia Highway 2 to its
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intersection with the line described in para- municipality any part of which lies within 5 graph (b) of this section west of Pleasant miles of such corporate limits; View, W. Va. (c) Those points in the town of Geddes, On- ondaga County, N.Y., which are not within 5 Sec. 19 Lake Charles, La. miles of the corporate limits of Syracuse, That zone adjacent to and commercially a N.Y.; part of Lake Charles, La., within which (d) Those points in the towns of Van Buren transportation by motor vehicle, in inter- and Lysander, Onondaga County, N.Y., not state or foreign commerce, not under com- within 5 miles of the corporate limits of Syr- mon control, management, or arrangement acuse, N.Y., and within an area bounded by a for a continuous carriage or shipment to or line beginning at the intersection of Van from a point beyond the zone, is partially ex- Buren Road with the line described in (b) empt, under section 203(b)(8) of the Inter- above, thence northwesterly along Van state Commerce Act (49 U.S.C. 303(b)(8)), Buren Road to its intersection with the from regulation, includes, and is comprised cleared right-of-way of Niagara Mohawk of, all points as follows: Power Company, thence northwesterly and (a) The municipality of Lake Charles La., north along said right-of-way to its intersec- itself; tion between Church Road and Emerick (b) All points within a line drawn 4 miles Road, with the cleared right-of-way of New beyond the corporate limits of Lake Charles, York State Power Authority, thence eas- La.; terly along said cleared right-of-way to its (c) All points in that area south and west intersection with the Seneca River, thence of the line described in paragraph (b) of this south along the Seneca River to its intersec- section, bounded by a line, as follows: begin- tion, near Gaskin Road, with the cleared ning at the point where the line described in right-of-way of Niagara Mohawk Power Com- paragraph (b) of this section intersects Lou- pany, thence southwesterly along said isiana Highway 385; thence south along Lou- cleared right-of-way to its intersection with isiana Highway 385 to its intersection with the eastern limits of the Village of the Calcasieu-Cameron Parish line; thence Baldwinsville, thence south along such Vil- west along the Calcasieu-Cameron Parish lage limits to their intersection with a line line to its intersection with Louisiana High- of railroad presently operated by the Erie- way 27; thence northerly along Louisiana Lackawanna Railroad Company, thence Highway 27 to a point thereon 2 miles south southeasterly along said line of railroad to of U.S. Highway 90; thence east along a line its intersection with the Van-Buren parallel to U.S. Highway 90 to Louisiana Lysander Town line, thence southeasterly Highway 108; thence north along Louisiana along the Van-Buren Lysander Town line to Highway 108 to junction U.S. Highway 90; its intersection with the Van-Buren Geddes thence east along U.S. Highway 90 to the Town line, thence southeasterly along the intersection thereof with the line described Van-Buren Geddes Town line to the line de- in paragraph (b) of this section; scribed in (b) above. (d) All of the municipality any part of which is within the limits of the combined Sec. 21 Baltimore, Md. areas in paragraphs (b) and (c) of this sec- tion; and The zone adjacent to and commercially a (e) All of any municipality wholly sur- part of Baltimore, Md., within which trans- rounded, or so surrounded except for a water portation by motor vehicle, in interstate or boundary, by the City of Lake Charles or by foreign commerce, not under a common con- any municipality included under the terms trol, management, or arrangement for a con- of paragraph (d) of this section. tinuous carriage to or from a point beyond the zone is partially exempt from regulation Sec. 20 Syracuse, N.Y. under section 203(b)(8) of the Interstate Com- The zone adjacent to and commercially a merce Act (49 U.S.C. 303(b)(8)) includes and it part of Syracuse, N.Y., within which trans- is comprised of all as follows: portation by motor vehicle, in interstate or (a) The municipality of Baltimore itself; foreign commerce, not under a common con- (b) All points within a line drawn 5 miles trol, management, or arrangement for a con- beyond the boundaries of Baltimore; tinuing carriage to or from a point beyond (c) All points in that area east of the line the zone is partially exempt from regulation described in paragraph (b) of this section under section 203(b)(8) of the Interstate Com- bounded by a line as follows: Beginning at merce Act (49 U.S.C. 303(b)(8)), includes and the point where the line described in para- is comprised of all points as follows: graph (b) of this section crosses Dark Head (a) The municipality of Syracuse, NY., Creek and extending in a southeasterly di- itself; rection along the center of Dark Head Creek (b) All other municipalities and unincor- and beyond to a point off Wilson Point, porated areas within 5 miles of the corporate thence in a northeasterly direction to and limits of Syracuse, N.Y., and all of any other along the center of Frog Mortar Creek to
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Stevens Road, thence northerly along Ste- 45) and continuing to a point 1,500 feet east vens Road to Eastern Avenue, thence eas- of Maryland Highway 45, thence southerly terly along Eastern Avenue to Bengies Road, along a line 1,500 feet east of the parallel to thence northwesterly along Bengies Road, to Maryland Highway 45 to its junction with the right-of-way of the Penn Central Trans- the line described in paragraph (b) of this portation Co., thence westerly along such section; right-of-way to the junction thereof with the (g) All points in that area west of the line line described in paragraph (b) of this sec- described in paragraph (b) of this section tion; bounded by a line as follows: Beginning at (d) All points in that area south of the line the point where the line described in para- described in paragraph (b) of this section, graph (b) of this section intersects U.S. High- bounded on the west by the right-of-way of way 40 west of Baltimore, Md., and extending the line of the Penn Central Transportation in a westerly direction along U.S. Highway Co., extending between Stony Run and Sev- 40 to its intersection with St. John’s Lane, ern, Md., and on the south by that part of thence southerly along St. John’s Lane to its Maryland Highway 176, extending easterly intersection with Maryland Highway 144, from the said railroad to its junction with thence easterly along Maryland Highway 144 the line described in paragraph (b) of this to its intersection with the line in paragraph section; (b) of this section; (e) All points in that area southwest of the (h) All of any municipality any part of line described in paragraph (b) of this sec- which is within the limits of the combined tion, bounded by a line as follows: Beginning areas defined in paragraphs (b), (c), (d), (e), at the point where the line described in para- (f), and (g) of this section; graph (b) of this section crosses the Balti- (i) All of any municipality wholly sur- more-Washington Expressway and extending rounded, or surrounded except for a water in a southwesterly direction along the Balti- boundary, by the city of Baltimore or by any more-Washington Expressway to its intersec- municipality included under the terms of (h) tion with Maryland Highway 176, thence above. westerly along Maryland Highway 176 to its intersection with the Howard-Anne Arundel Sec. 22 Cleveland, Ohio County line, thence southwesterly along said The zone adjacent to and commercially a county line to its intersection with Mary- part of Cleveland, Ohio, within which trans- land Highway 32, thence northwesterly along portation by motor vehicle, in interstate or Maryland Highway 32 to its intersection foreign commerce, not under a common con- with the Little Patuxent River, thence trol, management, or arrangement for a con- northerly along the Little Patuxent River to tinuous carriage to or from a point beyond the intersection of its north fork and its east the zone is partially exempt from regulation fork located approximately 1 mile north of under section 203(b)(8) of the Interstate Com- the intersection of Maryland Highway 32 and merce Act (49 U.S.C. 303(b)(8)) includes and it Berger Road, thence easterly along the east is comprised of all as follows: fork of the Little Patuxent River to its (a) All points in Cuyahoga County, Ohio, intersection with Broken Land Parkway, and thence southerly along Broken Land Park- (b) All points in Wickliffe, Willoughby way to its intersection with Snowden River Hills, Waite Hill, Willoughby, Willowick, Parkway, thence easterly along Snowden Eastlake, Lakeline, Timberlake, and Mentor, River Parkway, to its intersection with relo- Lake County, Ohio. cated Maryland Highway 175, thence south- easterly along relocated Maryland Highway Sec. 23 Detroit, Mich. 175, to its intersection with Lark Brown Road, thence northeasterly along Lark For the purpose of administration and en- Brown Road to its intersection with Mary- forcement of Part II of the Interstate Com- land Highway 175, thence southerly along merce Act, the zone adjacent to and commer- Maryland Highway 175 to its intersection cially a part of Detroit, Mich., in which with Interstate Highway 95, thence north- transportation by motor vehicle in inter- easterly along Interstate Highway 95 to its state or foreign commerce, not under a com- intersection with the line described in para- mon control, management, or arrangement graph (b) of this section; for a continuous carriage or shipment to or (f) All points in that area north of the line from a point beyond the zone, will be par- described in paragraph (b) of this section tially exempt under section 203(b)(8) of the bounded by a line as follows: Beginning at act (49 U.S.C. 303(b)(8)) from regulation, is the junction of the line described in para- hereby determined to include, and to be com- graph (b) of this section and the Baltimore- prised of, all that area within a line as fol- Harrisburg Expressway (Interstate Highway lows: 83), thence northerly along Interstate High- Beginning at a point on Lake St. Clair op- way 83 to its junction with Shawan Road, posite the intersection of Fifteen Mile Road thence easterly along Shawan Road to its and Michigan Highway 29 and extending junction with York Road (Maryland Highway south and southwest along the shore of Lake
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St. Clair, to the Detroit River, thence along Wash., and U.S. Highway 99, thence north such River (east of Belle Isle) and Trenton along U.S. Highway 99 to its junction with Channel to a point opposite Sibley Road, Washington Highway 525, thence along Wash- thence west to and along Sibley Road to ington Highway 525 to its junction with West Waltz Road, thence north along Waltz Road Casino Road, thence east along West Casino to Wick Road, thence west along Wick Road Road to the western boundary of the Everett to Cogswell Road, thence north along facilities of the Boeing Co. at or near 4th Av- Cogswell Road to Van Born Road, thence enue West, thence along the western, north- east along Van Born Road to Newburgh ern and eastern boundaries of the facilities Road, thence north along Newburgh Road to of the Boeing Co. to West Casino Road, its junction with Halsted Road, thence north thence east along West Casino Road to its along Halsted Road to West Maple Road, junction with U.S. Highway 99, thence south thence east along West Maple Road to Tele- along U.S. Highway 99 to 112th Street, graph Road, thence north along Telegraph thence easterly along 112th Street to its Road to Sixteen Mile Road, thence east junction with Interstate Highway 5, thence along Sixteen Mile Road to Utica Road, southerly along Interstate Highway 5 to its thence southeasterly along Utica Road to intersection with the present zone limits, in- Fifteen Mile Road (also called East Maple cluding all points on the named routes. Road), thence along Fifteen Mile Road and (e) All of any municipality any part of across Michigan Highway 29 to Lake St. which is within the limits set forth in (b) Clair, the point of beginning. above. Sec. 24 Seattle, Wash. (f) All of any municipality wholly sur- rounded, or so surrounded except for a water The zone adjacent to and commercially a boundary, by the city of Seattle or by any part of Seattle, Wash., within which trans- municipality included under the terms of (b) portation by motor vehicle, in interstate or above. foreign commerce, not under common con- trol, management, or arrangement for con- Sec. 25 Albany, N.Y. tinuous carriage or shipments to or from a For the purpose of administration and en- point beyond such zone, is partially exempt forcement of Part II of the Interstate Com- from regulation under section 203(b)(8) of the merce Act, the zone adjacent to and commer- Interstate Commerce Act (49 U.S.C. 303(b)(8)) cially a part of Albany, N.Y., in which trans- includes and is comprised of all points as fol- portation by motor vehicle in interstate or lows: foreign commerce, not under a common con- (a) The municipality of Seattle itself. trol, management, or arrangement for a con- (b) All points within a line drawn 5 miles tinuous carriage or shipment to or from a beyond the municipal limits of Seattle, ex- cept points on Bainbridge Island, Vashon Is- point beyond the zone, will be partially ex- land, and Blake Island. empt under section 203(b)(8) of the act (49 (c) All points more than 5 miles beyond the U.S.C. 303(b)(8)) from regulations, is hereby municipal limits of Seattle (1) within a line determined to include, and to be comprised as follows: Beginning at that point south of of, the following: Seattle where the eastern shore of Puget (a) The municipality of Albany itself, Sound intersects the line described in para- (b) All points within a line drawn 5 miles graph (b) of this section, thence southerly beyond the municipal limits of Albany, along the eastern shore of Puget Sound to (c) All points in that area more than 5 Southwest 192d Street, thence easterly along miles beyond the municipal limits of Albany Southwest 192d Street to the point where it bounded by a line as follows: Beginning at again intersects the line described in para- that point on Swatling Road (in the Town of graph (b) of this section; and (2) within a line Colonie) where it crosses the line described as follows: Beginning at the junction of the in (b) above and extending northerly along southern corporate limits of Kent, Wash., such road to the municipal limits of Cohoes, and Washington Highway 181, and extending thence along the western and northern south along Washington Highway 181 to the boundary of Cohoes to the Mohawk River, northern corporate limits of Auburn, Wash., thence along such river to the northern thence along the western, southern, and boundary of the Town of Waterford, thence eastern corporate limits of Auburn to the along the northern and eastern boundaries of junction of the northern corporate limits of the Town of Waterford to the northern Auburn and Washington Highway 167, thence boundary of the City of Troy (all of which northerly along Washington Highway 167 to city is included under the next following pro- its junction with the southern corporate lim- vision), its of Kent, Wash., including all points on (d) All of any municipality any part of the highways named. which is within the limits of the combined (d) All points more than 5 miles beyond the areas defined in (b) and (c) above, and municipal limits of Seattle within a line as (e) All of any municipality wholly sur- follows: Beginning at the junction of the rounded, or so surrounded except for a water northern corporate limits of Lynwood, boundary, by the municipality of Albany or
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by any other municipality included under corner of the village of Newport, thence the terms of (d) above. south and west along the eastern and south- ern boundaries of the village of Newport to Sec. 26 Minneapolis-St. Paul, Minn. U.S. Highway 61, thence southeasterly along The zone adjacent to and commercially a U.S. Highway 61, to the eastern boundary of part of Minneapolis-St. Paul, Minn, within the village of St. Paul Park, thence along which transportation by motor vehicle, in the eastern, southern, and western bound- interstate or foreign commerce, not under a aries of the village of St. Paul Park to a common control, management, or arrange- point on the Mississippi River opposite the ment for a continuous carriage to or from a southeast corner of the original village of point beyond the zone is partially exempt Inver Grove, thence westerly across the river from regulation under section 203(b)(8) of the and along the southern and western bound- Interstate Commerce Act (49 U.S.C. 303(b)(8)) aries of the original village of Inver Grove to includes and it is comprised of all as follows: the northwest corner of such village, thence Beginning at the intersection of Minnesota due north to the southern boundary of South Highway 36 and the Minnesota River and ex- St. Paul, thence north and west along the tending along the Minnesota River to the western and southern boundaries of South southwest corner of the city of Bloomington, St. Paul to the southeastern corner of West thence north along the western boundaries of St. Paul, thence west along the southern the city of Bloomington and the village of boundary of West St. Paul to County High- Edina to the southern boundary of the city way 63, thence south along County Highway of Hopkins, thence along the southern, west- 63 to its junction with County Highway 63A, ern, and northern boundaries of the city of thence west along County Highway 63A to its Hopkins to the western boundary of the city junction with Minnesota Highway 49, thence of St. Louis Park, thence north along the north along Minnesota Highway 49 to its western boundaries of the city of St. Louis junction with County Highway 28, thence Park and the village of Golden Valley to the west along County Highway 28 to its junc- southeast corner of the village of Plymouth, tion with Minnesota Highway 13, thence thence west along the southern boundary of southwest along Minnesota Highway 13 to its Plymouth to Interstate Highway 494, thence junction with Minnesota Highway 36, thence north along Interstate Highway 494 to Min- north and northwest along Minnesota High- nesota Highway 55, thence southeast along way 36 to the Minnesota River, the point of Minnesota Highway 55 to the western bound- beginning. ary of the village of Golden Valley, thence Sec. 27 New Orleans, La. north along the western boundaries of the villages of Golden Valley and New Hope to The zone adjacent to and commercially a the northwestern corner of the village of part of New Orleans, La., within which trans- New Hope, thence east along the northern portation by motor vehicle, in interstate or boundary of the village of New Hope and the foreign commerce, not under common con- city of Crystal to the western boundary of trol, management, or arrangement for a con- the village of Brooklyn Center, thence north tinuous carriage or shipment to or from a along the western boundary of the village of point beyond the zone is partially exempt Brooklyn Center to its northern boundary, from regulation under section 203(b)(8) of the thence east along such northern boundary to Interstate Commerce Act (49 U.S.C. the Hennepin County-Anoka County line, 303(b)(8)), includes and is comprised of all thence north along such county line to the points in the area bounded as follows: northwestern corner of the village of Spring Commencing at a point on the shore of Lake Park in Anoka County, thence east Lake Pontchartrain where it is crossed by along the northern boundary of the village of the Jefferson Parish-Orleans Parish line; Spring Lake Park to the northwest corner of thence easterly along the shore of Lake Mounds View Township in Ramsey County, Pontchartrain to the Rigolets; thence thence east and south along the northern through the Rigolets in an easterly direction and eastern boundaries of Mounds View to Lake Borgne; thence southwesterly along Township to the northwestern corner of the the shore of Lake Borgne to the Bayou village of Little Canada, thence east and Bienvenue; thence in a general westerly di- south along the northern and eastern bound- rection along the Bayou Bienvenue (which aries of Little Canada to the northwest cor- also constitutes the Orleans Parish-St. Ber- ner of the village of Maplewood, thence east nard Parish line) to Paris Road; thence in a and south along the northern and eastern southerly direction along Paris Road to the boundaries of the village of Maplewood to Back Protection Levee; thence in a south- the northeastern corner of the village of easterly direction along the Back Protection North St. Paul, thence south along the east- Levee (across Lake Borgne Canal) to a point ern boundary of the village of North St. Paul 1 mile north of Louisiana Highway 46; thence to the southeast corner of such village, in an easterly direction 1 mile north of Lou- thence south along the eastern boundary of isiana Highway 46 to longitude 89°50′ W.; the village of Maplewood to the northeastern thence south along longitude line 89°50′ W.
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(crossing Louisiana Highway 46 approxi- (d) The City of New Kensington and Bor- mately three-eighths of a mile east of Toca) ough of Arnold in Westmoreland County. to Forty Arpent Canal; thence westerly, northwesterly, and southerly along Forty Sec. 29 Portland, Oreg. Arpent Canal to Scarsdale Canal; thence For the purpose of administration and en- northwesterly along Scarsdale Canal and be- forcement of Part II of the Interstate Com- yond it in the same direction to the middle merce Act, the zone adjacent to and commer- of the Mississippi River; thence southerly cially a part of Portland, Oreg., in which along the middle of the Mississippi River to transportation by motor vehicle in inter- the Augusta Canal; thence in a westerly di- state or foreign commerce, not under a com- rection along the Augusta Canal to the Gulf mon control, management, or arrangement Intracoastal Waterway; thence in a north- for a continuous carriage or shipment to or erly direction along the middle of the Gulf from a point beyond the zone, will be par- Intracoastal Waterway (Harvey Canal) to the tially exempt under section 203(b)(8) of the point where Lapalco Boulevard runs per- act (49 U.S.C. 303(b)(8)) from regulation, is pendicular to the Gulf Intracoastal Water- hereby determined to include, and to be com- way (Harvey Canal); thence in a westerly di- prised of, the following: rection along Lapalco Boulevard to its junc- (a) The municipality itself. tion with Barataria Boulevard; thence north (b) All points in Oregon within a line on Barartaria Boulevard to a point approxi- drawn 5 miles beyond the corporate limits of mately 2 miles south of the Mississippi River Portland. where a high tension transmission line (c) All of any municipality any part of crosses Barataria Boulevard; thence in a which is within the line described in (b) westerly direction following such trans- above. mission line to the intersection thereof with (d) All of any municipality wholly sur- U.S. Highway 90; thence westerly along U.S. rounded, or so surrounded except for a water Highway 90 to the Jefferson Parish-St. boundary, by the city of Portland or by any Charles Parish line; thence north along such municipality included under the terms of (c) parish line to the middle of the Mississippi above. River; thence westerly along the middle of the Mississippi River to a point south of Sec. 30 Vancouver, Wash. Almedia Road; thence north to Almedia Road; thence in a northerly direction along For the purpose of administration and en- Almedia Road to its junction with Highway forcement of Part II of the Interstate Com- 61; thence north to the shore of Lake Pont- merce Act, the zone adjacent to and commer- chartrain; thence along the shore of Lake cially a part of Vancouver, Wash., in which Pontchartrain in an easterly direction to the transportation by motor vehicle in inter- Jefferson Parish-Orleans Parish line, the state or foreign commerce, not under a com- point of beginning. mon control, management, or arrangement for a continuous carriage or shipment to or Sec. 28 Pittsburgh, Pa. from a point beyond the zone, will be par- tially exempt under section 203(b)(8) of the For the purpose of administration and en- act (49 U.S.C. 303(b)(8)) from regulation, is forcement of Part II of the Interstate Com- hereby determined to include, and to be com- merce Act, the zone adjacent to and commer- prised of, the following: cially a part of Pittsburgh, Pa., in which transportation by motor vehicle in inter- (a) The municipality itself. state or foreign commerce, not under a com- (b) All points in Washington within a line mon control, management, or arrangement drawn 4 miles beyond the corporate limits of for a continuous carriage or shipment to or Vancouver. from a point beyond the zone, will be par- (c) All of any municipality any part of tially exempt under section 203(b)(8) of the which is within the line described in (b) act (49 U.S.C. 303(b)(8)) from regulation, is above. hereby determined to include, and to be com- (d) All of any municipality wholly sur- prised of, the following: rounded, or so surrounded except for a water (a) All points in Allegheny County, Pa., ex- boundary, by the City of Vancouver or by cept Forward, Elizabeth, South Versailles, any municipality included under the terms Marshall (including the Borough of Bradford of (c) above. Woods), Pine Richland, West Deer and Fawn Sec. 31 Charleston, S.C. Townships and that part of Frazer Township north of a line made by extending easterly in The zone adjacent to and commercially a a straight line the southern boundary of part of Charleston, S.C., within which trans- West Deer Township. portation by motor vehicle, in interstate or (b) Borough of Trafford situated in both foreign commerce, not under a common con- Alleghency and Westmoreland Counties; trol, management, or arrangement for a con- (c) Borough of Ambridge and Harmony tinuous carriage or shipment to or from a Township located in Beaver County; and point beyond the zone is partially exempt,
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under section 203(b)(8) of the Interstate Com- with West Virginia Highway 17 near 23⁄4 Mile merce Act (49 U.S.C. 303(b)(8)), from regula- Creek, thence westerly along a line one-half tion, includes and is comprised of, all points mile south of and parallel to West Virginia and places as follows: Highway 17 to the Coal River, thence north (a) The municipality of Charleston itself. along the center of the Coal River to West (b) All points within a line drawn 4 miles Virginia Highway 17, thence northerly along beyond the boundaries of Charleston. West Virginia Highway 17 to Scary Creek, (c) All points in that area north of the line near Scary, W. Va., thence east along Scary described in paragraph (b) of this section, Creek to the center of the Kanawha River, bounded by a line as follows: Beginning at thence northerly along the center of the the point where the line described in para- Kanawha River to a point opposite the graph (b) of this section crosses Cooper River mouth of Blake Creek (between Nitro and and extending in a northerly direction along Poca, W. Va.), thence easterly along a the center of Cooper River to Goose Creek; straight line drawn through the junction of thence north and west along the center of U.S. Highway 35 and West Virginia Highway Goose Creek to the dam of the reservoir of 25 to a point one-half mile beyond said junc- the Charleston waterworks; thence north- tion, thence southerly along a line one-half westerly along the west bank of the Charles- mile northeast of and parallel to West Vir- ton waterworks reservoir for approximately ginia Highway 25 to the junction of the line one mile to an unnamed creek; thence west- described in (b) above. erly along the center of this unnamed creek (d) All points in that area southeast of for approximately one mile to U.S. Highway those described in (b) above, bounded by a 52; thence northerly along U.S. Highway 52 line as follows: Beginning at a point on the to junction South Carolina Highway S–10–75; line described in (b) above one-half mile thence westerly along South Carolina High- south of the Kanawha River, thence easterly way S–10–75 approximately one and one half along a line one-half mile south of, and par- miles to a point one quarter mile west of the allel to, the Kanawha River to junction with track of the Southern Railway Company; a straight line intersecting the highway thence southeasterly along a line one quar- bridge at Chelyan, W. Va., thence northerly ter of a mile west of, and parallel to, the along said straight line across the Kanawha track of the Southern Railway Company to River to a point one-half mile north of the the junction thereof with the line described Kanawha River, thence westerly along a line in paragraph (b) of this section. one-half mile north of and parallel to the (d) All of any municipality any part of Kanawha River to the junction of the line which is within the limits of the combined described in (b) above. areas defined in paragraphs (1) and (c) of this (e) All of any municipality any part of section. which is within the limits of the combined (e) All of any municipality wholly sur- areas defined in (b), (c), and (d) above. rounded, or so surrounded except for a water boundary, by the city of Charleston or by Sec. 33 Memphis, Tenn. any municipality included under the terms That zone adjacent to and commercially a of paragraph (d) of this section. part of Memphis, Tenn., within which trans- portation by motor vehicle, in interstate or Sec. 32 Charleston, W. Va. foreign commerce, not under a common con- That zone adjacent to and commercially a trol management, or arrangement for a con- part of Charleston, W. Va., within which tinuous carriage or shipment to or from a transportation by motor vehicle, in inter- point beyond the zone, is partially exempt, state or foreign commerce, not under a com- under section 203(b)(8) of the Interstate Com- mon control, management, or arrangement merce Act (49 U.S.C. 303(b)(8)) from regula- for a continuous carriage or shipment to or tion, includes, and is comprised of, all points from a point beyond the zone, is partially ex- as follows: empt, under section 203(b)(8) of the Inter- (a) The municipality of Memphis, Tenn., state Commerce Act (49 U.S.C. 303(b)(8)), itself. from regulation, includes, and is comprised (b) All points within a line drawn 5 miles of, all points and places as follows: beyond the corporate limits of Memphis, (a) The municipality of Charleston, W. Va., Tenn. itself. (c) All points in that part of Shelby Coun- (b) All points within a line drawn 4 miles ty, Tenn., north of the line described in para- beyond the corporate limits of Charleston, graph (b) of this section, bounded by a line as W. Va. follows: Beginning at the intersection of the (c) All points in that area northwest of line described in paragraph (b) of this section those described in (b) above, bounded by a and U.S. Highway 51 north of Memphis, line as follows: Beginning at a point on the thence northeasterly along U.S. Highway 51 line described in (b) above, one-half mile for approximately 3 miles to its intersection south of U.S. Highway 60 west of Charleston, with Lucy Road, thence easterly along Lucy thence westerly along a line one-half mile Road for approximately 1.4 miles to its inter- south of the junction of U.S. Highway 60 section with Chase Road, thence northerly
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along Chase Road for approximately 0.6 mile Sec. 36 Warren, Ohio. to its intersection with Lucy Road thence The zone adjacent to and commercially a easterly along Lucy Road for approximately part of Warren, Ohio, within which transpor- 0.8 mile to its intersection with Main Road, tation by motor vehicle, in interstate or for- thence southereasterly along Main Road ap- eign commerce, not under a common con- proximately 0.3 mile to its intersection with trol, management, or arrangement for a con- Amherst Road, thence southerly and eas- tinuous carriage or shipment to or from a terly along Amherst Road for approximately point beyond the zone, is partially exempt, 0.8 mile to its intersection with Raleigh- under section 203(b)(8) of the Interstate Com- Millington Road, thence southerly along Ra- merce Act (49 U.S.C. 303(b)(8)) from regula- leigh-Millington Road for approximately 2 tion includes, and is comprised of, all points miles to its intersection with the line de- as follows: scribed in paragraph (b) of this section north of Memphis; (a) The municipality of Warren, Ohio, itself. (d) All of any municipality any part of (b) All points within a line drawn 4 miles which is within the limits of the combined beyond the corporate limits of Warren, Ohio. areas described in paragraphs (b) and (c) of this section. (c) All points in that area, south of the line in paragraph (b) of this section, bounded by Sec. 34 Houston, Tex. a line as follows: Beginning at the point where the line described in paragraph (b) of The zone adjacent to, and commercially a this section intersects Ellsworth-Baily Road, part of Houston, Tex., and contiguous mu- thence south along Ellsworth-Baily Road to nicipalities in which transportation by the Ohio Turnpike, thence southeast along motor vehicle, in interstate or foreign com- the Ohio Turnpike to New Hallock-Young merce, not under common control, manage- Road, thence northeast along New Hallock- ment, or arrangement for a continuous car- Young Road to Hallock-Young Road, thence riage or shipment to or from a point beyond east along Hallock-Young Road to junction the zone, will be partially exempt under sec- Ohio Highway 45 (Salem-Warren Road), tion 203(b)(8) of the act from regulation, is thence north along Ohio Highway 45 (Salem- hereby defined to include the area which Warren Road) to its intersection with the would result by application of the general line described in paragraph (b) of this sec- formula promulgated in § 372.241, and in addi- tion. tion thereto, the municipalities of Baytown, La Porte and Lomax, Tex. Sec. 37 Louisville, Ky.
Sec. 35 Pueblo, Colo. The zone adjacent to and commercially a part of Louisville, Ky., within which trans- The zone adjacent to and commercially a portation by motor vehicle, in interstate or part of Pueblo, Colo., within which transpor- foreign commerce, not under a common con- tation by motor vehicle, in interstate or for- trol, management, or arrangement for a con- eign commerce, not under a common con- tinuous carriage or shipment to or from a trol, management, or arrangement for a con- point beyond such zone, is partially exempt tinuous carriage or shipment to or from a from regulation under section 203(b)(8) of the point beyond such zone is partially exempt Interstate Commerce Act (49 U.S.C. 303(b)(8)) from regulation under section 203(b)(8) of the includes and is comprised of all points as fol- Interstate Commerce Act (49 U.S.C. lows: 303(b)(8)), includes and is comprised of all (a) The municipality of Louisville, Ky., points as follows: itself; (a) the municipality of Pueblo, Colo., (b) All other municipalities and unincor- itself; porated areas within 5 miles of the corporate (b) All points within a line drawn 4 miles limits of Louisville, Ky., and all of any mu- beyond the corporate limits of Pueblo, Colo.: nicipality any part of which lies within 5 (c) All of the area known as the Pueblo Me- miles of such corporate limits; and morial Airport, consisting of about 3,500 (c) Those points not within 5 miles of the acres, not within 4 miles of the corporate corporate limits of Louisville, Ky., and with- limits of Pueblo, Colo., and within an area in an area bounded by a line beginning at the located on the East of Pueblo, the nearest junction of Kentucky Highway 146 (La- point being about 3.80 miles from the city Grange Road) and Kentucky Highway 1447 limits of Pueblo, and bounded on the south (Westport Road), thence over Kentucky by the tracks of the Santa Fe Railroad and Highway 146 to the junction of Kentucky the Missouri Pacific Railroad, and a public Highway 146 and Kentucky Highway 841 (Jef- highway known as Baxter Road and des- ferson Freeway), thence over Kentucky ignated as U.S. Highway 50 Bypass and Colo- Highway 841 to the junction of Kentucky rado Highway 96, with such property extend- Highway 841 and Kentucky Highway 1447, ing north, west, and east of the described thence over Kentucky Highway 1447 to junc- southern base line. tion Kentucky Highway 1447 and Kentucky
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Highway 146, the point of beginning, all west right-of-way line of State Highway 87; within Jefferson County, Ky. thence southerly along the west right-of-way line of State Highway 87 to the north right- Sec. 38 Sioux City, Iowa. of-way line of Interstate Highway 10; thence The zone adjacent to and commercially a westerly along the north right-of-way line of part of Sioux City, Iowa, within which trans- Interstate Highway 10 to intersection with portation by motor vehicle, in interstate or the line described in paragraph (a) of this foreign commerce, not under a common con- section; thence along the line described in trol, management, or arrangement for a con- paragraph (a) of this section, to the point of tinuous carriage or shipment to or from a beginning. point beyond such zone, is partially exempt from regulation under section 203(b)(8) of the Sec. 40 Metropolitian Government of Nashville Interstate Commerce Act (49 U.S.C. 303(b)(8)) and Davidson County, Tenn. includes and is comprised of all points as fol- The zone adjacent to and commercially a lows: part of the Metropolitan Government of (a) The area which would result by applica- Nashville and Davidson County, Tenn, with- tion of the general formula promulgated in in which transportation by motor vehicle, in § 372.241; and, in addition thereto, interstate or foreign commerce, not under a (b) That area bounded by a line beginning common control, management, or arrange- at the intersection of Interstate Highway 29 ment for a continuous carriage or shipment and the line described in paragraph (a) of to or from a point beyond the zone, is par- this section, and extending southeasterly tially exempt from regulation under section along Interstate Highway 29 to its intersec- 203(b)(8) of the Interstate Commerce Act (49 tion with the Liberty-Lakeport Township, U.S.C. 303(b)(8)) includes and is comprised of Iowa, line, thence westerly along the Lib- all points as follows: erty-Lakeport Township, Iowa, line to the (a) The Metropolitan Government of Nash- Missouri River, thence northerly along the ville and Davidson County itself. east bank of the Missouri River to its inter- (b) All of any municipality wholly sur- section with the line described in paragraph rounded, or so surrounded except for a water (a) of this section, thence along the line de- boundary, by the Metropolitan Government scribed in paragraph (a) of this section, to of Nashville and Davidson County. the point of beginning. Sec. 41 Consolidated City of Indianapolis, Ind. Sec. 39 Beaumont, Tex. The zone adjacent to and commercially a The zone adjacent to and commercially a part of the Consolidated City of Indianapolis, part of Beaumont, Tex., within which trans- Ind., within which transportation by motor portation by motor vehicle, in interstate or vehicle, in interstate or foreign commerce, foreign commerce, not under a common con- not under a common control, management, trol, management, or arrangement for a con- or arrangement for a continuous carriage or tinuous carriage or shipment to or from a shipment to or from a point beyond the zone, point beyond such zone, is partially exempt is partially exempt from regulation under from regulation under section 203(b)(8) of the section 203(b)(8) of the Interstate Commerce Interstate Commerce Act (49 U.S.C. 303(b)(8)) Act (49 U.S.C. 303(b)(8) includes and is com- includes and is comprised of all points as fol- prised of all points as follows: lows: (a) The Consolidated City of Indianapolis, (a) The areas which would result by appli- Ind., itself. cation of the general formula promulgated in (b) All of any municipality wholly sur- § 372.241 for Beaumont, Tex.; and in addition rounded or so surrounded except for a water thereto, boundary, by the Consolidated City of Indi- (b) That area bounded by a line beginning anapolis. at that point where the west bank of Hillebrandt Bayou intersects the line de- Sec. 42 Lexington-Fayette Urban County, Ky. scribed in paragraph (a) of this section; thence along the west bank of Hillebrandt The zone adjacent to and commercially a Bayou to its confluence with Taylors Bayou: part of Lexington-Fayette Urban County, thence in a southeasterly direction along the Ky., within which transporation by motor west and south banks of Taylors Bayou to its vehicle, in interstate or foreign commerce, confluence with the Intracoastal Waterway; not under a common control, management, thence along the west and north banks of the or arrangement for a continuous carriage or Intra-coastal Waterway to its confluence shipment to or from a point beyond the zone, with Sabine River and Sabine Lake at a is partially exempt from regulation under point immediately east of Groves; thence in section 203(b)(8) of the Interstate Commerce a northeasterly direction along the north Act (49 U.S.C. 303(b)(8)) includes and is com- and west banks of Sabine Lake and Sabine prised of all points as follows: River to the Orange-Newton County line; (a) Lexington-Fayette Urban County, Ky., thence westerly along said county line to the itself.
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(b) All other municipalities and unincor- (3) When the base municipality has a popu- porated areas within 5 miles of the intersec- lation of 25,000 but less than 100,000, all unin- tion of U.S. Highway 27 (Nicholasville Road) corporated areas within 4 miles of its cor- with the corporate boundary line between porate limits and all of any other municipal- Jessamine County, Ky., and Lexington-Fay- ity any part of which is within 4 miles of the ette Urban County, Ky. corporate limits of the base municipality, and Sec. 43 Definitions. (4) When the base municipality has a popu- For the purposes of this part, the following lation of 100,000 or more, all unincorporated terms are defined: areas within 5 miles of its corporate limits (a) ‘‘Municipality’’ means any city, town, and all of any other municipality any part of village, or borough which has been created which is within 5 miles of the corporate lim- by special legislative act or which has been, its of the base municipality, and otherwise, individually incorporated or char- (d) All municipalities wholly surrounded, tered pursuant to general State laws, or or so surrounded except for a water bound- which is recognized as such, under the Con- ary, by the base municipality, by any mu- stitution or by the laws of the State in which nicipality contiguous thereto, or by any mu- located, and which has a local government. nicipality adjacent thereto which is included It does not include a town of the township or in the commercial zone of such base munici- New England type. pality under the provisions of paragraph (c) (b) ‘‘Contiguous municipalities’’ means of this section. municipalities, as defined in paragraph (a) of NOTE: Except: Municipalities the commer- this section, which have at some point a cial zones of which have been or are here- common municipal or corporate boundary. after individually or specially determined. (c) ‘‘Unincorporated area’’ means any area not within the corporate or municipal Sec. 45 Controlling distances and population boundaries of any municipality as defined in data. paragraph (a) of this section. In the application of § 372.241: Sec. 44 Commercial zones determined generally, (a) Air-line distances or mileages about with exceptions. corporate limits of municipalities shall be The commercial zone of each municipality used. in the United States, with the exceptions in- (b) The population of any municipality dicated in the note at the end of this section, shall be deemed to be the highest figure within which the transportation of pas- shown for that municipality in any decennial sengers or property, in interstate or foreign census since (and including) the 1940 decen- commerce, when not under a common con- nial census. trol, management, or arrangement for a con- [53 FR 18058, May 19, 1988, as amended at 62 tinuous carriage or shipment to or from a FR 49942, Sept. 24, 1997] point without such zone, is exempt from all provisions of Part II, Interstate Commerce APPENDIX G TO SUBCHAPTER B—MINI- Act, except the provisions of section 204 rel- MUM PERIODIC INSPECTION STAND- ative to the qualifications and maximum ARDS hours of service of employees and safety of operation or standards of equipment shall be A vehicle does not pass an inspection if it deemed to consist of: has one of the following defects or defi- (a) The municipality itself, hereinafter ciencies: called the base municipality; 1. Brake System. (b) All municipalities which are contiguous a. Service brakes.—(1) Absence of braking to the base municipality; action on any axle required to have brakes (c) All other municipalities and all unin- upon application of the service brakes (such corporated area within the United States as missing brakes or brake shoe(s) failing to which are adjacent to the base municipality move upon application of a wedge, S-cam, as follows: cam, or disc brake). (1) When the base municipality has a popu- (2) Missing or broken mechanical compo- lation less than 2,500 all unincorporated nents including: shoes, lining, pads, springs, areas within two miles of its corporate lim- anchor pins, spiders, cam rollers, push-rods, its and all of any other municipality any and air chamber mounting bolts. part of which is within two miles of the cor- (3) Loose brake components including air porate limits of the base municipality, chambers, spiders, and cam shaft support (2) When the base municipality has a popu- brackets. lation of 2,500 but less than 25,000, all unin- (4) Audible air leak at brake chamber (Ex- corporated areas within 3 miles of its cor- ample-ruptured diaphragm, loose chamber porate limits and all of any other municipal- clamp, etc.). ity any part of which is within 3 miles of the (5) Readjustment limits. The maximum corporate limits of the base municipality, stroke at which brakes should be readjusted
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is given below. Any brake 1⁄4″ or more past brakes, and less than 1⁄8 inch for air disc the readjustment limit or any two brakes brakes. less than 1⁄4″ beyond the readjustment limit (d) Steering axles: Lining with a thickness shall be cause for rejection. Stroke shall be less than 1⁄4 inch at the shoe center for drum measured with engine off and reservoir pres- brakes, less than 1⁄8 inch for air disc brakes sure of 80 to 90 psi with brakes fully applied. and 1⁄16 inch or less for hydraulic disc and electric brakes. BOLT TYPE BRAKE CHAMBER DATA (7) Missing brake on any axle required to have brakes. Maximum (8) Mismatch across any power unit steer- stroke at ing axle of: Effective Outside which Type area (sq. dia. (in.) brakes (a) Air chamber sizes. in.) should be (b) Slack adjuster length. readjusted b. Parking Brake System. No brakes on the vehicle or combination are applied upon ac- A ...... 12 615¤16 13¤8 tuation of the parking brake control, includ- B ...... 24 93¤16 13¤4 C ...... 16 81¤16 13¤4 ing driveline hand controlled parking D ...... 6 51¤4 11¤4 brakes. E ...... 9 63¤16 13¤8 c. Brake Drums or Rotors. F ...... 36 11 21¤4 (1) With any external crack or cracks that G ...... 30 97¤8 2 open upon brake application (do not confuse short hairline heat check cracks with flex- ROTOCHAMBER DATA ural cracks). (2) Any portion of the drum or rotor miss- Maximum ing or in danger of falling away. Effective stroke at d. Brake Hose. Outside which (1) Hose with any damage extending Type area (sq. dia. (in.) brakes in.) should be through the outer reinforcement ply. (Rub- readjusted ber impregnated fabric cover is not a rein- forcement ply). (Thermoplastic nylon may 9 1 9 ...... 9 4 ¤32 1 ¤2 have braid reinforcement or color difference 12 ...... 12 413¤16 11¤2 between cover and inner tube. Exposure of 16 ...... 16 513¤32 2 20 ...... 20 515¤16 2 second color is cause for rejection. 24 ...... 24 613¤32 2 (2) Bulge or swelling when air pressure is 30 ...... 30 71¤16 21¤4 applied. 36 ...... 36 75¤8 23¤4 (3) Any audible leaks. 50 ...... 50 87¤8 3 (4) Two hoses improperly joined (such as a splice made by sliding the hose ends over a piece of tubing and clamping the hose to the CLAMP TYPE BRAKE CHAMBER DATA tube). Maximum (5) Air hose cracked, broken or crimped. Effective stroke at e. Brake Tubing. Outside which (1) Any audible leak. Type area (sq. dia. (in.) brakes in.) should be (2) Tubing cracked, damaged by heat, bro- readjusted ken or crimped. f. Low Pressure Warning Device missing, in- 6 ...... 6 41¤2 11¤4 operative, or does not operate at 55 psi and 9 ...... 9 51¤4 13¤8 below, or 1⁄2 the governor cut-out pressure, 12 ...... 12 511¤16 13¤8 whichever is less. 16 ...... 16 63¤8 13¤4 g. Tractor Protection Valve. Inoperable or 20 ...... 20 625¤32 13¤4 24 ...... 24 77¤32 1 13¤4 missing tractor protection valve(s) on power 30 ...... 30 83¤32 2 unit. 36 ...... 36 9 21¤4 h. Air Compressor. 1 (2″ for long stroke design). (1) Compressor drive belts in condition of impending or probable failure. Wedge Brake Data.— Movement of the (2) Loose compressor mounting bolts. scribe mark on the lining shall not exceed 1⁄16 (3) Cracked, broken or loose pulley. inch. (4) Cracked or broken mounting brackets, (6) Brake linings or pads. braces or adapters. (a) Lining or pad is not firmly attached to i. Electric Brakes. the shoe; (1) Absence of braking action on any wheel (b) Saturated with oil, grease, or brake required to have brakes. fluid; or (2) Missing or inoperable breakaway brak- (c) Non-steering axles: Lining with a thick- ing device. ness less than 1⁄4 inch at the shoe center for j. Hydraulic Brakes. (Including Power Assist air drum brakes, 1⁄16 inch or less at the shoe Over Hydraulic and Engine Drive Hydraulic center for hydraulic and electric drum Booster).
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(1) Master cylinder less than 1⁄4 full. b. Pintle Hooks. (2) No pedal reserve with engine running (1) Mounting to frame. except by pumping pedal. (a) Any missing or ineffective fasteners (a (3) Power assist unit fails to operate. fastener is not considered missing if there is (4) Seeping or swelling brake hose(s) under an empty hole in the device but no cor- application of pressure. responding hole in the frame or vice versa). (5) Missing or inoperative check valve. (b) Mounting surface cracks extending (6) Has any visually observed leaking hy- from point of attachment (e.g., cracks in the draulic fluid in the brake system. frame at mounting bolt holes). (7) Has hydraulic hose(s) abraded (chafed) (c) Loose mounting. through outer cover-to-fabric layer. (d) Frame cross member providing pintle (8) Fluid lines or connections leaking, re- hook attachment cracked. stricted, crimped, cracked or broken. (2) Integrity. (9) Brake failure or low fluid warning light (a) Cracks anywhere in pintle hook assem- on and/or inoperative. bly. k. Vacuum Systems. Any vacuum system (b) Any welded repairs to the pintle hook. which: (c) Any part of the horn section reduced by (1) Has insufficient vacuum reserve to per- more than 20%. mit one full brake application after engine is (d) Latch insecure. shut off. c. Drawbar/Towbar Eye. (2) Has vacuum hose(s) or line(s) restricted, (1) Mounting. abraded (chafed) through outer cover to cord (a) Any cracks in attachment welds. ply, crimped, cracked, broken or has collapse (b) Any missing or ineffective fasteners. of vacuum hose(s) when vacuum is applied. (2) Integrity. (3) Lacks an operative low-vacuum warn- (a) Any cracks. ing device as required. (b) Any part of the eye reduced by more 2. Coupling devices. than 20%. a. Fifth Wheels. d. Drawbar/Towbar Tongue. (1) Mounting to frame. (1) Slider (power or manual). (a) Any fasteners missing or ineffective. (a) Ineffective latching mechanism (b) Any movement between mounting com- (b) Missing or ineffective stop. ponents. (c) Movement of more than 1⁄4 inch between (c) Any mounting angle iron cracked or slider and housing. broken. (d) Any leaking, air or hydraulic cylinders, (2) Mounting plates and pivot brackets. hoses, or chambers (other than slight oil (a) Any fasteners missing or ineffective. weeping normal with hydraulic seals). (b) Any welds or parent metal cracked. (2) Integrity. (c) More than 3⁄8 inch horizontal movement (a) Any cracks. between pivot bracket pin and bracket. (b) Movement of 1⁄4 inch between subframe (d) Pivot bracket pin missing or not se- and drawbar at point of attachment. cured. e. Safety Devices. (3) Sliders. (1) Safety devices missing. (a) Any latching fasteners missing or inef- (2) Unattached or incapable of secure at- fective. tachment. (b) Any fore or aft stop missing or not se- (3) Chains and hooks. curely attached. (a) Worn to the extent of a measurable re- (c) Movement more than 3⁄8 inch between duction in link cross section. slider bracket and slider base. (b) Improper repairs including welding, (d) Any slider component cracked in parent wire, small bolts, rope and tape. metal or weld. (4) Cable. (4) Lower coupler. (a) Kinked or broken cable strands. (a) Horizontal movement between the (b) Improper clamps or clamping. upper and lower fifth wheel halves exceeds 1⁄2 f. Saddle-Mounts. inch. (1) Method of attachment. (b) Operating handle not in closed or (a) Any missing or ineffective fasteners. locked position. (b) Loose mountings. (c) Kingpin not properly engaged. (c) Any cracks or breaks in a stress or load (d) Separation between upper and lower bearing member. coupler allowing light to show through from (d) Horizontal movement between upper side to side. and lower saddle-mount halves exceeds 1⁄4 (e) Cracks in the fifth wheel plate. inch. Exceptions: Cracks in fifth wheel approach 3. Exhaust System. ramps and casting shrinkage cracks in the a. Any exhaust system determined to be ribs of the body of a cast fifth wheel. leaking at a point forward of or directly (f) Locking mechanism parts missing, bro- below the driver/sleeper compartment. ken, or deformed to the extent the kingpin is b. A bus exhaust system leaking or dis- not securely held. charging to the atmosphere:
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(1) Gasoline powered—excess of 6 inches (2) Any motion, other than rotational, be- forward of the rearmost part of the bus. tween any linkage member and its attach- (2) Other than gasoline powered—in excess ment point of more than 1⁄4 inch. of 15 inches forward of the rearmost part of h. Tie Rods and Drag Links. the bus. (1) Loose clamp(s) or clamp bolt(s) on tie (3) Other than gasoline powered—forward rods or drag links. of a door or window designed to be opened. (2) Any looseness in any threaded joint. (exception: Emergency exits). i. Nuts. Nut(s) loose or missing on tie rods, c. No part of the exhaust system of any pitman arm, drag link, steering arm or tie motor vehicle shall be so located as would be rod arm. likely to result in burning, charring, or dam- j. Steering System. Any modification or aging the electrical wiring, the fuel supply, other condition that interferes with free or any combustible part of the motor vehi- movement of any steering component. cle. 8. Suspension. 4. Fuel System. a. Any U-bolt(s), spring hanger(s), or other a. A fuel system with a visable leak at any axle positioning part(s) cracked, broken, point. loose or missing resulting in shifting of an b. A fuel tank filler cap missing. axle from its normal position. (After a turn, c. A fuel tank not securely attached to the lateral axle displacement is normal with motor vehicle by reason of loose, broken or some suspensions. Forward or rearward oper- missing mounting bolts or brackets (some ation in a straight line will cause the axle to fuel tanks use springs or rubber bushings to return to alignment). permit movement). b. Spring Assembly. 5. Lighting Devices. All lighting devices and (1) Any leaves in a leaf spring assembly reflectors required by Section 393 shall be op- broken or missing. erable. (2) Any broken main leaf in a leaf spring 6. Safe Loading. assembly. (Includes assembly with more a. Part(s) of vehicle or condition of loading than one main spring). such that the spare tire or any part of the (3) Coil spring broken. load or dunnage can fall onto the roadway. (4) Rubber spring missing. b. Protection Against Shifting Cargo—Any (5) One or more leaves displaced in a man- vehicle without a front-end structure or ner that could result in contact with a tire, equivalent device as required. rim, brake drum or frame. 7. Steering Mechanism. (6) Broken torsion bar spring in a torsion a. Steering Wheel Free Play (on vehicles bar suspension. equipped with power steering the engine must be (7) Deflated air suspension, i.e., system running). failure, leak, etc. c. Torque, Radius or Tracking Components. Manual Power Any part of a torque, radius or tracking Steering wheel diameter steering steering component assembly or any part used for at- system system taching the same to the vehicle frame or
16″ ...... 2″ 41¤2″ axle that is cracked, loose, broken or miss- 18″ ...... 21¤4″ 43¤4″ ing. (Does not apply to loose bushings in 20″ ...... 21¤2″ 51¤4″ torque or track rods.) ″ 3 ″ 3 ″ 22 ...... 2 ¤4 5 ¤4 9. Frame. a. Frame Members. b. Steering Column. (1) Any cracked, broken, loose, or sagging (1) Any absence or looseness of U-bolt(s) or frame member. positioning part(s). (2) Any loose or missing fasteners includ- (2) Worn, faulty or obviously repair welded ing fasteners attaching functional compo- universal joint(s). nent such as engine, transmission, steering (3) Steering wheel not properly secured. gear, suspension, body parts, and fifth wheel. c. Front Axle Beam and All Steering Compo- b. Tire and Wheel Clearance. Any condition, nents Other Than Steering Column. including loading, that causes the body or (1) Any crack(s). frame to be in contact with a tire or any (2) Any obvious welded repair(s). part of the wheel assemblies. d. Steering Gear Box. c. (1) Adjustable Axle Assemblies (Sliding Sub- (1) Any mounting bolt(s) loose or missing. frames). Adjustable axle assembly with lock- (2) Any crack(s) in gear box or mounting ing pins missing or not engaged. brackets. 10. Tires. e. Pitman Arm. Any looseness of the pitman a. Any tire on any steering axle of a power arm on the steering gear output shaft. unit. f. Power Steering. Auxiliary power assist (1) With less than 4⁄32 inch tread when cylinder loose. measured at any point on a major tread g. Ball and Socket Joints. groove. (1) Any movement under steering load of a (2) Has body ply or belt material exposed stud nut. through the tread or sidewall.
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(3) Has any tread or sidewall separation. (4) Any welded repair other than disc to (4) Has a cut where the ply or belt material rim attachment on steel disc wheel(s) is exposed. mounted on the steering axle. (5) Labeled ‘‘Not for Highway Use’’ or dis- 12. Windshield Glazing. (Not including a 2 playing other marking which would exclude inch border at the top, a 1 inch border at use on steering axle. each side and the area below the topmost (6) A tube-type radial tire without radial portion of the steering wheel.) Any crack, tube stem markings. These markings include discoloration or vision reducing matter ex- a red band around the tube stem, the word cept: (1) coloring or tinting applied at time ‘‘radial’’ embossed in metal stems, or the of manufacture; (2) any crack not over 1⁄4 word ‘‘radial’’ molded in rubber stems. inch wide, if not intersected by any other (7) Mixing bias and radial tires on the same crack; (3) any damaged area not more than 3⁄4 axle. inch in diameter, if not closer than 3 inches (8) Tire flap protrudes through valve slot to any other such damaged area; (4) labels, in rim and touches stem. stickers, decalcomania, etc. (see 393.60 for (9) Regrooved tire except motor vehicles exceptions). used solely in urban or suburban service (see 13. Windshield Wipers. Any power unit that exception in 393.75(e). has an inoperative wiper, or missing or dam- (10) Boot, blowout patch or other ply re- aged parts that render it ineffective. pair. (11) Weight carried exceeds tire load limit. COMPARISON OF APPENDIX G, AND THE NEW This includes overloaded tire resulting from NORTH AMERICAN UNIFORM DRIVER-VEHICLE low air pressure. INSPECTION PROCEDURE (NORTH AMERICAN (12) Tire is flat or has noticeable (e.g., can COMMERCIAL VEHICLE CRITICAL SAFETY IN- be heard or felt) leak. SPECTION ITEMS AND OUT-OF-SERVICE CRI- (13) Any bus equipped with recapped or TERIA) retreaded tire(s). The vehicle portion of the FHWA’s North (14) So mounted or inflated that it comes American Uniform Driver-Vehicle Inspection in contact with any part of the vehicle. Procedure (NAUD–VIP) requirements, b. All tires other than those found on the CVSA’s North American Commercial Vehicle steering axle of a power unit: Critical Safety Inspection Items and Out-Of- (1) Weight carried exceeds tire load limit. Service Criteria and Appendix G of sub- This includes overloaded tire resulting from chapter B are similar documents and follow low air pressure. the same inspection procedures. The same (2) Tire is flat or has noticeable (e.g., can items are required to be inspected by each be heard or felt) leak. document. FHWA’s and CVSA’s out-of-serv- (3) Has body ply or belt material exposed ice criteria are intended to be used in ran- through the tread or sidewall. dom roadside inspections to identify critical (4) Has any tread or sidewall separation. vehicle inspection items and provide criteria (5) Has a cut where ply or belt material is for placing a vehicle(s) out-of-service. A ve- exposed. hicle(s) is placed out-of-service only when by (6) So mounted or inflated that it comes in reason of its mechanical condition or loading contact with any part of the vehicle. (This it is determined to be so imminently hazard- includes a tire that contacts its mate.) ous as to likely cause an accident or break- (7) Is marked ‘‘Not for highway use’’ or down, or when such condition(s) would likely otherwise marked and having like meaning. contribute to loss of control of the vehicle(s) (8) With less than 2⁄32 inch tread when by the driver. A certain amount of flexibility measured at any point on a major tread is given to the inspecting official whether to groove. place the vehicle out-of-service at the in- 11. Wheels and Rims. spection site or if it would be less hazardous a. Lock or Side Ring. Bent, broken, cracked, to allow the vehicle to proceed to a repair fa- improperly seated, sprung or mismatched cility for repair. The distance to the repair ring(s). facility must not exceed 25 miles. The road- b. Wheels and rims. Cracked or broken or side type of inspection, however, does not has elongated bolt holes. necessarily mean that a vehicle has to be de- c. Fasteners (both spoke and disc wheels). fect-free in order to continue in service. Any loose, missing, broken, cracked, In contrast, the Appendix G inspection pro- stripped or otherwise ineffective fasteners. cedure requires that all items required to be d. Welds. inspected are in proper adjustment, are not (1) Any cracks in welds attaching disc defective and function properly prior to the wheel disc to rim. vehicle being placed in service. (2) Any crack in welds attaching tubeless DIFFERENCES BETWEEN THE OUT-OF-SERVICE demountable rim to adapter. CRITERIA & FHWA’S ANNUAL INSPECTION (3) Any welded repair on aluminum wheel(s) on a steering axle. 1. Brake System.
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The Appendix G criteria rejects vehicles leaves in a leaf spring assembly. The out-of- with any defective brakes, any air leaks, etc. service criteria allows up to 25% broken or The out-of-service criteria allows 20% defec- missing leaves before being placed out-of- tive brakes on non-steering axles and a cer- service. tain latitude on air leaks before placing a ve- 9. Frame hicle out-of-service. The out-of-service criteria allows a certain 2. Coupling Devices. latitude in frame cracks before placing a ve- Appendix G rejects vehicles with any fifth hicle out-of-service. Appendix G follows the wheel mounting fastener missing or ineffec- new requirements of 393.201 which does not tive. The out-of-service criteria allows up to allow any frame cracks. 20% missing or ineffective fasteners on frame 10. Tires mountings and pivot bracket mountings and Appendix G follows the requirements of 25% on slider latching fasteners. The out-of- 393.75 which requires a tire tread depth of 4⁄32 service criteria also allows some latitude on inch on power unit steering axles and 2⁄32 cracked welds. 3. Exhaust System. inch on all other axles. The out-of-service 2 Appendix G follows Section 393.83 ver- criteria only requires ⁄32 inch tire tread 1 batim. The CVSA out-of-service criteria al- depth on power unit steering axles and ⁄32 lows vehicles to exhaust forward of the di- inch on all other axles. mensions given in Section 393.83 as long as 11. Wheel and Rims the exhaust does not leak or exhaust under The out-of-service criteria allows a certain the chassis. amount latitude for wheel and rim cracks 4. Fuel System. and missing or defective fasteners. Appendix Same for Appendix G and the out-of-serv- G meets the requirements of the new 393.205 ice criteria. which does not allow defective wheels and 5. Lighting Devices. rims non-effective nuts and bolts. Appendix G requires all lighting devices re- 12. Windshield Glazing quired by Section 393 to be operative at all The out-of-service criteria places in a re- times. The out-of-service criteria only re- stricted service condition any vehicle that quires one stop light and functioning turn has a crack or discoloration in the wind- signals on the rear most vehicle of a com- shield area lying within the sweep of the bination vehicle to be operative at all times. wiper on the drivers side and does not ad- In addition one operative head lamp and tail dress the remaining area of the windshield. lamp are required during the hours of dark- Appendix G addresses requirements for the ness. whole windshield as specified in 393.60. 6. Safe Loading. 13. Windshield Wipers Same for both Appendix G and the out-of- Appendix G requires windshield wipers to service criteria. be operative at all times. The out-of-service 7. Steering Mechanism criteria only requires that the windshield Steering lash requirements of Appendix G wiper on the driver’s side to be inspected follows the new requirements of § 393.209. during inclement weather. 8. Suspension Appendix G follows the new requirements [53 FR 49411, Dec. 7, 1988; 53 FR 49968, Dec. 12, of § 393.207 which does not allow any broken 1988]
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