Attachment E: Final Rule titled "Unified Registration System; Suspension of Effectiveness" (82 FR 5292)

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DEPARTMENT OF TRANSPORTATION
Federal Motor Carrier Safety
Administration
49 CFR Parts 360, 365, 366, 368, 385,
387, and 390
[Docket No. FMCSA–1997–2349]
RIN 2126–AC00

Unified Registration System;
Suspension of Effectiveness
Federal Motor Carrier Safety
Administration (FMCSA), DOT.
ACTION: Final rule; suspension of
effective date and temporary final rule.
AGENCY:

The FMCSA suspends its
regulations requiring existing interstate
motor carriers, freight forwarders,
brokers, intermodal equipment
providers (IEPs), hazardous materials
safety permit (HMSP) applicants, and
cargo tank facilities under FMCSA
jurisdiction to submit required
registration and biennial update
information to the Agency via a new
electronic on-line Unified Registration
System (URS). During this suspension,
entities needing to file will follow the
same procedures and forms used to
submit information to FMCSA as they
do today.
DATES: Effective Dates: This rule is
effective January 14, 2017.
Comment Dates: Petitions for
reconsideration must be received by
February 16, 2017.
ADDRESSES: Petitions for reconsideration
must be submitted to: Administrator,
Federal Motor Carrier Safety
Administration, 1200 New Jersey
Avenue SE., Washington, DC 20590–
0001.
All background documents,
comments, and materials related to this
rule may be viewed in docket number
FMCSA–1997–2349 using either of the
following methods:
• Federal eRulemaking Portal: http://
www.regulations.gov.
• Docket Management Facility (M–
30), U.S. Department of Transportation,
West Building Ground Floor, Room
W12–140, 1200 New Jersey Avenue SE.,
Washington, DC 20590–0001.
FOR FURTHER INFORMATION CONTACT: Mr.
Kenneth Riddle, 1200 New Jersey
Avenue SE., Washington, DC 20590–
0001, by telephone at (202) 366–9616 or
via email at kenneth.riddle@dot.gov.
Office hours are from 8:00 a.m. to 4:30
p.m. ET, Monday through Friday, except
Federal holidays.
SUPPLEMENTARY INFORMATION:

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SUMMARY:

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Preamble Table of Contents

B. Privacy Act

I. Public Participation
A. Viewing Comments and Documents
B. Privacy Act
II. Acronyms and Abbreviations
III. Executive Summary
IV. Background
A. Legal Authority
B. Regulatory History
V. Section-by-Section Analysis
A. Part 360, Fees for Motor Carrier
Registration and Insurance
B. Part 365, Rules Governing Applications
for Operating Authority
C. Part 366, Designation of Process Agent
D. Part 368, Application for a Certificate of
Registration to Operate in Municipalities
in the United States on the United
States-Mexico International Border or
within the Commercial Zones of Such
Municipalities
E. Part 385, Safety Fitness Procedures
F. Part 387, Minimum Levels of Financial
Responsibility for Motor Carriers
G. Part 390, Federal Motor Carrier Safety
Regulations, General
H. Part 392, Driving of Commercial Motor
Vehicles
VI. Rulemaking Analyses and Notices
A. Executive Order 12866 and Executive
Order 13563
B. Regulatory Flexibility Act
C. Unfunded Mandates Reform Act of 1995
D. National Environmental Policy Act
E. Paperwork Reduction Act
F. Executive Order 12630 (Taking of
Private Property)
G. Executive Order 12988 (Civil Justice
Reform)
H. Executive Order 13045 (Protection of
Children)
I. Executive Order 13132 (Federalism)
J. Executive Order 12372
(Intergovernmental Review)
K. Executive Order 13211 (Energy Supply,
Distribution, or Use)
L. Privacy Impact Analysis

All comments received are posted
without change to http://
www.regulations.gov. Anyone is able to
search the electronic form for all
comments received into any of our
dockets by the name of the individual
submitting the comment (or signing the
comment, if submitted on behalf of an
association, business, labor union, or
other organization). You may review
DOT’s complete Privacy Act Statement
in the Federal Register published on
January 17, 2008 (73 FR 3316), or you
may visit http://edocket.access.gpo.gov/
2008/pdf/E-785.pdf.

I. Public Participation
A. Viewing Comments and Documents
To view comments, as well as
documents identified in this preamble
as available in the docket, go to http://
www.regulations.gov and click on the
‘‘Read Comments’’ box in the upper
right hand side of the screen. Then, in
the ‘‘Keyword’’ box, insert ‘‘FMCSA–
1997–2349’’ and click ‘‘Search.’’ Next,
click ‘‘Open Docket Folder’’ in the
‘‘Actions’’ column. Finally, in the
‘‘Title’’ column, click on the document
you would like to review. If you do not
have access to the Internet, you may
view the docket online by visiting the
Docket Management Facility in Room
W12–140 on the ground floor of the
DOT West Building, 1200 New Jersey
Avenue SE., Washington, DC 20590,
between 9 a.m. and 5 p.m., ET, Monday
through Friday, except Federal holidays.

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II. Acronyms and Abbreviations
APA Administrative Procedure Act
ANPRM Advance Notice of Proposed
Rulemaking
ASCII American Standard Code Information
Interchange
BI&PD Bodily Injury & Property Damage
CAA Clean Air Act
CE Categorical Exclusion
CFR Code of Federal Regulations
CMV Commercial motor vehicle
USDOT/DOT U.S. Department of
Transportation
EMAIL Electronic Mail
E.O. Executive Order
FMCSA Federal Motor Carrier Safety
Administration
FF Freight Forwarder
FMVSS Federal Motor Vehicle Safety
Standard
HHGFF Household Goods Freight
Forwarder
ICCTA ICC Termination Act of 1995
IEP Intermodal Equipment Provider
GCWR Gross Combination Weight Rating
GVW Gross Vehicle Weight
GVWR Gross Vehicle Weight Rating
HMSP Hazardous Materials Safety Permit
HMR Hazardous Material Regulations, 49
CFR parts 100 through 185
MC Motor Carrier
MC–ECI Office of Enforcement and
Compliance, Insurance Compliance
Division
MCMIS Motor Carrier Management
Information System
MC–RI Office of Information Technology
MC–RIS Office of Data Analysis and
Information Systems
MC–RS Office of Registration and Safety
Information
MX Mexico Owned or Controlled
NEPA National Environmental Policy Act
of 1969
NNA Non-North America-Domiciled Motor
Carrier
NPRM Notice of Proposed Rulemaking
OMB Office of Management and Budget
PHMSA Pipeline and Hazardous Materials
Safety Administration
PIA Privacy Impact Assessment
PII Personally Identifiable Information
PRISM Performance and Registration
Information Systems Management
RFA Regulatory Flexibility Act
RQ Reportable Quantity

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SAFETEA–LU Safe, Accountable, Flexible,
Efficient Transportation Equity Act: A
Legacy for Users, Public Law 109–59, 119
Stat. 1714, August 10, 2005
SCAC Standard Carrier Alpha Code
SSRS Single State Registration System
URS Unified Registration System
URS–1 Unified Registration System Final
Rule, 78 FR 52608 (Aug. 23, 2013), as
amended at 80 FR 63695, October 21, 2015,
and at 81 FR 49553, July 28, 2016
VIN Vehicle Identification Number

III. Executive Summary
This final rule is being issued to
further delay the effective and
compliance dates of the Unified
Registration System final rule (URS 1
final rule), issued on August 23, 2013
and revised as noted below in the
Regulatory History section. The URS 1
final rule was issued to improve the
registration process for motor carriers,
property brokers, freight forwarders,
Intermodal Equipment Providers (IEPs),
hazardous materials safety permit
(HMSP) applicants, and cargo tank
facilities required to register with
FMCSA, and streamline the existing
Federal registration processes to ensure
the Agency can more efficiently track
these entities. FMCSA is extending the
implementation date of the final stage of
the URS 1 final rule beyond January 14,
2017 because additional time is needed
to securely migrate data from multiple
legacy platforms into a new central
database and to conduct further
compatibility testing with its State
partners. The Agency recently migrated
its information technology systems to a
‘‘cloud’’ environment. This migration
effort was a necessary step in order to
provide a foundation to successfully
implement URS.
By moving the implementation date,
FMCSA is providing its State partners
more time to develop, update, and
verify data connectivity and system
reliability. The additional time will also
enable the Agency to conduct more
thorough training and to implement
broader outreach and education
activities that will provide for a
seamless transition.
Due to the numerous revisions and
corrections that have been made to the
URS 1 final rule, FMCSA, in
consultation with the Office of the
Federal Register (OFR), is allowing the
URS 1 rule to come into effect,
immediately suspending it, and
replacing it with temporary regulations.
FMCSA intends to lift the suspension
once the technology to implement URS
1 is complete, and effectively replace
the temporary regulations with the URS
1 final rule, as issued on August 23,
2013. FMCSA and the OFR have
determined that this procedure will

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result in a compilation of rules that is
relatively easy to understand and
follow. The temporary provisions read
almost exactly as the regulations in
existence on January 13, 2017 (the day
before URS 1 becomes effective). Their
only differences are the ‘‘T’’ notation in
their section designation, which denotes
them as temporary provisions within
the Code of Federal Regulations, and
new paragraph designations in some
cases, to align with current guidelines
for publication in the CFR.
IV. Background
A. Legal Authority
FMCSA relies upon the same legal
authority cited in the August 23, 2013,
Unified Registration System final rule
(URS 1).1 The Agency suspends those
portions of the URS 1 final rule that will
become effective on January 14, 2017,
and replaces them with the provisions
in effect on January 13, 2017. Because
there are no substantive changes to the
content of the 2013 final rule, nor to the
previous provisions, we will not expand
upon the previous legal authority
discussion presented in the URS 1 final
rule.2
The Administrative Procedure Act
(APA) (5 U.S.C. 551- 706) specifically
provides exceptions to its notice and
public comment rulemaking
requirements where the Agency finds
there is good cause (and incorporates
the finding and a brief statement of
reasons therefore in the rules issued) to
dispense with them. Generally, good
cause exists where the Agency
determines that notice and public
procedures are impractical,
unnecessary, or contrary to the public
interest (5 U.S.C. 553(b)(3)(B)). This
URS final rule is being issued to, in
effect, delay the effective date of the
original URS 1 final rule. FMCSA will
not have the technological ability to
support the changes made by the August
23, 2013, final rule by the final rule’s
current effective date (January 14, 2017),
which would make it impossible for
motor carriers to comply with the
regulations. If FMCSA does not suspend
these regulations and replace them with
temporary provisions, existing motor
carriers would find themselves unable
to obtain a USDOT number, request
additional registration, or file evidence
of meeting financial responsibility
requirements, among other things. The
motor carrier registration process would
grind to a halt, likely posing significant
harm to motor carriers, other FMCSAregulated entities, drivers, and those
1 Final Rule, Unified Registration System, 78 FR
52608 (August 23, 2013).
2 Id. at 52615.

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who use their services. For these
reasons, FMCSA finds good cause to
dispense with notice and public
comment on this final rule, as providing
for public notice and comment would
be contrary to the public interest.
For these same reasons, and also
pursuant to the APA (5 U.S.C. 553
(d)(3)), this final rule will be effective on
January 14, 2017. Delaying the effective
date for 30 days after publication would
result in the URS 1 rule remaining in
effect, causing the same complications
described above.
B. Regulatory History
The Federal Highway Administration
(FMCSA’s predecessor agency) issued
an advance notice of proposed
rulemaking (ANPRM), announcing
plans to develop a single, online,
Federal information system in August
1996.3 The ANPRM solicited specific
detailed information from the public
about each of the systems to be replaced
by the URS, the conceptual design of the
URS, uses and users of the information
to be collected, and potential costs.
On May 19, 2005, FMCSA published
an NPRM describing a proposal to
merge all of the prescribed information
systems except the Single State
Registration System (SSRS) into a
unified, online Federal system.4 The
Agency subsequently revised the May
2005 proposal in an October 26, 2011,
SNPRM to incorporate new
congressionally mandated provisions in
SAFETEA–LU,5 and modified certain
proposals in response to comments to
the NPRM.6 The SNPRM also included
changes necessitated by final rules
published subsequent to publication of
the NPRM that directly impacted the
URS. In the SNPRM, the Agency
substantially altered the regulatory
drafting approach proposed in the
NPRM by creating a straightforward
requirement for all entities to register
and biennially update registration
information under the new URS and by
compiling a centralized cross-reference
to existing safety and commercial
regulations necessary for compliance
with the registration requirements. The
Agency abandoned previous efforts to
reorganize all registration and new
entrant requirements under a single part
3 Advance Notice of Proposed Rulemaking, Motor
Carrier Replacement Information/Registration
System, 61 FR 43816 (Aug. 26, 1996).
4 Notice of Proposed Rulemaking, Unified
Registration System, 70 FR 28990 (May 19, 2005).
5 Safe, Accountable, Flexible, and Efficient
Transportation Equity Act: A Legacy for Users
(SAFETEA–LU), Public Law 109–59, 119 Stat. 1714,
August 10, 2005.
6 Supplemental Notice of Proposed Rulemaking,
Unified Registration System, 76 FR 66506 (Oct. 26,
2011).

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under title 49, Code of Federal
Regulations (CFR) chapter III. FMCSA
issued the final rule for URS (‘‘URS 1’’)
on August 23, 2013.7 That rule had an
effective date of October 23, 2015.8
On October 21, 2015, FMCSA
published a final rule delaying the URS
1 effective date until September 30,
2016.9 This delay, however, included
several new, temporary regulations
which directed new applicants (who
were also defined in the final rule) to
utilize the online MCSA–1 application
in order to request registration and a
USDOT number. On July 28, 2016,
FMCSA again delayed the URS 1
effective dates, this time until January
14, 2017, via a correction to the October
21, 2015 final rule document.10 That
correction also extended the effective
period for the temporary provisions
from the October 21, 2015 document.

V. Section-by-Section Analysis
This rule amends 49 CFR part 360 in
reference to fees; part 365 procedures
governing applications for operating
authority and transfers of operating
authority; part 366 procedures for
designations of process agents; part 368
procedures governing applications to
operate in municipalities in the United
States on the United States-Mexico
international border or within the
commercial zones of such
municipalities; part 385 safety fitness
procedures; part 387 levels of financial
responsibility; and part 390 general
applicability of the FMCSRs. In each
part, the provisions enacted by the URS
1 final rule that go into effect January
14, 2017, are being immediately
suspended and replaced by temporary
provisions that contain the same

Suspended CFR part or section

Corresponding temporary CFR
section(s)

360.1 ...............................................
360.3 ...............................................
360.5 ...............................................
365.101 ...........................................
365.103 ...........................................
365.105 ...........................................
N/A ..................................................
365.107 ...........................................
365.109 ...........................................
365.111 ...........................................
365.119 ...........................................
365.201 ...........................................
365.203 ...........................................
365.301 ...........................................
Part 365, Subpart D ........................
365.507 ...........................................
365.509 ...........................................
366.1 ...............................................
366.2 ...............................................
366.3 ...............................................
366.4 ...............................................
366.5 ...............................................
366.6 ...............................................
N/A ..................................................
368.3 ...............................................
368.4 ...............................................
368.8 ...............................................
385.301 ...........................................

360.1T ............................................
360.3T ............................................
360.5T ............................................
365.101T ........................................
365. 103T ......................................
365.105T ........................................
365.106T ........................................
365.107T ........................................
365.109T ........................................
365.111T ........................................
365.119T ........................................
365.201T ........................................
365.203T ........................................
365.301T ........................................
365.401T, 365.403T, 365.405T,
365.407T, 365.409T, 365.411T,
365.413T.
365.507T ........................................
365.509T ........................................
366.1T ............................................
366.2T ............................................
366.3T ............................................
366.4T ............................................
366.5T ............................................
366.6T ............................................
368.3–1T 11 ....................................
368.3T ............................................
368.4T ............................................
368.8T ............................................
385.301T ........................................

385.303 ...........................................
385.305 ...........................................

385.303T ........................................
385.305T ........................................

385.329 ...........................................

385.329T ........................................

385.405
385.409
385.419
385.421

385.405T
385.409T
385.419T
385.421T

...........................................
...........................................
...........................................
...........................................

385.603 ...........................................

385.603T ........................................

7 Final Rule, Unified Registration System, 78 FR
52608 (Aug. 23, 2013).
8 Certain provisions in the URS 1 final rule
became effective on November 1, 2013. Specifically,
the changes to 49 CFR 390.19 and 392.2b came into

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Section title
Fees for registration-related services.
Filing fees.
Updating user fees.
Applications governed by these rules.
Modified procedure.
Starting the application process: Form OP–1.
Starting the application process: URS online application.
Types of applications.
FMCSA review of the application.
Appeals to rejections of the application.
Opposed applications.
Definitions.
Time for filing.
Applicable rules.
Transfer of Operating Rights Under 49 U.S.C. 10926.
FMCSA action on the application.
Requirement to notify FMCSA of change in applicant information.
Applicability.
Form of designation.
Eligible persons.
Required States.
Blanket designations.
Cancellation or change.
Starting the application process: URS online application.
Applying for a certificate of registration.
Requirement to notify FMCSA of change in applicant information.
Appeals.
What is a motor carrier required to do before beginning interstate operations?
How does a motor carrier register with the FMCSA?
What happens after the FMCSA receives a request for new entrant
registration?
May a new entrant that has had its USDOT new entrant registration
revoked and its operations placed out of service reapply?
How does a motor carrier apply for a safety permit?
When may a temporary safety permit be issued to a motor carrier?
How long is a safety permit effective?
Under what circumstances will a safety permit be subject to revocation or suspension by FMCSA?
Application.

effect earlier than the rest of the final rule. The
changes to 49 CFR 366.2 were not effective until
April 25, 2016.
9 Final Rule; extension of effective dates, Unified
Registration System, 80 FR 63695 (Oct. 21, 2015).

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requirements in place on January 13,
2017. The only changes being made to
the regulatory text are to replace
internal cross references to CFR parts or
sections that are either being suspended
or have been removed with the
corresponding temporary provision
(found in the table below), and to
include paragraph designations on
previously undesignated text, in order
to align with current guidelines for
publication in the CFR. The following
table lays out those provisions being
suspended, and the corresponding
temporary provision being added to
replace the suspended regulations. Note
that in some cases, there is not a
corresponding suspended or temporary
provision, as the URS 1 final rule both
added new regulatory sections and
removed sections without replacing
them.

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The delay did not impact those portions of the URS
1 final rule that had already become effective.
10 Final Rule; correction, Unified Registration
System; Correction, 81 FR 49553 (Jul. 28, 2016).

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Suspended CFR part or section

Corresponding temporary CFR
section(s)

Section title

385.607 ...........................................
385.609 ...........................................
385.713 ...........................................
387.19 .............................................

385.607T ........................................
385.609T ........................................
385.713T ........................................
N/A .................................................

387.33 .............................................
387.43 .............................................

387.33T ..........................................
N/A .................................................

387.301
387.303
387.313
387.323

387.301T
387.303T
387.313T
387.323T

FMCSA action on the application.
Requirement to notify FMCSA of change in applicant information.
Reapplying for new entrant registration.
Electronic filing of surety bonds, trust fund agreements, certificates of
insurance and cancellations.
Financial responsibility, minimum levels.
Electronic filing of surety bonds, trust fund agreements, certificates of
insurance and cancellations.
Surety bond, certificate of insurance, or other securities.
Security for the protection of the public: Minimum limits.
Forms and procedures.
Electronic filing of surety bonds, trust fund agreements, certificates of
insurance and cancellations.
General requirements.
Forms and procedures.
Electronic filing of surety bonds, certificates of insurance and cancellations.
General applicability.
Definitions.
Motor carrier identification reports for certain Mexico-domiciled motor
carriers.
Marking of self-propelled commercial motor vehicles (CMVs) and
intermodal equipment.
What responsibilities do intermodal equipment providers have under
the Federal Motor Carrier Safety Regulations (49 CFR parts 350
through 399)?
USDOT Registration.

...........................................
...........................................
...........................................
...........................................

........................................
........................................
........................................
........................................

387.403 ...........................................
387.413 ...........................................
387.419 ...........................................

387.403T ........................................
387.413T ........................................
387.419T ........................................

390.3 ...............................................
390.5 ...............................................
390.19 .............................................

390.3T ............................................
390.5T ............................................
390.19T ..........................................

390.21 .............................................

390.21T ..........................................

390.40 .............................................

390.40T ..........................................

Part 390, Subpart E ........................

390.200T ........................................

VI. Rulemaking Analyses and Notices

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A. Executive Order 12866 (Regulatory
Planning and Review) and DOT
Regulatory Policies and Procedures as
Supplemented by E.O. 13563
FMCSA has determined that this final
rule, essentially delaying the effective
date of the URS rules, is not a
significant regulatory action within the
meaning of E.O. 12866, as
supplemented by E.O. 13563, or within
the meaning of DOT regulatory policies
and procedures. The Agency does not
expect this action to have any new
costs; this action suspending the
provisions of the August 23, 2013 and
reinstating the pre-existing registration
provisions will delay the associated
costs of the August 23, 2013, final rule.
As discussed previously, this action is
necessary because the URS 1
technological solution, required to
implement the URS 1 final rule, is not
ready. Not suspending the URS 1 final
rule may result in additional costs, as
allowing the URS 1 final rule to come
into effect without having the required
technological pieces (such as the URS
online application and the integrated
database required by statute) would
require motor carriers, freight
forwarders, brokers, and others to use a
system that does not exist, with no
11 This abnormal numbering scheme represents a
slight change to the regulation. It is being made
because without it, there would be two separate
provisions designated as 49 CFR 368.3T, which is
not allowable.

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alternative for seeking registration
authorities. This could lead to a delay
in processing registrations, which could
then impact the applicants. Suspending
the URS final rule and temporarily
reinstating the pre-existing rules avoids
these potential costs, without adding
new costs over what was originally
estimated in the August 2013 RIA. The
August 2013 RIA can be found in the
docket for this final rule.
B. Regulatory Flexibility Act
Under the Regulatory Flexibility Act
of 1980 (RFA) (5 U.S.C. 601–612),
FMCSA is not required to complete a
regulatory flexibility analysis. This is
because this rule does not require
publication of a general notice of
proposed rulemaking. However, in
compliance with the RFA, FMCSA has
evaluated the effects of this final rule on
small entities, and determined that
delaying the effective date for the URS
1 final rule will not result in a
significant economic impact on a
substantial number of small entities.
Accordingly, the Administrator of
FMCSA hereby certifies that this rule
will not have a significant economic
impact on a substantial number of small
entities.
C. Unfunded Mandates Reform Act of
1995
This final rule will not impose an
unfunded Federal mandate, as defined
by the Unfunded Mandates Reform Act
of 1995 (2 U.S.C. 1532, et seq.), that will

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result in the expenditure by State, local
and tribal governments, in the aggregate,
or by the private sector, of $156 million
(which is the value of $100 million
adjusted for inflation) or more in any
one year.
D. National Environmental Policy Act
The Agency analyzed this final rule
for the purpose of the National
Environmental Policy Act of 1969
(NEPA) (42 U.S.C. 4321 et seq.) and
determined under our environmental
procedures Order 5610.1, issued March
1, 2004 (69 FR 9680), that this action is
categorically excluded (CE) under
Appendix 2, paragraphs 6(e), 6(h) and
6(y)(2) of the Order from further
environmental documentation. The CE
under Appendix 2, paragraph 6(e)
relates to establishing regulations and
actions taken pursuant to the
requirements concerning applications
for operating authority and certificates
of registration. The CE under Appendix
2, paragraph 6(h), relates to establishing
regulations and actions taken pursuant
to the requirements implementing
procedures to collect fees that will be
charged for motor carrier registrations
and insurance for the following
activities: (1) Application filings; (2)
records searches; and (3) reviewing,
copying, certifying, and related services.
The CE under Appendix 2, paragraph
6(y)(2), addresses regulations
implementing motor carrier
identification and registration reports.
In addition, the Agency believes that

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this rule includes no extraordinary
circumstances that will have any effect
on the quality of the human
environment. Thus, this rule does not
require an environmental assessment or
an environmental impact statement.
FMCSA also has analyzed this rule
under the Clean Air Act, as amended
(CAA), section 176(c) (42 U.S.C. 7401 et
seq.), and implementing regulations
promulgated by the Environmental
Protection Agency. Approval of this
action is exempt from the CAA’s general
conformity requirement because it
involves policy development and
rulemaking activities regarding
registration of regulated entities with
FMCSA for commercial, safety and
financial responsibility purposes. See 40
CFR 93.153(c)(2)(vi). The changes
would not result in any emissions
increases, nor will they have any
potential to result in emissions that are
above the general conformity rule’s de
minimis emission threshold levels.
Moreover, it is reasonably foreseeable
that the actions will not increase total
CMV mileage or change the routing of
CMVs, how CMVs operate, or the CMV
fleet-mix of motor carriers.

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E. Paperwork Reduction Act 12
Under the Paperwork Reduction Act
of 1995 (PRA) (44 U.S.C. 3501–3520), a
Federal Agency must obtain approval
from OMB for each collection of
information it conducts, sponsors, or
requires through regulations. The
FMCSA analyzed the August 23, 2013,
final rule and determined that its
implementation would streamline the
information collection burden on motor
carriers and other regulated entities,
relative to the baseline, or current
paperwork collection processes. This
included streamlining the FMCSA
registration, insurance, and designation
of process agent filing processes and
implementing mandatory electronic
online filing of these applications, as
well as eliminating some outdated filing
requirements. A full analysis of the
impacted collections of information,
both existing and new, can be found in
that final rule,13 a copy of which is in
the docket for this final rule. This final
rule makes no changes to the collections
described in that final rule.
F. Executive Order 12630 (Taking of
Private Property)
This final rule will not result in a
taking of private property or otherwise
have taking implications under
Executive Order 12630, Governmental
12 The calculations presented in this section may
be subject to rounding errors.
13 See 78 FR 52608, 52642.

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Actions and Interference with
Constitutionally Protected Property
Rights.
G. Executive Order 12988 (Civil Justice
Reform)
This final rule meets applicable
standards in sections 3(a) and 3(b)(2) of
Executive Order 12988, Civil Justice
Reform, to minimize litigation,
eliminate ambiguity, and reduce
burden.
H. Executive Order 13045 (Protection of
Children)
Executive Order 13045, ‘‘Protection of
Children from Environmental Health
Risks and Safety Risks’’ (April 23, 1997,
62 FR 19885), requires that agencies
issuing economically significant rules,
which also concern an environmental
health or safety risk that an Agency has
reason to believe may
disproportionately affect children, must
include an evaluation of the
environmental health and safety effects
of the regulation on children. Section 5
of Executive Order 13045 directs an
Agency to submit for a covered
regulatory action an evaluation of its
environmental health or safety effects
on children. This final rule is not an
economically significant rule and will
not create an environmental risk to
health or risk to safety that might
disproportionately affect children.
I. Executive Order 13132 (Federalism)
This rule has been analyzed in
accordance with the principles and
criteria in Executive Order 13132, dated
August 4, 1999 (64 FR 43255, August
10, 1999). The FMCSA consulted with
State licensing agencies participating in
its PRISM Program to discuss
anticipated impacts of the May 2005
NPRM upon their operations. The
Agency has taken into consideration
their comments in its decision-making
process for this rule. Thus, FMCSA has
determined that this rule will not have
significant Federalism implications or
limit the policymaking discretion of the
States.
J. Executive Order 12372
(Intergovernmental Review)
The regulations implementing
Executive Order 12372 regarding
intergovernmental consultation on
Federal programs and activities do not
apply to this final rule.
K. Executive Order 13211 (Energy
Supply, Distribution, or Use)
FMCSA has analyzed this rule under
Executive Order 13211, ‘‘Actions
Concerning Regulations That
Significantly Affect Energy Supply,

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Distribution, or Use,’’ and has
determined that this is not a significant
energy action within the meaning of
section 4(b) of the Executive Order. This
final rule is not economically
significant, and will not have a
significant adverse effect on the supply,
distribution, or use of energy.
L. Privacy Impact Analysis
The FMCSA conducted a privacy
impact assessment (PIA) of the August
23, 2013, final rule as required by
section 522(a)(5) of division H of the FY
2005 Omnibus Appropriations Act,
Public Law 108–447, 118 Stat. 3268
(Dec. 8, 2004) [set out as a note to 5
U.S.C. 552a]. The assessment
considered any impacts of the final rule
on the privacy of information in an
identifiable form and related matters.
FMCSA determined that the August 23,
2013, final rule will impact the handling
of personally identifiable information
(PII). FMCSA also determined the risks
and effects the rulemaking might have
on collecting, storing, and sharing PII
and examined and evaluated protections
and alternative information handling
processes in order to mitigate potential
privacy risks. This final rule makes no
changes to the information being
collected, or to the manner that it is
stored and shared. FMCSA believes that
the PIA for the August 23, 2013, final
rule adequately covers this action; that
PIA remains available for review in the
docket for this final rule.
List of Subjects
49 CFR Part 360
Administrative practice and
procedure, Brokers, Buses, Freight
forwarders, Hazardous materials
transportation, Highway safety,
Insurance, Motor carriers, Motor vehicle
safety, Moving of household goods,
Penalties, Reporting and recordkeeping
requirements, Surety bonds.
49 CFR Part 365
Administrative practice and
procedure, Brokers, Buses, Freight
forwarders, Motor carriers, Moving of
household goods.
49 CFR Part 366
Brokers, Motor carriers, Freight
forwarders, Process agents.
49 CFR Part 368
Administrative practice and
procedure, Insurance, Motor carriers.
49 CFR Part 385
Administrative practice and
procedure, Highway safety, Motor
carriers, Motor vehicle safety, Reporting
and recordkeeping requirements.

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49 CFR Part 387
Buses, Freight, Freight forwarders,
Hazardous materials transportation,
Highway safety, Insurance,
Intergovernmental relations, Motor
carriers, Motor vehicle safety, Moving of
household goods, Penalties, Reporting
and recordkeeping requirements, Surety
bonds.
49 CFR Part 390
Highway safety, Intermodal
transportation, Motor carriers, Motor
vehicle safety, Reporting and
recordkeeping requirements.
In consideration of the foregoing,
FMCSA amends 49 CFR chapter III as
set forth below:
PART 360—FEES FOR MOTOR
CARRIER REGISTRATION AND
INSURANCE
1. The authority citation for part 360
is revised to read as follows:

■

Authority: 31 U.S.C. 9701; 49 U.S.C.
13908; and 49 CFR 1.87.
§§ 360.1 through 360.5
■
■

[Suspended]

2. Suspend §§ 360.1 through 360.5.
3. Add § 360.1T to read as follows:

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§ 360.1T Fees for registration-related
services.

Certifications and copies of public
records and documents on file with the
Federal Motor Carrier Safety
Administration will be furnished on the
following basis, pursuant to the
Freedom of Information Act regulations
at 49 CFR part 7:
(a) Certificate of the Director, Office of
Data Analysis and Information Systems,
as to the authenticity of documents,
$9.00;
(b) Service involved in checking
records to be certified to determine
authenticity, including clerical work,
etc., incidental thereto, at the rate of
$16.00 per hour;
(c) Copies of the public documents, at
the rate of $.80 per letter size or legal
size exposure. A minimum charge of
$5.00 will be made for this service; and
(d) Search and copying services
requiring ADP processing, as follows:
(1) A fee of $42.00 per hour for
professional staff time will be charged
when it is required to fulfill a request
for ADP data.
(2) The fee for computer searches will
be set at the current rate for computer
service. Information on those charges
can be obtained from the Office of Data
Analysis and Information Systems (MC–
RIS).
(3) Printing shall be charged at the
rate of $.10 per page of computer

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generated output with a minimum
charge of $.25. A charge of $30 per reel
of magnetic tape will be made if the tape
is to be permanently retained by the
requestor.
■ 4. Add § 360.3T to read as follows:
§ 360.3T

Filing fees.

(a) Manner of payment. (1) Except for
the insurance fees described in the next
sentence, all filing fees will be payable
at the time and place the application,
petition, or other document is tendered
for filing. The service fee for insurance,
surety or self-insurer accepted
certificate of insurance, surety bond or
other instrument submitted in lieu of a
broker surety bond must be charged to
an insurance service account
established by the Federal Motor Carrier
Safety Administration in accordance
with paragraph (a)(2) of this section.
(2) Billing account procedure. A
written request must be submitted to the
Office of Enforcement and Compliance,
Insurance Compliance Division (MC–
ECI) to establish an insurance service
fee account.
(i) Each account will have a specific
billing date within each month and a
billing cycle. The billing date is the date
that the bill is prepared and printed.
The billing cycle is the period between
the billing date in one month and the
billing date in the next month. A bill for
each account which has activity or an
unpaid balance during the billing cycle
will be sent on the billing date each
month. Payment will be due 20 days
from the billing date. Payments received
before the next billing date are applied
to the account. Interest will accrue in
accordance with 4 CFR 102.13.
(ii) The Debt Collection Act of 1982,
including disclosure to the consumer
reporting agencies and the use of
collection agencies, as set forth in 4 CFR
102.5 and 102.6 will be utilized to
encourage payment where appropriate.
(iii) An account holder who files a
petition in bankruptcy or who is the
subject of a bankruptcy proceeding must
provide the following information to the
Office of Enforcement and Compliance,
Insurance Division (MC–ECI):
(A) The filing date of the bankruptcy
petition;
(B) The court in which the bankruptcy
petition was filed;
(C) The type of bankruptcy
proceeding;
(D) The name, address, and telephone
number of its representative in the
bankruptcy proceeding; and
(E) The name, address, and telephone
number of the bankruptcy trustee, if one
has been appointed.
(3) Fees will be payable to the Federal
Motor Carrier Safety Administration by

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a check payable in United States
currency drawn upon funds deposited
in a United States or foreign bank or
other financial institution, money order
payable in United States’ currency, or
credit card (VISA or MASTERCARD).
(b) Any filing that is not accompanied
by the appropriate filing fee is deficient
except for filings that satisfy the
deferred payment procedures in
paragraph (a) of this section.
(c) Fees not refundable. Fees will be
assessed for every filing in the type of
proceeding listed in the schedule of fees
contained in paragraph (f) of this
section, subject to the exceptions
contained in paragraphs (d) and (e) of
this section. After the application,
petition, or other document has been
accepted for filing by the Federal Motor
Carrier Safety Administration, the filing
fee will not be refunded, regardless of
whether the application, petition, or
other document is granted or approved,
denied, rejected before docketing,
dismissed, or withdrawn.
(d) Related or consolidated
proceedings. (1) Separate fees need not
be paid for related applications filed by
the same applicant which would be the
subject of one proceeding. (This does
not mean requests for multiple types of
operating authority filed on forms in the
OP–1 series under the regulations at 49
CFR part 365. A separate filing fee is
required for each type of authority
sought in each transportation mode, e.g.,
common, contract, and broker authority
for motor property carriers.)
(2) Separate fees will be assessed for
the filing of temporary operating
authority applications as provided in
paragraph (f)(6) of this section,
regardless of whether such applications
are related to an application for
corresponding permanent operating
authority.
(3) The Federal Motor Carrier Safety
Administration may reject concurrently
filed applications, petitions, or other
documents asserted to be related and
refund the filing fee if, in its judgment,
they embrace two or more severable
matters which should be the subject of
separate proceedings.
(e) Waiver or reduction of filing fees.
It is the general policy of the Federal
Motor Carrier Safety Administration not
to waive or reduce filing fees except as
described as follows:
(1) Filing fees are waived for an
application or other proceeding which
is filed by a Federal government agency,
or a State or local government entity.
For purposes of this section the phrases
‘‘Federal government agency’’ or
‘‘government entity’’ do not include a
quasi-governmental corporation or

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government subsidized transportation
company.
(2) In extraordinary situations the
Federal Motor Carrier Safety
Administration will accept requests for
waivers or fee reductions in accordance
with the following procedure:
(i) When to request. At the time that
a filing is submitted to the Federal

Motor Carrier Safety Administration the
applicant may request a waiver or
reduction of the fee prescribed in this
part. Such request should be addressed
to the Director, Office of Data Analysis
and Information Systems.
(ii) Basis. The applicant must show
the waiver or reduction of the fee is in
the best interest of the public, or that

payment of the fee would impose an
undue hardship upon the requestor.
(iii) Federal Motor Carrier Safety
Administration action. The Director,
Office of Data Analysis and Information
Systems, will notify the applicant of the
decision to grant or deny the request for
waiver or reduction.
(f) Schedule of filing fees.

Type of proceeding
Part I: Licensing:
(1) ...........................
(2) ...........................
(3) ...........................

(4) ...........................
(5) ...........................
(6) ...........................
(7) ...........................
(8) ...........................

(9)–(49) ..................
Part II: Insurance:
(50) .........................

(51) .........................

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(52) .........................
(53)–(79) ................
Part III: Services:
(80) .........................
(81) .........................

Fee
An application for motor carrier operating authority, a certificate of
registration for certain foreign carriers, property broker authority, or
freight forwarder authority.
A petition to interpret or clarify an operating authority .........................
A request seeking the modification of operating authority only to the
extent of making a ministerial correction, when the original error
was caused by applicant, a change in the name of the shipper or
owner of a plant site, or the change of a highway name or number.
A petition to renew authority to transport explosives ............................
An application for authority to deviate from authorized regular-route
authority.
An application for motor carrier temporary authority issued in an
emergency situation.
Request for name change of a motor carrier, property broker, or
freight forwarder.
An application involving the merger, transfer, or lease of the operating rights of motor passenger and property carriers, property brokers, and household goods freight forwarders under 49 U.S.C.
10321 and 10926.
[Reserved] .............................................................................................
(i) An application for original qualification as self-insurer for bodily injury and property damage insurance (BI&PD).
(ii) An application for original qualification as self-insurer for cargo insurance.
A service fee for insurer, surety, or self-insurer accepted certificate of
insurance, surety bond, and other instrument submitted in lieu of a
broker surety bond.
A petition for reinstatement of revoked operating authority ..................
[Reserved] .............................................................................................
Request for service or pleading list for proceedings ............................
Faxed copies of operating authority to applicants or their representatives who did not receive a served copy.

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

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cashier’s check, money order, or credit
card.
■ 5. Add § 360.5T to read as follows:
§ 360.5T

Updating user fees.

(a) Update. Each fee established in
this part may be updated in accordance
with this section as deemed necessary
by the FMCSA.
(b) Publication and effective dates.
Updated fees shall be published in the
Federal Register and shall become
effective 30 days after publication.
(c) Payment of fees. Any person
submitting a filing for which a fee is
established shall pay the fee in effect at
the time of the filing.
(d) Method of updating fees. Each fee
shall be updated by updating the cost
components comprising the fee. Cost
components shall be updated as follows:
(1) Direct labor costs shall be updated
by multiplying base level direct labor

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$300.
3,000.
50.

250.
150.
100.
14.
300.

4,200.
420.
$10 per accepted certificate, surety bond or
other instrument submitted in lieu of a
broker surety bond.
80.
13 per list.
5.

costs by percentage changes in average
wages and salaries of FMCSA
employees. Base level direct labor costs
are direct labor costs determined by the
cost study in Regulations Governing
Fees For Service, 1 I.C.C. 2d 60 (1984),
or subsequent cost studies. The base
period for measuring changes shall be
April 1984 or the year of the last cost
study.
(2) Operations overhead shall be
developed each year on the basis of
current relationships existing on a
weighted basis, for indirect labor
applicable to the first supervisory work
centers directly associated with user fee
activity. Actual updating of operations
overhead will be accomplished by
applying the current percentage factor to
updated direct labor, including current
governmental overhead costs.
(3)(i) Office general and
administrative costs shall be developed

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Federal Register / Vol. 82, No. 10 / Tuesday, January 17, 2017 / Rules and Regulations
each year on the basis of current levels
costs, i.e., dividing actual office general
and administrative costs for the current
fiscal year by total office costs for the
office directly associated with user fee
activity. Actual updating of office
general and administrative costs will be
accomplished by applying the current
percentage factor to updated direct
labor, including current governmental
overhead and current operations
overhead costs.
(ii) FMCSA general and
administrative costs shall be developed
each year on the basis of current level
costs; i.e., dividing actual FMCSA
general and administrative costs for the
current fiscal year by total agency
expenses for the current fiscal year.
Actual updating of FMCSA general and
administrative costs will be
accomplished by applying the current
percentage factor to updated direct
labor, including current governmental
overhead, operations overhead and
office general and administrative costs.
(4) Publication costs shall be adjusted
on the basis of known changes in the
costs applicable to publication of
material in the Federal Register or
FMCSA Register. (This rounding
procedures excludes copying, printing
and search fees.)
(e) Rounding of updated fees.
Updated fees shall be rounded in the
following manner:
(1) Fees between $1 and $30 will be
rounded to the nearest $1;
(2) Fees between $30 and $100 will be
rounded to the nearest $10;
(3) Fees between $100 and $999 will
be rounded to the nearest $50; and
(4) Fees above $1,000 will be rounded
to the nearest $100.
PART 365—RULES GOVERNING
APPLICATIONS FOR OPERATING
AUTHORITY
6. The authority citation for part 365
is revised to read as follows:

■

Authority: 5 U.S.C. 553 and 559; 49 U.S.C.
13101, 13301, 13901–13906, 13908, 14708,
31133, 31138, and 31144; 49 CFR 1.87.
§§ 365.101 through 365.109—
[SUSPENDED]

7. Suspend §§ 365.101 through
365.109.
■ 8. Add § 365.101T to read as follows:
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■

§ 365.101T Applications governed by
these rules.

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

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(b) Applications for permits to operate
as a freight forwarder.
(c) [Reserved]
(d) Applications for licenses to
operate as a broker of motor vehicle
transportation.
(e) Applications for certificates under
49 U.S.C. 13902(b)(3) to operate as a
motor carrier of passengers in intrastate
commerce over regular routes if such
intrastate transportation is to be
provided on a route over which the
carrier provides interstate transportation
of passengers.
(f) [Reserved]
(g) Applications for temporary motor
carrier authority.
(h) Applications for Mexicodomiciled motor carriers to operate in
foreign commerce as common, contract
or private motor carriers of property
(including exempt items) between
Mexico and all points in the United
States. Under NAFTA Annex I, page
I–U–20, a Mexico-domiciled motor
carrier may not provide point-to-point
transportation services, including
express delivery services, within the
United States for goods other than
international cargo.
(i) Applications for non-North
America-domiciled motor carriers to
operate in foreign commerce as for-hire
motor carriers of property and
passengers within the United States.
(j) The rules in this part do not apply
to ‘‘pipeline welding trucks’’ as defined
in 49 CFR 390.38(b).
■ 9. Add § 365.103T to read as follows:
§ 365.103T

Modified procedure.

The FMCSA will handle licensing
application proceedings using the
modified procedure, if possible. The
applicant and protestants send
statements made under oath (verified
statements) to each other and to the
FMCSA. There are no personal
appearances or formal hearings.
■ 10. Add § 365.105T to read as follows:
§ 365.105T Starting the application
process: Form OP–1.

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

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5299

the United States; and effective
December 16, 2009.
(2) Form OP–1(NNA) must be filed by
a non-North America-domiciled motor
property, including household goods,
carrier or a motor passenger carrier
requesting authority to operate within
the United States. A separate filing fee
in the amount set forth at 49 CFR
360.3T(f)(1) is required for each type of
authority sought.
(b) Obtain forms at a FMCSA Division
Office in each State or at one of the
FMCSA Service Centers. Addresses and
phone numbers for the Division Offices
and Service Centers can be found at:
https://www.fmcsa.dot.gov/mission/
field-offices. The forms and information
about filing procedures can be
downloaded at: https://
www.fmcsa.dot.gov/registration/
registration-forms.
■ 11. Add § 365.106T to read as follows:
§ 365.106T Starting the application
process: URS online application.

(a) Notwithstanding § 365.105T, new
applicants as defined in paragraph (b) of
this section must apply for a USDOT
number and if applicable, operating
authority by electronically filing Form
MCSA–1, the URS online application, to
request authority pursuant to 49 U.S.C.
13902, 13903, or 13904 to operate as a:
(1) Motor carrier of property (not
household goods), property (household
goods) or passengers;
(2) Broker of general commodities or
household goods; or
(3) Freight forwarder of general
commodities or household goods.
(b) For purposes of this section, a
‘‘new applicant’’ is an entity applying
for a USDOT number and if applicable,
operating authority who does not at the
time of application have an active
registration or USDOT, Motor Carrier
(MC), Mexico owned or controlled (MX)
or Freight Forwarder (FF) number, and
who has never had an active registration
or USDOT, MC, MX, or FF number.
(c) Form MCSA–1 is the URS online
application, and both the application
and its instructions are available from
the FMCSA Web site at http://
www.fmcsa.dot.gov/urs.
■ 12. Add § 365.107T to read as follows:
§ 365.107T

Types of applications.

(a) Fitness applications. Motor
property applications and certain types
of motor passenger applications require
only the finding that the applicant is fit,
willing and able to perform the involved
operations and to comply with all
applicable statutory and regulatory
provisions. These applications can be
opposed only on the grounds that
applicant is not fit [e.g., is not in

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compliance with applicable financial
responsibility and safety fitness
requirements]. These applications are:
(1) Motor common and contract
carrier of property (except household
goods), Mexican motor property carriers
that perform private carriage and
transport exempt items, and motor
contract carrier of passengers
transportation.
(2) Motor carrier brokerage of general
commodities (except household goods).
(3) Certain types of motor passenger
applications as described in Form OP–
1 (P).
(b) Motor passenger ‘‘public interest’’
applications as described in Form OP–
1 (P).
(c) Intrastate motor passenger
applications under 49 U.S.C.
13902(b)(3) as described in Form OP–1,
Schedule B.
(d) Motor common carrier of
household goods applications,
including Mexican carrier applicants.
These applications require a finding
that:
(1) The applicant is fit, willing, and
able to provide the involved
transportation and to comply with all
applicable statutory and regulatory
provisions; and
(2) The service proposed will serve a
useful public purpose, responsive to a
public demand or need.
(e) Motor contract carrier of
household goods, household goods
property broker, and freight forwarder
applications. These applications require
a finding that:
(1) The applicant is fit, willing, and
able to provide the involved
transportation and to comply with all
applicable statutory and regulatory
provisions; and
(2) The transportation to be provided
will be consistent with the public
interest and the national transportation
policy of 49 U.S.C. 13101.
(f) Temporary authority (TA) for
motor and water carriers. These
applications require a finding that there
is or soon will be an immediate
transportation need that cannot be met
by existing carrier service.
(g) In view of the expedited time
frames established in this part for
processing requests for permanent
authority, applications for TA will be
entertained only in exceptional
circumstances (i.e., natural disasters or
national emergencies) when evidence of
immediate service need can be
specifically documented in a narrative
supplement appended to Form OP–1 for
motor property carriers, Form OP–1MX
for Mexican property carriers and, Form
OP–1(P) for motor passenger carriers.
■ 13. Add § 365.109T to read as follows:

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§ 365.109T FMCSA review of the
application.

(a) FMCSA staff will review the
application for correctness,
completeness, and adequacy of the
evidence (the prima facie case).
(1) Minor errors will be corrected
without notification to the applicant.
(2) Materially incomplete applications
will be rejected. Applications that are in
substantial compliance with these rules
may be accepted.
(3) All motor carrier applications will
be reviewed for consistency with the
FMCSA’s operational safety fitness
policy. Applicants with
‘‘Unsatisfactory’’ safety fitness ratings
from DOT will have their applications
rejected.
(4) FMCSA staff will review
completed applications that conform
with the FMCSA’s safety fitness policy
and that are accompanied by evidence
of adequate financial responsibility.
(5) Financial responsibility is
indicated by filing within 20 days from
the date an application notice is
published in the FMCSA Register:
(i) Form BMC–91 or 91X or BMC 82
surety bond—Bodily injury and
property damage (motor property and
passenger carriers; household goods
freight forwarders that provide pickup
or delivery service directly or by using
a local delivery service under their
control).
(ii) Form BMC–84—Surety bond or
Form BMC–85—trust fund agreement
(property brokers of general
commodities and household goods).
(iii) Form BMC 34 or BMC 83 surety
bond—Cargo liability (household goods
motor carriers and household goods
freight forwarders).
(6) Applicants also must submit Form
BOC–3—designation of legal process
agents—within 20 days from the date an
application notice is published in the
FMCSA Register.
(7) Applicants seeking to conduct
operations for which tariffs are required
may not commence such operations
until tariffs are in effect.
(8) All applications must be
completed in English.
(b) A summary of the application will
be published as a preliminary grant of
authority in the FMCSA Register to give
notice to the public in case anyone
wishes to oppose the application.
§ 365.111
■
■

[SUSPENDED]

14. Suspend § 365.111.
15. Add § 365.111T to read as follows:

§ 365.111T Appeals to rejections of the
application.

(a) An applicant has the right to
appeal rejection of the application. The

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appeal must be filed at the FMCSA
within 10 days of the date of the letter
of rejection.
(b) If the appeal is successful and the
filing is found to be proper, the
application shall be deemed to have
been properly filed as of the decision
date of the appeal.
§ 365.119
■
■

[SUSPENDED]

16. Suspend § 365.119.
17. Add § 365.119T to read as follows:

§ 365.119T

Opposed applications.

If the application is opposed,
opposing parties are required to send a
copy of their protest to the applicant.
§§ 365.201 and 365.203
■
■

[SUSPENDED]

18. Suspend §§ 365.201 and 365.203.
19. Add § 365.201T to read as follows:

§ 365.201T

Definitions.

A person wishing to oppose a request
for permanent authority files a protest.
A person filing a valid protest becomes
a protestant.
■ 20. Add § 365.203T to read as follows:
§ 365.203T

Time for filing.

A protest shall be filed (received at
the FMCSA) within 10 days after notice
of the application appears in the FMCSA
Register. A copy of the protest shall be
sent to applicant’s representative at the
same time. Failure timely to file a
protest waives further participation in
the proceeding.
§ 365.301
■
■

[SUSPENDED]

21. Suspend § 365.301.
22. Add § 365.301T to read as follows:

§ 365.301T

Applicable rules.

Generally, all application proceedings
are governed by the FMCSA’s Rules of
Practice at part 386 of this chapter
except as designated below.
Subpart D—[SUSPENDED]
23. Suspend subpart D, consisting of
§§ 365.401 through 365.413.
■ 24. Add new subpart D, consisting of
§§ 365.401T through 365.413T, to read
as follows:
■

Subpart D—Transfer of Operating
Rights Under 49 U.S.C. 10926
Sec.
365.401T Scope of rules.
365.403T Definitions.
365.405T Applications.
365.407T Notice.
365.409T FMCSA action and criteria for
approval.
365.411T Responsive pleadings.
365.413T Procedures for changing the name
or business form of a motor carrier,
freight forwarder, or property broker.

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§ 365.401T

Scope of rules.

These rules define the procedures that
enable motor passenger and property
carriers, property brokers, and
household goods freight forwarders to
obtain approval from the FMCSA to
merge, transfer, or lease their operating
rights in financial transactions not
subject to 49 U.S.C. 11343. Transactions
covered by these rules are governed by
49 U.S.C. 10321 and 10926. The filing
fee is set forth at 49 CFR 360.3T(f)(8).
§ 365.403T

Definitions.

For the purposes of this part, the
following definitions apply:
(a) Transfer. Transfers include all
transactions (i.e., the sale or lease of
interstate operating rights,1 or the
merger of two or more carriers or a
carrier into a noncarrier) subject to 49
U.S.C. 10926, as well as the sale of
property brokers’ licenses under 49
U.S.C. 10321.

sradovich on DSK3GMQ082PROD with RULES6

1 The execution of a chattel mortgage, deed
of trust, or other similar document does not
constitute a transfer or require the FMCSA’s
approval. However, a foreclosure for the
purpose of transferring an operating right to
satisfy a judgment or claim against the record
holder may not be effected without approval
of the FMCSA.

(b) Operating rights. Operating rights
include:
(1) Certificates and permits issued to
motor carriers;
(2) Permits issued to freight
forwarders;
(3) Licenses issued to property
brokers; and
(4) Certificates of Registration issued
to motor carriers. The term also includes
authority held by virtue of the gateway
elimination regulations published in the
Federal Register as letter-notices.
(c) Certificate of registration. The
evidence of a motor carrier’s right to
engage in interstate or foreign commerce
within a single State is established by a
corresponding State certificate.
(d) Person. An individual,
partnership, corporation, company,
association, or other form of business, or
a trustee, receiver, assignee, or personal
representative of any of these.
(e) Record holder. The person shown
on the records of the FMCSA as the
legal owner of the operating rights.
(f) Control. A relationship between
persons that includes actual control,
legal control, and the power to exercise
control, through or by common
directors, officers, stockholders, a voting
trust, a holding or investment company,
or any other means.
(g) Category 1 transfers. Transactions
in which the person to whom the
operating rights would be transferred is

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not an FMCSA carrier and is not
affiliated with any FMCSA carrier.
(h) Category 2 transfers. Transactions
in which the person to whom the
operating rights would be transferred is
an FMCSA carrier and/or is affiliated
with an FMCSA carrier.
§ 365.405T

Applications.

(a) Procedural requirements. (1) At
least 10 days before consummation, an
original and two copies of a properly
completed Form OP–FC–1 and any
attachments (see paragraph (b)(1)(viii) of
this section) must be filed with the
Federal Motor Carrier Safety
Administration, Office of Registration
and Safety Information (MC–RS), 1200
New Jersey Ave. SE., Washington, DC
20590–0001.
(2) At any time after the expiration of
the 10-day waiting period, applicants
may consummate the transaction,
subject to the subsequent approval of
the application by the FMCSA, as
described below. The transferee may
commence operations under the rights
acquired from the transferor upon its
compliance with the FMCSA’s
regulations governing insurance, and
process agents. See 49 CFR parts 387,
subpart C, and 366, respectively. In the
alternative, applicants may wait until
the FMCSA has issued a decision on
their application before transferring the
operating rights. If the transferee wants
the transferor’s operating authority to be
reissued in its name, it should furnish
the FMCSA with a statement executed
by both transferor and transferee
indicating that the transaction has been
consummated. Authority will not be
reissued until after the FMCSA has
approved the transaction.
(b) Information required. (1) In
category 1 and category 2 transfers,
applicants must furnish the following
information:
(i) Full name, address, and signatures
of the transferee and transferor.
(ii) A copy of the transferor’s
operating authority involved in the
transfer proceeding.
(iii) A short summary of the essential
terms of the transaction.
(iv) If relevant, the status of
proceedings for the transfer of State
certificate(s) corresponding to the
Certificates of Registration being
transferred.
(v) A statement as to whether the
transfer will or will not significantly
affect the quality of the human
environment.
(vi) Certification by transferor and
transferee of their current respective
safety ratings by the United States
Department of Transportation (i.e.,

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5301

satisfactory, conditional, unsatisfactory,
or unrated).
(vii) Certification by the transferee
that it has sufficient insurance coverage
under 49 U.S.C. 13906 for the service it
intends to provide.
(viii) Information to demonstrate that
the proposed transaction is consistent
with the national transportation policy
and satisfies the criteria for approval set
forth at § 365.409T. (Such information
may be appended to the application
form and, if provided, would be
embraced by the oath and verification
contained on that form.)
(ix) If motor carrier operating rights
are being transferred, certification by the
transferee that it is not domiciled in
Mexico nor owned or controlled by
persons of that country.
(2) Category 2 applicants must also
submit the following additional
information:
(i) Name(s) of the carrier(s), if any,
with which the transferee is affiliated.
(ii) Aggregate revenues of the
transferor, transferee, and their carrier
affiliates from interstate transportation
sources for a 1-year period ending not
earlier than 6 months before the date of
the agreement of the parties concerning
the transaction. If revenues exceed $2
million, the transfer may be subject to
49 U.S.C. 14303 rather than these rules.
§ 365.407T

Notice.

The FMCSA will give notice of
approved transfer applications through
publication in the FMCSA Register.
§ 365.409T
approval.

FMCSA action and criteria for

A transfer will be approved under this
section if:
(a) The transaction is not subject to 49
U.S.C. 14303; and
(b) The transaction is consistent with
the public interest; however,
(c) If the transferor or transferee has
an ‘‘Unsatisfactory’’ safety fitness rating
from DOT, the transfer may be denied.
If an application is denied, the FMCSA
will set forth the basis for its action in
a decision or letter notice. If parties with
‘‘Unsatisfactory’’ safety fitness ratings
consummate a transaction pursuant to
the 10-day rule at § 365.405T prior to
the notification of FMCSA action, they
do so at their own risk and subject to
any conditions we may impose
subsequently. Transactions that have
been consummated but later are denied
by the FMCSA are null and void and
must be rescinded. Similarly, if
applications contain false or misleading
information, they are void ab initio.
§ 365.411T

Responsive pleadings.

(a) Protests must be filed within 20
days after the date of publication of an

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approved transfer application in the
FMCSA Register. Protests received prior
to the notice will be rejected. Applicants
may respond within 20 days after the
due date of protests. Petitions for
reconsideration of decisions denying
applications must be filed within 20
days after the date of service of such
decisions.
(b) Protests and petitions for
reconsideration must be filed with the
Federal Motor Carrier Safety
Administration, Office of Registration
and Safety Information (MC–RS), 1200
New Jersey Ave. SE., Washington, DC
20590–0001, and be served on
appropriate parties.

sradovich on DSK3GMQ082PROD with RULES6

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

(a) Scope. These procedures apply in
the following circumstances:
(1) A change in the form of a business,
such as the incorporation of a
partnership or sole proprietorship;
(2) A change in the legal name of a
corporation or partnership or change in
the trade name or assumed name of any
entity;
(3) A transfer of operating rights from
a deceased or incapacitated spouse to
the other spouse;
(4) A reincorporation and merger for
the purpose of effecting a name change;
(5) An amalgamation or consolidation
of a carrier and a noncarrier into a new
carrier having a different name from
either of the predecessor entities; and
(6) A change in the State of
incorporation accomplished by
dissolving the corporation in one State
and reincorporating in another State.
(b) Procedures. To accomplish these
changes, a letter or signed copy of form
MCSA–5889, ‘‘Motor Carrier Records
Change Form,’’ OMB No. 2126–0060,
must be submitted to the Federal Motor
Carrier Safety Administration. It must
be submitted in one of the following
three ways.
(1) Scanned and submitted via the
web form at https://www.fmcsa.dot.gov/
ask;
(2) Faxed to (202–366–3477); or
(3) Mailed to the Federal Motor
Carrier Safety Administration, Office of
Registration and Safety Information
(MC–RS), 1200 New Jersey Ave. SE.,
Washington, DC 20590–0001. The
envelope should be marked ‘‘NAME
CHANGE’’.
(c) The registrant must provide:
(1) The docket number(s) and name of
the carrier, freight forwarder, or
property broker requesting the change;
(2) A copy of the articles of
incorporation and the State certificate
reflecting the incorporation;

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(3) The name(s) of the owner(s) of the
stock and the distribution of the shares;
(4) The names of the officers and
directors of the corporation; and
(5) A statement that there is no change
in the ownership, management, or
control of the business. When this
procedure is being used to transfer
operating rights from a deceased or
incapacitated spouse to the other
spouse, documentation that the other
spouse has the legal right to effect such
change must be included with the
request. The fee for filing a name change
request is in § 360.3T(f) of this chapter.
§§ 365.507 and 365.509
■
■

[SUSPENDED]

25. Suspend §§ 365.507 and 365.509.
26. Add § 365.507T to read as follows:

§ 365.507T FMCSA action on the
application.

(a) The FMCSA will review and act on
each application submitted under this
subpart in accordance with the
procedures set out in this part.
(b) The FMCSA will validate the
accuracy of information and
certifications provided in the
application by checking data
maintained in databases of the
governments of Mexico and the United
States.
(c) Pre-authorization safety audit.
Every Mexico-domiciled carrier that
applies under this part must
satisfactorily complete an FMCSAadministered safety audit before FMCSA
will grant provisional operating
authority to operate in the United
States. The safety audit is a review by
the FMCSA of the carrier’s written
procedures and records to validate the
accuracy of information and
certifications provided in the
application and determine whether the
carrier has established or exercises the
basic safety management controls
necessary to ensure safe operations. The
FMCSA will evaluate the results of the
safety audit using the criteria in
appendix A to this subpart.
(d) If a carrier successfully completes
the pre-authorization safety audit and
the FMCSA approves its application
submitted under this subpart, FMCSA
will publish a summary of the
application as a preliminary grant of
authority in the FMCSA Register to give
notice to the public in case anyone
wishes to oppose the application, as
required in § 365.109T(b).
(e) If the FMCSA grants provisional
operating authority to the applicant, it
will assign a distinctive USDOT
Number that identifies the motor carrier
as authorized to operate beyond the
municipalities in the United States on
the U.S.-Mexico international border

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and beyond the commercial zones of
such municipalities. In order to operate
in the United States, a Mexicodomiciled motor carrier with
provisional operating authority must:
(1) Have its surety or insurance
provider file proof of financial
responsibility in the form of certificates
of insurance, surety bonds, and
endorsements, as required by
§ 387.301T of this subchapter;
(2) File a hard copy of, or have its
process agent(s) electronically submit,
Form BOC–3—Designation of AgentsMotor Carriers, Brokers and Freight
Forwarders, as required by part 366 of
this subchapter; and
(3) Comply with all provisions of the
safety monitoring system in subpart B of
part 385 of this subchapter, including
successfully passing CVSA Level I
inspections at least every 90 days and
having decals affixed to each
commercial motor vehicle operated in
the United States as required by
§ 385.103(c) of this subchapter.
(f) The FMCSA may grant permanent
operating authority to a Mexicodomiciled carrier no earlier than 18
months after the date that provisional
operating authority is granted and only
after successful completion to the
satisfaction of the FMCSA of the safety
monitoring system for Mexicodomiciled carriers set out in subpart B
of part 385 of this subchapter.
Successful completion includes
obtaining a satisfactory safety rating as
the result of a compliance review.
■ 26. Add § 365.509T to read as follows:
§ 365.509T Requirement to notify FMCSA
of change in applicant information.

(a) A motor carrier subject to this
subpart must notify the FMCSA of any
changes or corrections to the
information in parts I, IA or II submitted
on the Form OP–1(MX) or the Form
BOC–3—Designation of Agents—Motor
Carriers, Brokers and Freight
Forwarders during the application
process or after having been granted
provisional operating authority. The
carrier must notify the FMCSA in
writing within 45 days of the change or
correction.
(b) If a carrier fails to comply with
paragraph (a) of this section, the FMCSA
may suspend or revoke its operating
authority until it meets those
requirements.
PART 366—DESIGNATION OF
PROCESS AGENT
27. The authority citation for part 366
is revised to read as follows:

■

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

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§§ 366.1 through 366.6

[SUSPENDED]

28. Suspend §§ 366.1 through 366.6.
29. Add §§ 366.1T through 366.6T to
read as follows:

■
■

Sec.
366.1T
366.2T
366.3T
366.4T
366.5T
366.6T
§ 366.1T

§ 366.6T

Applicability.

Form of designation.

Designations shall be made on Form
BOC–3, Designation of Agent for Service
of Process. Only one completed current
form may be on file. It must include all
States for which agent designations are
required. One copy must be retained by
the carrier or broker at its principal
place of business.
§ 366.3T

Eligible persons.

All persons (as defined at 49 U.S.C.
13102(18)) designated as process agents
must reside in or maintain an office in
the State for which they are designated.
If a State official is designated, evidence
of his or her willingness to accept
service of process must be furnished.
§ 366.4T

Required States.

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

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§ 366.5T

Blanket designations.

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

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Cancellation or change.

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

Applicability.
Form of designation.
Eligible persons.
Required States.
Blanket designations.
Cancellation or change.

These rules, relating to the filing of
designations of persons upon whom
court process may be served, govern
motor carriers and brokers and, as of the
moment of succession, their fiduciaries
(as defined at 49 CFR 387.319(a)).
§ 366.2T

operate, including States traversed
during such operations, except those
States for which individual designations
are named.

PART 368—APPLICATION FOR A
CERTIFICATE OF REGISTRATION TO
OPERATE IN MUNICIPALITIES IN THE
UNITED STATES ON THE UNITED
STATES-MEXICO INTERNATIONAL
BORDER OR WITHIN THE
COMMERCIAL ZONES OF SUCH
MUNICIPALITIES
30. The authority citation for part 368
is revised to read as follows:

■

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

31. Add § 368. 3–1T to read as
follows:

■

§ 368.3–1T Starting the application
process: URS online application.

(a) Notwithstanding any other
provision of this part, new applicants as
defined in paragraph (b) of this section
must apply for a USDOT number and
operating authority by electronically
filing Form MCSA–1, the URS online
application (available at http://
www.fmcsa.dot.gov/urs) to request
authority pursuant to 49 U.S.C. 13902 to
provide interstate transportation in
municipalities in the United States on
the United States-Mexico international
border or within the commercial zones
of such municipalities as defined in 49
U.S.C. 13902(c)(4)(A).
(b) For purposes of this section, a
‘‘new applicant’’ is an citizen of Mexico
or a motor carrier owned or controlled
by a citizen of Mexico, applying for a
USDOT number and operating authority
who does not at the time of application
have an active registration or USDOT,
Motor Carrier (MC), Mexico owned or
controlled (MX) or Freight Forwarder
(FF) number, and who has never had an
active registration or USDOT, MC, MX,
or FF number.
(c) Form MCSA–1, is the URS online
application, and both the application
and its instructions are available from
the FMCSA Web site at http://
www.fmcsa.dot.gov/urs.
§§ 368.3 and 368.4
■
■

[SUSPENDED]

32. Suspend §§ 368.3 and 368.4.
33. Add § 368.3T to read as follows:

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5303

§ 368.3T Applying for a certificate of
registration.

(a) If you wish to obtain a certificate
of registration under this part, you must
submit an application that includes the
following:
(1) Form OP–2—Application for
Mexican Certificate of Registration for
Foreign Motor Carriers and Foreign
Motor Private Carriers Under 49 U.S.C.
13902;
(2) Form MCS–150—Motor Carrier
Identification Report; and
(3) A notification of the means used
to designate process agents, either by
submission in the application package
of Form BOC–3—Designation of
Agents—Motor Carriers, Brokers and
Freight Forwarders or a letter stating
that the applicant will use a process
agent service that will submit the Form
BOC–3 electronically.
(b) The FMCSA will only process
your application for a Certificate of
Registration if it meets the following
conditions:
(1) The application must be
completed in English;
(2) The information supplied must be
accurate and complete in accordance
with the instructions to the Form OP–
2, Form MCS–150 and Form BOC–3;
(3) The application must include all
the required supporting documents and
applicable certifications set forth in the
instructions to the Form OP–2, Form
MCS–150 and Form BOC–3;
(4) The application must include the
filing fee payable to the FMCSA in the
amount set forth in 49 CFR 360.3T(f)(1);
and
(5) The application must be signed by
the applicant.
(c) If you fail to furnish the complete
application as described under
paragraph (b) of this section your
application may be rejected.
(d) If you submit false information
under this section, you will be subject
to applicable Federal penalties.
(e) You must submit the application
to the address provided in the
instructions to the Form OP–2.
(f) You may obtain the application
described in paragraph (a) of this
section from any FMCSA Division
Office or download it from the FMCSA
Web site at: http://www.fmcsa.dot.gov/
factsfigs/formspubs.htm.
■ 34. Add § 368.4T to read as follows:
§ 368.4T Requirement to notify FMCSA of
change in applicant information.

(a) You must notify the FMCSA of any
changes or corrections to the
information in Parts I, IA or II submitted
on the Form OP–2 or the Form BOC–3—
Designation of Agents—Motor Carriers,
Brokers and Freight Forwarders during

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the application process or while you
have a Certificate of Registration. You
must notify the FMCSA in writing
within 45 days of the change or
correction.
(b) If you fail to comply with
paragraph (a) of this section, the FMCSA
may suspend or revoke the Certificate of
Registration until you meet those
requirements.
§ 368.8
■
■

[SUSPENDED]

35. Suspend § 368.8.
36. Add § 368.8T to read as follows:

§ 368.8T

Appeals.

An applicant has the right to appeal
denial of the application. The appeal
must be in writing and specify in detail
why the agency’s decision to deny the
application was wrong. The appeal must
be filed with the Director, Office of Data
Analysis and Information Systems
within 20 days of the date of the letter
denying the application. The decision of
the Director will be the final agency
order.
PART 385—SAFETY FITNESS
PROCEDURES
37. The authority citation for part 385
is revised to read as follows:

■

Authority: 49 U.S.C. 113, 504, 521(b),
5105(e), 5109, 5113, 13901–13905, 13908,
31136, 31144, 31148, 31151, and 31502; Sec.
350 of Pub. L. 107–87; and 49 CFR 1.87.
§§ 385.301 through 385.305

[SUSPENDED]

38. Suspend §§ 385.301 through
385.305.
■ 39. Add § 385.301T to read as follows:
■

sradovich on DSK3GMQ082PROD with RULES6

§ 385.301T What is a motor carrier
required to do before beginning interstate
operations?

(a) Before a motor carrier of property
or passengers begins interstate
operations, it must register with the
FMCSA and receive a USDOT number.
In addition, for-hire motor carriers must
obtain operating authority from FMCSA
following the registration procedures
described in 49 CFR part 365, unless
providing transportation exempt from
49 CFR part 365 registration
requirements.
(b) This subpart applies to motor
carriers domiciled in the United States
and Canada.
(c) A Mexico-domiciled motor carrier
of property or passengers must register
with the FMCSA by following the
registration procedures described in 49
CFR part 365 or 368, as appropriate. The
regulations in this subpart do not apply
to Mexico-domiciled carriers.
■ 40. Add § 385.303T to read as follows:

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§ 385.303T How does a motor carrier
register with the FMCSA?

A motor carrier may contact the
FMCSA by internet
(www.fmcsa.dot.gov); or Washington,
DC headquarters by mail at, Federal
Motor Carrier Safety Administration,
1200 New Jersey Ave. SE., Washington,
DC 20590–0001; fax 202–366–3477; or
telephone 1–800–832–5660, and request
the application materials for a new
entrant motor carrier. Forms can also be
downloaded from https://
www.fmcsa.dot.gov/registration/
registration-forms. A motor carrier
which does not already have a USDOT
number must apply online via the
Unified Registration System (URS) at
www.fmcsa.dot.gov/urs.
■ 41. Add § 385.305T to read as follows:
§ 385.305T What happens after the FMCSA
receives a request for new entrant
registration?

(a) The requester for new entrant
registration will be directed to the
FMCSA Internet Web site
(www.fmcsa.dot.gov) to secure and/or
complete the application package
online.
(b) The application package will
contain the following:
(1) Educational and technical
assistance material regarding the
requirements of the FMCSRs and HMRs,
if applicable.
(2) The Form MCS–150, The Motor
Carrier Identification Report.
(3) Application forms to obtain
operating authority under 49 CFR part
365, as appropriate.
(c) Upon completion of the
application forms, the new entrant will
be issued a USDOT number.
(d) For-hire motor carriers, unless
providing transportation exempt from
49 CFR part 365 registration
requirements, must also comply with
the procedures established in 49 CFR
part 365 to obtain operating authority
before operating in interstate commerce.
§ 385.329
■
■

[SUSPENDED]

42. Suspend § 385.329.
43. Add § 385.329T to read as follows:

§ 385.329T May a new entrant that has had
its USDOT new entrant registration revoked
and its operations placed out of service
reapply?

(a) A new entrant whose USDOT new
entrant registration has been revoked,
and whose operations have been placed
out of service by FMCSA, may reapply
for new entrant registration no sooner
than 30 days after the date of revocation.
(b) If the USDOT new entrant
registration was revoked because of a
failed safety audit, the new entrant must
do all of the following:

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(1) Submit an updated MCS–150.
(2) Submit evidence that it has
corrected the deficiencies that resulted
in revocation of its registration and will
otherwise ensure that it will have basic
safety management controls in effect.
(3) Begin the 18-month new entrant
monitoring cycle again as of the date the
re-filed application is approved.
(c) If the USDOT new entrant
registration was revoked because
FMCSA found that the new entrant had
failed to submit to a safety audit, it must
do all of the following:
(1) Submit an updated MCS–150.
(2) Begin the 18-month new entrant
monitoring cycle again as of the date the
re-filed application is approved.
(3) Submit to a safety audit.
(d) If the new entrant is a for-hire
carrier subject to the registration
provisions under 49 U.S.C. 13901 and
also has had its operating authority
revoked, it must re-apply for operating
authority as set forth in part 365 of this
chapter.
§ 385.405
■
■

[SUSPENDED]

44. Suspend § 385.405.
45. Add § 385.405T to read as follows:

§ 385.405T How does a motor carrier apply
for a safety permit?

(a) Application form(s). (1) To apply
for a new safety permit or renewal of the
safety permit, a motor carrier must
complete and submit Form MCS–150B,
Combined Motor Carrier Identification
Report and HM Permit Application.
(2) The Form MCS–150B will also
satisfy the requirements for obtaining
and renewing a USDOT Number; there
is no need to complete Form MCS–150,
Motor Carrier Identification Report.
(b) Where to get forms and
instructions. The forms listed in
paragraph (a) of this section, and
instructions for completing the forms,
may be obtained on the Internet at
http://www.fmcsa.dot.gov, or by
contacting FMCSA at Federal Motor
Carrier Safety Administration, Office of
Information Technology (MC–RI), 1200
New Jersey Ave. SE., Washington, DC
20590–0001, Telephone: 1–800–832–
5660.
(c) Registration with the Pipeline and
Hazardous Materials Safety
Administration (PHMSA). The motor
carrier must be registered with PHMSA
in accordance with part 107, subpart G,
of this title.
(d) Updating information on Form
MCS–150B. A motor carrier holding a
safety permit must report to FMCSA any
change in the information on its Form
MCS–150B within 30 days of the
change. The motor carrier must use
Form MCS–150B to report the new

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information (contact information in
paragraph (b) of this section).
§ 385.409
■
■

[SUSPENDED]

46. Suspend § 385.409.
47. Add § 385.409T to read as follows:

§ 385.409T When may a temporary safety
permit be issued to a motor carrier?

(a) Temporary safety permit. If a
motor carrier does not meet the criteria
in § 385.407(a), FMCSA may issue it a
temporary safety permit. To obtain a
temporary safety permit a motor carrier
must certify on Form MCS–150B that it
is operating in full compliance with the
HMRs; with the FMCSRs, and/or
comparable State regulations, whichever
is applicable; and with the minimum
financial responsibility requirements in
part 387 of this chapter or in State
regulations, whichever is applicable.
(b) FMCSA will not issue a temporary
safety permit to a motor carrier that:
(1) Does not certify that it has a
satisfactory security program as required
in § 385.407(b);
(2) Has a crash rate in the top 30
percent of the national average as
indicated in the FMCSA’s Motor Carrier
Management Information System
(MCMIS); or
(3) Has a driver, vehicle, hazardous
materials, or total out-of-service rate in
the top 30 percent of the national
average as indicated in the MCMIS.
(c) A temporary safety permit shall be
valid for 180 days after the date of
issuance or until the motor carrier is
assigned a new safety rating, whichever
occurs first.
(1) A motor carrier that receives a
Satisfactory safety rating will be issued
a safety permit (see § 385.421T).
(2) A motor carrier that receives a less
than Satisfactory safety rating is
ineligible for a safety permit and will be
subject to revocation of its temporary
safety permit.
(d) If a motor carrier has not received
a safety rating within the 180-day time
period, FMCSA will extend the effective
date of the temporary safety permit for
an additional 60 days, provided the
motor carrier demonstrates that it is
continuing to operate in full compliance
with the FMCSRs and HMRs.
§§ 385.419 and 385.421
■

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■

[SUSPENDED]

48. Suspend §§ 385.419 and 385.421.
49. Add § 385.419T to read as follows:

§ 385.419T
effective?

How long is a safety permit

Unless suspended or revoked, a safety
permit (other than a temporary safety
permit) is effective for two years, except
that:
(a) A safety permit will be subject to
revocation if a motor carrier fails to

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submit a renewal application (Form
MCS–150B) in accordance with the
schedule set forth for filing Form MCS–
150 in § 390.19T(a) of this chapter; and
(b) An existing safety permit will
remain in effect pending FMCSA’s
processing of an application for renewal
if a motor carrier submits the required
application (Form MS–150B) in
accordance with the schedule set forth
in § 390.19T(a)(2) and (3) of this
chapter.
■ 50. Add § 385.421T to read as follows:
§ 385.421T Under what circumstances will
a safety permit be subject to revocation or
suspension by FMCSA?

(a) Grounds. A safety permit will be
subject to revocation or suspension by
FMCSA for the following reasons:
(1) A motor carrier fails to submit a
renewal application (Form MCS–150B)
in accordance with the schedule set
forth in § 390.19T(a)(2) and (3) of this
chapter;
(2) A motor carrier provides any false
or misleading information on its
application (Form MCS–150B) or as part
of updated information it is providing
on Form MCS–150B (see § 385.405T(d)).
(3) A motor carrier is issued a final
safety rating that is less than
Satisfactory;
(4) A motor carrier fails to maintain a
satisfactory security plan as set forth in
§ 385.407(b);
(5) A motor carrier fails to comply
with applicable requirements in the
FMCSRs, the HMRs, or compatible State
requirements governing the
transportation of hazardous materials, in
a manner showing that the motor carrier
is not fit to transport the hazardous
materials listed in § 385.403;
(6) A motor carrier fails to comply
with an out-of-service order;
(7) A motor carrier fails to comply
with any other order issued under the
FMCSRs, the HMRs, or compatible State
requirements governing the
transportation of hazardous materials, in
a manner showing that the motor carrier
is not fit to transport the hazardous
materials listed in § 385.403;
(8) A motor carrier fails to maintain
the minimum financial responsibility
required by § 387.9 of this chapter or an
applicable State requirement;
(9) A motor carrier fails to maintain
current hazardous materials registration
with the Pipeline and Hazardous
Materials Safety Administration; or
(10) A motor carrier loses its operating
rights or has its registration suspended
in accordance with § 386.83 or § 386.84
of this chapter for failure to pay a civil
penalty or abide by a payment plan.
(b) Determining whether a safety
permit is revoked or suspended. A

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5305

motor carrier’s safety permit will be
suspended the first time any of the
conditions specified in paragraph (a) of
this section are found to apply to the
motor carrier. A motor carrier’s safety
permit will be revoked if any of the
conditions specified in paragraph (a) of
this section are found to apply to the
motor carrier and the carrier’s safety
permit has been suspended in the past
for any of the reasons specified in
paragraph (a) of this section.
(c) Effective date of suspension or
revocation. A suspension or revocation
of a safety permit is effective:
(1) Immediately after FMCSA
determines that an imminent hazard
exists, after FMCSA issues a final safety
rating that is less than Satisfactory, or
after a motor carrier loses its operating
rights or has its registration suspended
for failure to pay a civil penalty or abide
by a payment plan;
(2) Thirty (30) days after service of a
written notification that FMCSA
proposes to suspend or revoke a safety
permit, if the motor carrier does not
submit a written request for
administrative review within that time
period; or
(3) As specified in § 385.423(c), when
the motor carrier submits a written
request for administrative review of
FMCSA’s proposal to suspend or revoke
a safety permit.
(4) A motor carrier whose safety
permit has been revoked will not be
issued a replacement safety permit or
temporary safety permit for 365 days
from the time of revocation.
§ 385.603
■
■

[SUSPENDED]

51. Suspend § 385.603.
52. Add § 385.603T to read as follows:

§ 385.603T

Application.

(a) Each applicant applying under this
subpart must submit an application that
consists of:
(1) Form OP–1(NNA)—Application
for U.S. Department of Transportation
(USDOT) Registration by Non-North
America-Domiciled Motor Carriers;
(2) Form MCS–150—Motor Carrier
Identification Report; and
(3) A notification of the means used
to designate process agents, either by
submission in the application package
of Form BOC–3—Designation of
Agents—Motor Carriers, Brokers and
Freight Forwarders or a letter stating
that the applicant will use a process
agent service that will submit the Form
BOC–3 electronically.
(b) FMCSA will only process an
application if it meets the following
conditions:
(1) The application must be
completed in English;

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(2) The information supplied must be
accurate, complete, and include all
required supporting documents and
applicable certifications in accordance
with the instructions to Form OP–
1(NNA), Form MCS–150 and Form
BOC–3;
(3) The application must include the
filing fee payable to the FMCSA in the
amount set forth at 49 CFR 360.3T(f)(1);
and
(4) The application must be signed by
the applicant.
(c) An applicant must submit the
application to the address provided in
Form OP–1(NNA).
(d) An applicant may obtain the
application forms from any FMCSA
Division Office or download them from
the FMCSA Web site at: http://
www.fmcsa.dot.gov/forms/forms.htm.
§§ 385.607 and 385.609
■
■

[SUSPENDED]

53. Suspend §§ 385.607 and 385.609.
54. Add § 385.607T to read as follows:

sradovich on DSK3GMQ082PROD with RULES6

§ 385.607T FMCSA action on the
application.

(a) FMCSA will review and act on
each application submitted under this
subpart in accordance with the
procedures set out in this part.
(b) FMCSA will validate the accuracy
of information and certifications
provided in the application by checking,
to the extent available, data maintained
in databases of the governments of the
country where the carrier’s principal
place of business is located and the
United States.
(c) Pre-authorization safety audit.
Every non-North America-domiciled
motor carrier that applies under this
part must satisfactorily complete an
FMCSA-administered safety audit
before FMCSA will grant new entrant
registration to operate in the United
States. The safety audit is a review by
FMCSA of the carrier’s written
procedures and records to validate the
accuracy of information and
certifications provided in the
application and determine whether the
carrier has established or exercises the
basic safety management controls
necessary to ensure safe operations.
FMCSA will evaluate the results of the
safety audit using the criteria in the
appendix to this subpart.
(d) An application of a non-North
America-domiciled motor carrier
requesting for-hire operating authority
under part 365 of this subchapter may
be protested under § 365.109T(b). Such
a carrier will be granted new entrant
registration after successful completion
of the pre-authorization safety audit and
the expiration of the protest period,
provided the application is not

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protested. If a protest to the application
is filed with FMCSA, new entrant
registration will be granted only if
FMCSA denies or rejects the protest.
(e) If FMCSA grants new entrant
registration to the applicant, it will
assign a distinctive USDOT Number that
identifies the motor carrier as
authorized to operate in the United
States. In order to initiate operations in
the United States, a non-North Americadomiciled motor carrier with new
entrant registration must:
(1) Have its surety or insurance
provider file proof of financial
responsibility in the form of certificates
of insurance, surety bonds, and
endorsements, as required by
§§ 387.7(e)(2), 387.31(e)(2), and
387.301T of this subchapter, as
applicable; and
(2) File a hard copy of, or have its
process agent(s) electronically submit,
Form BOC–3—Designation of Agents—
Motor Carriers, Brokers and Freight
Forwarders, as required by part 366 of
this subchapter.
(f) A non-North America-domiciled
motor carrier must comply with all
provisions of the safety monitoring
system in subpart I of this part,
including successfully passing North
American Standard commercial motor
vehicle inspections at least every 90
days and having safety decals affixed to
each commercial motor vehicle operated
in the United States as required by
§ 385.703(c).
(g) FMCSA may not re-designate a
non-North America-domiciled carrier’s
registration from new entrant to
permanent prior to 18 months after the
date its USDOT Number is issued and
subject to successful completion of the
safety monitoring system for non-North
America-domiciled carriers set out in
subpart I of this part. Successful
completion includes obtaining a
Satisfactory safety rating as the result of
a compliance review.
■ 55. Add § 385.609T to read as follows:
§ 385.609T Requirement to notify FMCSA
of change in applicant information.

(a)(1) A motor carrier subject to this
subpart must notify FMCSA of any
changes or corrections to the
information the Form BOC–3—
Designation of Agents—Motor Carriers,
Brokers and Freight Forwarders that
occur during the application process or
after having been granted new entrant
registration.
(2) A motor carrier subject to this
subpart must notify FMCSA of any
changes or corrections to the
information in Section I, IA or II of
Form OP–1(NNA)—Application for U.S.
Department of Transportation (USDOT)

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Registration by Non-North AmericaDomiciled Motor Carriers that occurs
during the application process or after
having been granted new entrant
registration.
(3) A motor carrier must notify
FMCSA in writing within 45 days of the
change or correction to information
under paragraph (a)(1) or (2) of this
section.
(b) If a motor carrier fails to comply
with paragraph (a) of this section,
FMCSA may suspend or revoke its new
entrant registration until it meets those
requirements.
§ 385.713
■
■

[SUSPENDED]

56. Suspend § 385.713.
57. Add § 385.713T to read as follows:

§ 385.713T Reapplying for new entrant
registration.

(a) A non-North America-domiciled
motor carrier whose provisional new
entrant registration has been revoked
may reapply for new entrant registration
no sooner than 30 days after the date of
revocation.
(b) If the provisional new entrant
registration was revoked because the
new entrant failed to receive a
Satisfactory rating after undergoing a
compliance review, the new entrant
must do all of the following:
(1) Submit an updated MCS–150.
(2) Submit evidence that it has
corrected the deficiencies that resulted
in revocation of its registration and will
otherwise ensure that it will have basic
safety management controls in effect.
(3) Successfully complete a preauthorization safety audit in accordance
with § 385.607T(c).
(4) Begin the 18-month new entrant
monitoring cycle again as of the date the
re-filed application is approved.
(c) If the provisional new entrant
registration was revoked because
FMCSA found that the new entrant had
failed to submit to a compliance review,
it must do all of the following:
(1) Submit an updated MCS–150.
(2) Successfully complete a preauthorization safety audit in accordance
with § 385.607T(c).
(3) Begin the 18-month new entrant
monitoring cycle again as of the date the
re-filed application is approved.
(4) Submit to a compliance review
upon request.
(d) If the new entrant is a for-hire
carrier subject to the registration
provisions under 49 U.S.C. 13901 and
also has had its operating authority
revoked, it must re-apply for operating
authority as set forth in part 365 of this
subchapter.

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§ 387.19

PART 387—MINIMUM LEVELS OF
FINANCIAL RESPONSIBILITY FOR
MOTOR CARRIERS

■

Authority: 49 U.S.C. 13101, 13301, 13906,
13908, 14701, 31138, and 31139; and 49 CFR
1.87.

§ 387.33T Financial responsibility,
minimum levels.

59. Suspend § 387.19.

§ 387.33

58. The authority citation for part 387
is revised to read as follows:

■

[SUSPENDED]

The minimum levels of financial
responsibility referred to in § 387.31 are
hereby prescribed as follows:

[SUSPENDED]

■

60. Suspend § 387.33.

■

61. Add § 387.33T to read as follows:

Schedule of Limits
Public Liability
For-hire motor carriers of passengers
operating in interstate or foreign
commerce.
Effective dates

Vehicle seating capacity
Nov. 19, 1983

Nov. 19, 1985

$2,500,000
750,000

$5,000,000
1,500,000

(1) Any vehicle with a seating capacity of 16 passengers or more ........................................................................
(2) Any vehicle with a seating capacity of 15 passengers or less 1 .......................................................................
1 Except

§ 387.43
■

as provided in § 387.27(b).
[Suspended]

62. Suspend § 387.43.

§§ 387.301 and 387.303
■
■

[Suspended]

63. Suspend §§ 387.301 and 387.303.
64. Add § 387.301T to read as follows:

§ 387.301T Surety bond, certificate of
insurance, or other securities.

(a) Public liability. (1) No common or
contract carrier or foreign (Mexican)
motor private carrier or foreign motor
carrier transporting exempt
commodities subject to Subtitle IV, part
B, chapter 135 of title 49 of the U.S.
Code shall engage in interstate or
foreign commerce, and no certificate or
permit shall be issued to such a carrier
or remain in force unless and until there
shall have been filed with and accepted
by the FMCSA surety bonds, certificates
of insurance, proof of qualifications as
self-insurer, or other securities or
agreements, in the amounts prescribed
in § 387.303T, conditioned to pay any
final judgment recovered against such
motor carrier for bodily injuries to or the
death of any person resulting from the
negligent operation, maintenance or use
of motor vehicles in transportation
subject to Subtitle IV, part B, chapter

135 of title 49 of the U.S. Code, or for
loss of or damage to property of others,
or, in the case of motor carriers of
property operating freight vehicles
described in § 387.303T(b)(2), for
environmental restoration.
(2) Motor Carriers of property which
are subject to the conditions set forth in
paragraph (a)(1) of this section and
transport the commodities described in
§ 387.303T(b)(2), are required to obtain
security in the minimum limits
prescribed in § 387.303T(b)(2).
(b) Household goods motor carrierscargo insurance. No household goods
motor carrier subject to subtitle IV, part
B, chapter 135 of title 49 of the U.S.
Code shall engage in interstate or
foreign commerce, nor shall any
certificate be issued to such a household
goods motor carrier or remain in force
unless and until there shall have been
filed with and accepted by the FMCSA,
a surety bond, certificate of insurance,
proof of qualifications as a self-insurer,
or other securities or agreements in the
amounts prescribed in § 387.303T,
conditioned upon such carrier making
compensation to individual shippers for
all property belonging to individual
shippers and coming into the possession

of such carrier in connection with its
transportation service. The terms
‘‘household goods motor carrier’’ and
‘‘individual shipper’’ are defined in part
375 of this subchapter.
(c) Continuing compliance required.
Such security as is accepted by the
FMCSA in accordance with the
requirements of section 13906 of title 49
of the U.S. Code, shall remain in effect
at all times.
■ 65. Add § 387.303T to read as follows:
§ 387.303T Security for the protection of
the public: Minimum limits.

(a) Definitions. (1) Primary security
means public liability coverage
provided by the insurance or surety
company responsible for the first dollar
of coverage.
(2) Excess security means public
liability coverage above the primary
security, or above any additional
underlying security, up to and including
the required minimum limits set forth in
paragraph (b)(2) of this section.
(b)(1) Motor carriers subject to
§ 387.301T(a)(1) are required to have
security for the required minimum
limits as follows:
(i) Small freight vehicles.

Kind of equipment

Transportation
provided

Fleet including only vehicles under 10,001 pounds (4,536 kilograms) GVWR ...........

Property (non-hazardous) .........................

Minimum
limits
$300,000

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(ii) Passenger carriers.

PASSENGER CARRIERS: KIND OF EQUIPMENT
Minimum
limits

Vehicle seating capacity
(A) Any vehicle with a seating capacity of 16 passengers or more (including the driver) .................................................................
(B) Any vehicle designed or used to transport 15 passengers or less (including the driver) for compensation ...............................

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(2) Motor carriers subject to
§ 387.301T(a)(2) are required to have

Minimum
limits

Kind of equipment

Commodity transported

(i) Freight vehicles of 10,001 pounds
(4,536 kilograms) or more GVWR.
(ii) Freight vehicles of 10,001 (4,536 kilograms) pounds or more GVWR.

Property (non-hazardous) ............................................................................................

$750,000

Hazardous substances, as defined in § 171.8 of this title, transported in cargo
tanks, portable tanks, or hopper-type vehicles with capacities in excess of 3,500
water gallons, or in bulk explosives Division 1,1, 1.2 and 1.3 materials. Division
2.3, Hazard Zone A material; in bulk Division 2.1 or 2.2; or highway route controlled quantities of a Class 7 material, as defined in § 173.403 of this title.
Oil listed in § 172.101 of this title; hazardous waste, hazardous materials and hazardous substances defined in § 171.8 of this title and listed in § 172.101 of this
title, but not mentioned in paragraph (b) or (d) of this section.
Any quantity of Division 1.1, 1.2, or 1.3 material; any quantity of a Division 2.3,
Hazard Zone A, or Division 6.1, Packing Group I, Hazard Zone A material; or
highway route controlled quantities of Class 7 material as defined in § 173.455 of
this title.

5,000,000

(iii) Freight vehicles of 10,001 pounds
(4,536 kilograms) or more GVWR.
(iv) Freight vehicles under 10,001 pounds
(4,536 kilograms) GVWR.

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security for the required minimum
limits as follows:

(3) Motor carriers subject to the
minimum limits governed by this
section, which are also subject to
Department of Transportation limits
requirements, are at no time required to
have security for more than the required
minimum limits established by the
Secretary of Transportation in the
applicable provisions of this part.
(4) Foreign motor carriers and foreign
motor private carriers. Foreign motor
carriers and foreign motor private
carriers (Mexican), subject to the
requirements of 49 U.S.C. 13902(c) and
49 CFR part 368 regarding obtaining
certificates of registration from the
FMCSA, must meet our minimum
financial responsibility requirements by
obtaining insurance coverage, in the
required amounts, for periods of 24
hours or longer, from insurance or
surety companies, that meet the
requirements of § 387.315. These
carriers must have available for
inspection, in each vehicle operating in
the United States, copies of the
following documents:
(i) The certificate of registration;
(ii) The required insurance
endorsement (Form MCS–90); and
(iii) An insurance identification card,
binder, or other document issued by an
authorized insurer which specifies both
the effective date and the expiration
date of the insurance coverage.
Notwithstanding the provisions of
§ 387.301T(a)(1), the filing of evidence
of insurance is not required as a
condition to the issuance of a certificate
of registration. Further, the reference to
continuous coverage at § 387.313T(a)(6)
and the reference to cancellation notice
at § 387.313T(d) are not applicable to
these carriers.
(c) Household goods motor carriers:
Cargo liability. Security required to
compensate individual shippers for loss
or damage to property belonging to them

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Jkt 241001

and coming into the possession of
household goods motor carriers in
connection with their transportation
service:
(1) For loss of or damage to household
goods carried on any one motor
vehicle—$5,000; and
(2) For loss of or damage to or
aggregate of losses or damages of or to
household goods occurring at any one
time and place—$10,000.
§ 387.313
■
■

[Suspended]

66. Suspend § 387.313.
67. Add § 387.313T to read as follows:

§ 387.313T

Forms and procedures.

(a) Forms for endorsements,
certificates of insurance and others—(1)
In form prescribed. Endorsements for
policies of insurance and surety bonds,
certificates of insurance, applications to
qualify as a self-insurer, or for approval
of other securities or agreements, and
notices of cancellation must be in the
form prescribed and approved by the
FMCSA.
(2) Aggregation of insurance. (i) When
insurance is provided by more than one
insurer in order to aggregate security
limits for carriers operating only freight
vehicles under 10,000 pounds Gross
Vehicle Weight Rating, as defined in
§ 387.303T(b)(1), a separate Form BMC
90, with the specific amounts of
underlying and limits of coverage
shown thereon or appended thereto, and
Form BMC 91X certificate is required of
each insurer.
**Note: See Note for Rule 387.311. Also, it
should be noted that DOT is considering
prescribing adaptations of the Form MCS 90
endorsement and the Form MCS 82 surety
bond for use by passenger carriers and Rules
§§ 387.311 and 387.313T have been written
sufficiently broad to provide for this
contingency when new forms are prescribed
by that Agency.

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Frm 00018

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1,000,000
5,000,000

(ii) For aggregation of insurance for all
other carriers to cover security limits
under § 387.303T(b)(1) or (2), a separate
Department of Transportation
prescribed form endorsement and Form
BMC 91X certificate is required of each
insurer. When insurance is provided by
more than one insurer to aggregate
coverage for security limits under
§ 387.303T(c) a separate Form BMC 32
endorsement and Form BMC 34
certificate of insurance is required for
each insurer.
(iii) For aggregation of insurance for
foreign motor private carriers of
nonhazardous commodities to cover
security limits under § 387.303T(b)(4), a
separate Form BMC 90 with the specific
amounts of underlying and limits of
coverage shown thereon or appended
thereto, or Department of Transportation
prescribed form endorsement, and Form
BMC 91MX certificate is required for
each insurer.
(3) Use of certificates and
endorsements in BMC Series. Form BMC
91 certificates of insurance will be filed
with the FMCSA for the full security
limits under § 387.303T(b)(1) or (2).
(i) Form BMC 91X certificate of
insurance will be filed to represent full
coverage or any level of aggregation for
the security limits under
§ 387.303T(b)(1) or (2).
(ii) Form BMC 90 endorsement will be
used with each filing of Form BMC 91
or Form 91X certificate with the FMCSA
which certifies to coverage not governed
by the requirements of the Department
of Transportation. Form BMC 32
endorsement and Form BMC 34
certificate of insurance and Form BMC
83 surety bonds are used for the limits
of cargo liability under § 387.303T(c).
(iii) Form BMC 91MX certificate of
insurance will be filed to represent any
level of aggregation for the security
limits under § 387.303T(b)(4).

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Federal Register / Vol. 82, No. 10 / Tuesday, January 17, 2017 / Rules and Regulations
(4) Use of endorsements in MCS
Series. When Security limits certified
under § 387.303T(b)(1) or (b)(2) involves
coverage also required by the
Department of Transportation a Form
MCS endorsement prescribed by the
Department of Transportation such as,
and including, the Form MCS 90
endorsement is required.
(5) Surety bonds. When surety bonds
are used rather than certificates of
insurance, Form BMC 82 is required for
the security limits under
§ 387.303T(b)(1) not subject to
regulation by the Department of
Transportation, and Form MCS 82, or
any form of similar import prescribed by
the Department of Transportation, is
used for the security limits subject also
to minimum coverage requirements of
the Department of Transportation.
(6) Surety bonds and certificates in
effect continuously. Surety bonds and
certificates of insurance shall specify
that coverage thereunder will remain in
effect continuously until terminated as
herein provided, except:
(i) When filed expressly to fill prior
gaps or lapses in coverage or to cover
grants of emergency temporary authority
of unusually short duration and the
filing clearly so indicates; or
(ii) In special or unusual
circumstances, when special permission
is obtained for filing certificates of
insurance or surety bonds on terms
meeting other particular needs of the
situation.
(b) Filing and copies. Certificates of
insurance, surety bonds, and notices of
cancellation must be filed with the
FMCSA in triplicate.
(c) Name of insured. Certificates of
insurance and surety bonds shall be

issued in the full and correct name of
the individual, partnership, corporation
or other person to whom the certificate,
permit, or license is, or is to be, issued.
In the case of a partnership, all partners
shall be named.
(d) Cancellation notice. Except as
provided in paragraph (e) of this
section, surety bonds, certificates of
insurance and other securities or
agreements shall not be cancelled or
withdrawn until 30 days after written
notice has been submitted to the
FMCSA at its offices in Washington, DC,
on the prescribed form (Form BMC–35,
Notice of Cancellation Motor Carrier
Policies of Insurance under 49 U.S.C.
13906, and BMC–36, Notice of
Cancellation Motor Carrier and Broker
Surety Bonds, as appropriate) by the
insurance company, surety or sureties,
motor carrier, broker or other party
thereto, as the case may be, which
period of thirty (30) days shall
commence to run from the date such
notice on the prescribed form is actually
received by the FMCSA.
(e) Termination by replacement.
Certificates of insurance or surety bonds
which have been accepted by the
FMCSA under these rules may be
replaced by other certificates of
insurance, surety bonds or other
security, and the liability of the retiring
insurer or surety under such certificates
of insurance or surety bonds shall be
considered as having terminated as of
the effective date of the replacement
certificate of insurance, surety bond or
other security, provided the said
replacement certificate, bond or other
security is acceptable to the FMCSA
under the rules and regulations in this
part.

5309

(f) Termination of Forms BMC–32 and
BMC–34 for motor carriers transporting
property other than household goods.
Form BMC–32 endorsements and Form
BMC–34 certificates of insurance issued
to motor carriers transporting property
other than household goods that have
been accepted by the FMCSA under
these rules will expire on March 21,
2011.
§ 387.323

[Suspended]

■

68. Suspend § 387.323.

■

69. Add § 387.323T to read as follows:

§ 387.323T Electronic filing of surety
bonds, trust fund agreements, certificates
of insurance and cancellations.

(a) Insurers may, at their option and
in accordance with the requirements
and procedures set forth in paragraphs
(a) through (d) of this section, file forms
BMC 34, BMC 35, BMC 36, BMC 82,
BMC 83, BMC 84, BMC 85, BMC 91, and
BMC 91X electronically, in lieu of using
the prescribed printed forms.
(b) Each insurer must obtain
authorization to file electronically by
registering with the FMCSA. An
individual account number and
password for computer access will be
issued to each registered insurer.
(c) Filings may be transmitted online
via the Internet at: http://fhwali.volpe.dot.gov or via American
Standard Code Information Interchange
(ASCII). All ASCII transmission must be
in fixed format, i.e., all records must
have the same number of fields and
same length. The record layouts for
ASCII electronic transactions are
described in the following table:

sradovich on DSK3GMQ082PROD with RULES6

ELECTRONIC INSURANCE FILING TRANSACTIONS
Required
F = filing
C = cancel
B = both

Field name

Number of
positions

Description

Record type ..................
Insurer number .............

1 Numeric .........
8 Text ...............

Filing type .....................

1 Numeric .........

FMCSA docket number

8 Text ...............

Insured legal name ......
Insured d/b/a name ......

120 Text ...........
60 Text .............

Insured address ...........
Insured city ...................
Insured state ................
Insured zip code ...........
Insured country ............
Form code ....................

35 Text .............
30 Text .............
2 Text ...............
9 Numeric .........
2 Text ...............
10 Text .............

1 = Filing, 2 = Cancellation ...............................
FMCSA Assigned Insurer Number (Home Office) With Suffix (Issuing Office), If Different,
e.g., 12345–01.
1 = BI&PD, 2 = Cargo, 3 = Bond, 4 = Trust
Fund.
FMCSA Assigned MC or FF Number, e.g.,
MC000045.
Legal Name .......................................................
Doing Business As Name If Different From
Legal Name.
Either street or mailing address ........................
............................................................................
............................................................................
(Do not include dash if using 9 digit code) .......
(Will default to U.S.) ..........................................
BMC–91, BMC–91X, BMC–34, BMC–35, etc ...

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Start field

End field

B
B

1
2

1
9

B

10

10

B

11

18

B
B

19
139

138
198

B
B
B
B
B
B

199
234
264
266
275
277

233
263
265
274
276
286

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Federal Register / Vol. 82, No. 10 / Tuesday, January 17, 2017 / Rules and Regulations
ELECTRONIC INSURANCE FILING TRANSACTIONS—Continued
Description

Full, primary or excess
coverage.

1 Text ...............

Limit of liability ..............
Underlying limit of liability.
Effective date ...............

5 Numeric .........
5 Numeric .........

If BMC–91X, P or E = indicator of primary or
excess
policy;
1
=
Full
under
§ 387.303T(b)(1);
2
=
Full
under
§ 387.303T(b)(2).
$ in Thousands ..................................................
$ in Thousands (will default to $000 if Primary)

8 Text ...............

Policy number ..............

25 Text .............

MM/DD/YY Format for both Filing or Cancellation.
Surety companies may enter bond number ......

(d) All registered insurers agree to
furnish upon request to the FMCSA a
duplicate original of any policy (or
policies) and all endorsements, surety
bond, trust fund agreement, or other
filing.
§ 387.403
■
■

[Suspended]

General requirements.

(a) Cargo. A household goods freight
forwarder may not operate until it has
filed with FMCSA an appropriate surety
bond, certificate of insurance,
qualifications as a self-insurer, or other
securities or agreements, in the amounts
prescribed in § 387.405, for loss of or
damage to household goods.
(b) Public liability. A HHGFF may not
perform transfer, collection, and
delivery service until it has filed with
the FMCSA an appropriate surety bond,
certificate of insurance, qualifications as
a self-insurer, or other securities or
agreements, in the amounts prescribed
at § 387.405, conditioned to pay any
final judgment recovered against such
HHGFF for bodily injury to or the death
of any person, or loss of or damage to
property (except cargo) of others, or, in
the case of freight vehicles described at
§ 387.303T(b)(2), for environmental
restoration, resulting from the negligent
operation, maintenance, or use of motor
vehicles operated by or under its control
in performing such service.
(c) Surety bond or trust fund. A freight
forwarder must have a surety bond or
trust fund in effect. The FMCSA will not
issue a freight forwarder license until a
surety bond or trust fund for the full
limit of liability prescribed in § 387.405
is in effect. The freight forwarder license
shall remain valid or effective only as
long as a surety bond or trust fund
remains in effect and shall ensure the
financial responsibility of the freight
forwarder. The requirements applicable
to property broker surety bonds and

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§ 387.413
■

Jkt 241001

287

F
F

288
293

292
297

B

298

305

B

306

330

Forms and procedures.

(a) Forms. Endorsements for policies
of insurance, surety bonds, certificates
of insurance, applications to qualify as
a self-insurer or for approval of other
securities or agreements, and notices of
cancellation must be in the form
prescribed at subpart C of this part.
(b) Procedure. Certificates of
insurance, surety bonds, and notices of
cancellation must be filed with the
FMCSA in triplicate.
(c) Names. Certificates of insurance
and surety bonds shall be issued in the
full name (including any trade name) of
the individual, partnership (all partners
named), corporation, or other person
holding or to be issued the permit.
(d) Cancellation. Except as provided
in paragraph (e) of this section,
certificates of insurance, surety bonds,
and other securities and agreements
shall not be cancelled or withdrawn
until 30 days after the FMCSA receives
written notice from the insurance
company, surety, freight forwarder, or
other party, as the case may be.
(e) Termination by replacement.
Certificates of insurance or surety bonds
may be replaced by other certificates of
insurance, surety bonds, or other
security, and the liability of the retiring
insurer or surety shall be considered as
having terminated as of the
replacement’s effective date, if
acceptable to the FMCSA.
(f) Termination of Forms BMC–32 and
BMC–34 for freight forwarders of
property other than household goods.
Form BMC–32 endorsements and Form
BMC–34 certificates of insurance issued
to freight forwarders of property other
than household goods that have been

Frm 00020

Fmt 4701

Sfmt 4700

accepted by the FMCSA under these
rules will expire on March 21, 2011.
§ 387.419
■

72. Suspend § 387.413.
73. Add § 387.413T to read as follows:

PO 00000

End field

287

[Suspended]

§ 387.413T

Start field

F

trust funds in § 387.307 shall apply to
the surety bond or trust fund required
by this paragraph (c).

■

70. Suspend § 387.403.
71. Add § 387.403T to read as follows:

§ 387.403T

sradovich on DSK3GMQ082PROD with RULES6

Required
F = filing
C = cancel
B = both

Number of
positions

Field name

■

[Suspended]

74. Suspend § 387.419.
75. Add § 387.419T to read as follows:

§ 387.419T Electronic filing of surety
bonds, certificates of insurance and
cancellations.

Insurers may, at their option and in
accordance with the requirements and
procedures set forth at § 387.323T, file
certificates of insurance, surety bonds,
and other securities and agreements
electronically.
PART 390—FEDERAL MOTOR
CARRIER SAFETY REGULATIONS;
GENERAL
76. The authority citation for part 390
is revised to read as follows:

■

Authority: 49 U.S.C. 508, 13301, 13902,
13908, 31132, 31133, 31136, 31151, 31502,
31504; sec. 114, Pub. L. 103–311, 108 Stat.
1673, 1677; sec. 217, Pub. L. 106–159, 113
Stat. 1748, 1767; sec. 4136, Pub. L. 109–59,
119 Stat. 1144, 1745; and 49 CFR 1.87.
§ 390.3
■
■

[Suspended]

77. Suspend § 390.3.
78. Add § 390.3T to read as follows:

§ 390.3T

General applicability.

(a)(1) The rules in this subchapter are
applicable to all employers, employees,
and commercial motor vehicles that
transport property or passengers in
interstate commerce.
(2) The rules in 49 CFR 386.12(e) and
390.6 prohibiting the coercion of drivers
of commercial motor vehicles operating
in interstate commerce:
(i) To violate certain safety regulations
are applicable to all motor carriers,
shippers, receivers, and transportation
intermediaries; and
(ii) To violate certain commercial
regulations are applicable to all
operators of commercial motor vehicles.

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Federal Register / Vol. 82, No. 10 / Tuesday, January 17, 2017 / Rules and Regulations
(b) The rules in part 383 of this
chapter, Commercial Driver’s License
Standards; Requirements and Penalties,
are applicable to every person who
operates a commercial motor vehicle, as
defined in § 383.5 of this subchapter, in
interstate or intrastate commerce and to
all employers of such persons.
(c) The rules in part 387 of this
chapter, Minimum Levels of Financial
Responsibility for Motor Carriers, are
applicable to motor carriers as provided
in § 387.3 or § 387.27 of this subchapter.
(d) Additional requirements. Nothing
in this subchapter shall be construed to
prohibit an employer from requiring and
enforcing more stringent requirements
relating to safety of operation and
employee safety and health.
(e) Knowledge of and compliance with
the regulations. (1) Every employer shall
be knowledgeable of and comply with
all regulations contained in this
subchapter which are applicable to that
motor carrier’s operations.
(2) Every driver and employee shall
be instructed regarding, and shall
comply with, all applicable regulations
contained in this subchapter.
(3) All motor vehicle equipment and
accessories required by this subchapter
shall be maintained in compliance with
all applicable performance and design
criteria set forth in this subchapter.
(f) Exceptions. Unless otherwise
specifically provided, the rules in this
subchapter do not apply to—
(1) All school bus operations as
defined in § 390.5T, except for the
provisions of §§ 391.15(e) and (f),
392.80, and 392.82 of this chapter.
(2) Transportation performed by the
Federal government, a State, or any
political subdivision of a State, or an
agency established under a compact
between States that has been approved
by the Congress of the United States;
(3) The occasional transportation of
personal property by individuals not for
compensation nor in the furtherance of
a commercial enterprise;
(4) The transportation of human
corpses or sick and injured persons;
(5) The operation of fire trucks and
rescue vehicles while involved in
emergency and related operations;
(6) The operation of commercial
motor vehicles designed or used to
transport between 9 and 15 passengers
(including the driver), not for direct
compensation, provided the vehicle
does not otherwise meet the definition
of a commercial motor vehicle, except
that motor carriers and drivers operating
such vehicles are required to comply
with §§ 390.15, 390.19T, 390.21T(a) and
(b)(2), 391.15(e) and (f), 392.80 and
392.82 of this chapter.

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(7) Either a driver of a commercial
motor vehicle used primarily in the
transportation of propane winter heating
fuel or a driver of a motor vehicle used
to respond to a pipeline emergency, if
such regulations would prevent the
driver from responding to an emergency
condition requiring immediate response
as defined in § 390.5T.
(g) Motor carriers that transport
hazardous materials in intrastate
commerce. The rules in the following
provisions of this subchapter apply to
motor carriers that transport hazardous
materials in intrastate commerce and to
the motor vehicles that transport
hazardous materials in intrastate
commerce:
(1) Part 385, subparts A and E, of this
chapter for carriers subject to the
requirements of § 385.403 of this
chapter.
(2) Part 386 of this chapter, Rules of
practice for motor carrier, broker, freight
forwarder, and hazardous materials
proceedings.
(3) Part 387 of this chapter, Minimum
Levels of Financial Responsibility for
Motor Carriers, to the extent provided in
§ 387.3 of this chapter.
(4) Section 390.19T, Motor carrier
identification report, and § 390.21T,
Marking of CMVs, for carriers subject to
the requirements of § 385.403 of this
chapter. Intrastate motor carriers
operating prior to January 1, 2005, are
excepted from § 390.19T(a)(1).
(h) Intermodal equipment providers.
On and after December 17, 2009, the
rules in the following provisions of this
subchapter apply to intermodal
equipment providers:
(1) Subpart F, Intermodal Equipment
Providers, of part 385 of this chapter,
Safety Fitness Procedures.
(2) Part 386 of this chapter, Rules of
Practice for Motor Carrier, Intermodal
Equipment Provider, Broker, Freight
Forwarder, and Hazardous Materials
Proceedings.
(3) This part, Federal Motor Carrier
Safety Regulations; General, except
§ 390.15(b) concerning accident
registers.
(4) Part 393 of this chapter, Parts and
Accessories Necessary for Safe
Operation.
(5) Part 396 of this chapter,
Inspection, Repair, and Maintenance.
§ 390.5
■
■

[Suspended]

79. Suspend § 390.5.
80. Add § 390.5T to read as follows:

§ 390.5T

Definitions.

Unless specifically defined elsewhere,
in this subchapter:
Accident means—
(1) Except as provided in paragraph
(2) of this definition, an occurrence

PO 00000

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5311

involving a commercial motor vehicle
operating on a highway in interstate or
intrastate commerce which results in:
(i) A fatality;
(ii) Bodily injury to a person who, as
a result of the injury, immediately
receives medical treatment away from
the scene of the accident; or
(iii) One or more motor vehicles
incurring disabling damage as a result of
the accident, requiring the motor
vehicle(s) to be transported away from
the scene by a tow truck or other motor
vehicle.
(2) The term accident does not
include:
(i) An occurrence involving only
boarding and alighting from a stationary
motor vehicle; or
(ii) An occurrence involving only the
loading or unloading of cargo.
Alcohol concentration (AC) means the
concentration of alcohol in a person’s
blood or breath. When expressed as a
percentage it means grams of alcohol
per 100 milliliters of blood or grams of
alcohol per 210 liters of breath.
Bus means any motor vehicle
designed, constructed, and/or used for
the transportation of passengers,
including taxicabs.
Business district means the territory
contiguous to and including a highway
when within any 600 feet along such
highway there are buildings in use for
business or industrial purposes,
including but not limited to hotels,
banks, or office buildings which occupy
at least 300 feet of frontage on one side
or 300 feet collectively on both sides of
the highway.
Charter transportation of passengers
means transportation, using a bus, of a
group of persons who pursuant to a
common purpose, under a single
contract, at a fixed charge for the motor
vehicle, have acquired the exclusive use
of the motor vehicle to travel together
under an itinerary either specified in
advance or modified after having left the
place of origin.
Coerce or Coercion means either—
(1) A threat by a motor carrier,
shipper, receiver, or transportation
intermediary, or their respective agents,
officers or representatives, to withhold
business, employment or work
opportunities from, or to take or permit
any adverse employment action against,
a driver in order to induce the driver to
operate a commercial motor vehicle
under conditions which the driver
stated would require him or her to
violate one or more of the regulations,
which the driver identified at least
generally, that are codified at 49 CFR
parts 171 through 173, 177 through 180,
380 through 383, or 390 through 399, or
§ 385.415 or § 385.421T of this chapter,

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or the actual withholding of business,
employment, or work opportunities or
the actual taking or permitting of any
adverse employment action to punish a
driver for having refused to engage in
such operation of a commercial motor
vehicle; or
(2) A threat by a motor carrier, or its
agents, officers or representatives, to
withhold business, employment or work
opportunities or to take or permit any
adverse employment action against a
driver in order to induce the driver to
operate a commercial motor vehicle
under conditions which the driver
stated would require a violation of one
or more of the regulations, which the
driver identified at least generally, that
are codified at 49 CFR parts 356, 360,
or 365 through 379, or the actual
withholding of business, employment or
work opportunities or the actual taking
or permitting of any adverse
employment action to punish a driver
for refusing to engage in such operation
of a commercial motor vehicle.
Commercial motor vehicle means any
self-propelled or towed motor vehicle
used on a highway in interstate
commerce to transport passengers or
property when the vehicle—
(1) Has a gross vehicle weight rating
or gross combination weight rating, or
gross vehicle weight or gross
combination weight, of 4,536 kg (10,001
pounds) or more, whichever is greater;
or
(2) Is designed or used to transport
more than 8 passengers (including the
driver) for compensation; or
(3) Is designed or used to transport
more than 15 passengers, including the
driver, and is not used to transport
passengers for compensation; or
(4) Is used in transporting material
found by the Secretary of Transportation
to be hazardous under 49 U.S.C. 5103
and transported in a quantity requiring
placarding under regulations prescribed
by the Secretary under 49 CFR, subtitle
B, chapter I, subchapter C.
Conviction means an unvacated
adjudication of guilt, or a determination
that a person has violated or failed to
comply with the law in a court of
original jurisdiction or by an authorized
administrative tribunal, an unvacated
forfeiture of bail or collateral deposited
to secure the person’s appearance in
court, a plea of guilty or nolo
contendere accepted by the court, the
payment of a fine or court cost, or
violation of a condition of release
without bail, regardless of whether or
not the penalty is rebated, suspended, or
prorated.
Covered farm vehicle means—
(1) A straight truck or articulated
vehicle—

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(i) Registered in a State with a license
plate or other designation issued by the
State of registration that allows law
enforcement officials to identify it as a
farm vehicle;
(ii) Operated by the owner or operator
of a farm or ranch, or an employee or
family member of a an owner or
operator of a farm or ranch;
(iii) Used to transport agricultural
commodities, livestock, machinery or
supplies to or from a farm or ranch; and
(iv) Not used in for-hire motor carrier
operations; however, for-hire motor
carrier operations do not include the
operation of a vehicle meeting the
requirements of paragraphs (1)(i)
through (iii) of this definition by a
tenant pursuant to a crop share farm
lease agreement to transport the
landlord’s portion of the crops under
that agreement.
(2) Meeting the requirements of
paragraphs (1)(i) through (iv) of this
definition:
(i) With a gross vehicle weight or
gross vehicle weight rating, whichever
is greater, of 26,001 pounds or less may
utilize the exemptions in § 390.39
anywhere in the United States; or
(ii) With a gross vehicle weight or
gross vehicle weight rating, whichever
is greater, of more than 26,001 pounds
may utilize the exemptions in § 390.39
anywhere in the State of registration or
across State lines within 150 air miles
of the farm or ranch with respect to
which the vehicle is being operated.
Crash. See accident.
Direct assistance means
transportation and other relief services
provided by a motor carrier or its
driver(s) incident to the immediate
restoration of essential services (such as,
electricity, medical care, sewer, water,
telecommunications, and
telecommunication transmissions) or
essential supplies (such as, food and
fuel). It does not include transportation
related to long-term rehabilitation of
damaged physical infrastructure or
routine commercial deliveries after the
initial threat to life and property has
passed.
Direct compensation means payment
made to the motor carrier by the
passengers or a person acting on behalf
of the passengers for the transportation
services provided, and not included in
a total package charge or other
assessment for highway transportation
services.
Disabling damage means damage
which precludes departure of a motor
vehicle from the scene of the accident
in its usual manner in daylight after
simple repairs.
(1) Inclusions. Damage to motor
vehicles that could have been driven,

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but would have been further damaged if
so driven.
(2) Exclusions. (i) Damage which can
be remedied temporarily at the scene of
the accident without special tools or
parts.
(ii) Tire disablement without other
damage even if no spare tire is available.
(iii) Headlamp or taillight damage.
(iv) Damage to turn signals, horn, or
windshield wipers which makes them
inoperative.
Driveaway-towaway operation means
an operation in which an empty or
unladen motor vehicle with one or more
sets of wheels on the surface of the
roadway is being transported:
(1) Between vehicle manufacturer’s
facilities;
(2) Between a vehicle manufacturer
and a dealership or purchaser;
(3) Between a dealership, or other
entity selling or leasing the vehicle, and
a purchaser or lessee;
(4) To a motor carrier’s terminal or
repair facility for the repair of disabling
damage (as defined in this section)
following a crash; or
(5) To a motor carrier’s terminal or
repair facility for repairs associated with
the failure of a vehicle component or
system; or
(6) By means of a saddle-mount or
tow-bar.
Driver means any person who
operates any commercial motor vehicle.
Driving a commercial motor vehicle
while under the influence of alcohol
means committing any one or more of
the following acts in a CMV: Driving a
CMV while the person’s alcohol
concentration is 0.04 or more; driving
under the influence of alcohol, as
prescribed by State law; or refusal to
undergo such testing as is required by
any State or jurisdiction in the
enforcement of Table 1 to § 383.51 or
§ 392.5(a)(2) of this subchapter.
Electronic device includes, but is not
limited to, a cellular telephone; personal
digital assistant; pager; computer; or any
other device used to input, write, send,
receive, or read text.
Emergency means any hurricane,
tornado, storm (e.g. thunderstorm,
snowstorm, icestorm, blizzard,
sandstorm, etc.), high water, winddriven water, tidal wave, tsunami,
earthquake, volcanic eruption, mud
slide, drought, forest fire, explosion,
blackout or other occurrence, natural or
man-made, which interrupts the
delivery of essential services (such as,
electricity, medical care, sewer, water,
telecommunications, and
telecommunication transmissions) or
essential supplies (such as, food and
fuel) or otherwise immediately threatens
human life or public welfare, provided

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such hurricane, tornado, or other event
results in:
(1) A declaration of an emergency by
the President of the United States, the
Governor of a State, or their authorized
representatives having authority to
declare emergencies; by the FMCSA
Field Administrator for the geographical
area in which the occurrence happens;
or by other Federal, State or local
government officials having authority to
declare emergencies; or
(2) A request by a police officer for
tow trucks to move wrecked or disabled
motor vehicles.
Emergency condition requiring
immediate response means any
condition that, if left unattended, is
reasonably likely to result in immediate
serious bodily harm, death, or
substantial damage to property. In the
case of transportation of propane winter
heating fuel, such conditions shall
include (but are not limited to) the
detection of gas odor, the activation of
carbon monoxide alarms, the detection
of carbon monoxide poisoning, and any
real or suspected damage to a propane
gas system following a severe storm or
flooding. An ‘‘emergency condition
requiring immediate response’’ does not
include requests to refill empty gas
tanks. In the case of a pipeline
emergency, such conditions include
(but are not limited to) indication of an
abnormal pressure event, leak, release or
rupture.
Emergency relief means an operation
in which a motor carrier or driver of a
commercial motor vehicle is providing
direct assistance to supplement State
and local efforts and capabilities to save
lives or property or to protect public
health and safety as a result of an
emergency as defined in this section.
Employee means any individual,
other than an employer, who is
employed by an employer and who in
the course of his or her employment
directly affects commercial motor
vehicle safety. Such term includes a
driver of a commercial motor vehicle
(including an independent contractor
while in the course of operating a
commercial motor vehicle), a mechanic,
and a freight handler. Such term does
not include an employee of the United
States, any State, any political
subdivision of a State, or any agency
established under a compact between
States and approved by the Congress of
the United States who is acting within
the course of such employment.
Employer means any person engaged
in a business affecting interstate
commerce who owns or leases a
commercial motor vehicle in connection
with that business, or assigns employees
to operate it, but such terms does not

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include the United States, any State, any
political subdivision of a State, or an
agency established under a compact
between States approved by the
Congress of the United States.
Exempt intracity zone means the
geographic area of a municipality or the
commercial zone of that municipality
described in appendix F to this
subchapter. The term ‘‘exempt intracity
zone’’ does not include any
municipality or commercial zone in the
State of Hawaii. For purposes of
§ 391.62 of this chapter, a driver may be
considered to operate a commercial
motor vehicle wholly within an exempt
intracity zone notwithstanding any
common control, management, or
arrangement for a continuous carriage or
shipment to or from a point without
such zone.
Exempt motor carrier means a person
engaged in transportation exempt from
economic regulation by the Federal
Motor Carrier Safety Administration
(FMCSA) under 49 U.S.C. 13506.
‘‘Exempt motor carriers’’ are subject to
the safety regulations set forth in this
subchapter.
Farm vehicle driver means a person
who drives only a commercial motor
vehicle that is—
(1) Controlled and operated by a
farmer as a private motor carrier of
property;
(2) Being used to transport either—
(i) Agricultural products; or
(ii) Farm machinery, farm supplies, or
both, to or from a farm;
(3) Not being used in the operation of
a for-hire motor carrier;
(4) Not carrying hazardous materials
of a type or quantity that requires the
commercial motor vehicle to be
placarded in accordance with § 177.823
of this subtitle; and
(5) Being used within 150 air-miles of
the farmer’s farm.
Farmer means any person who
operates a farm or is directly involved
in the cultivation of land, crops, or
livestock which—
(1) Are owned by that person; or
(2) Are under the direct control of that
person.
Fatality means any injury which
results in the death of a person at the
time of the motor vehicle accident or
within 30 days of the accident.
Federal Motor Carrier Safety
Administrator means the chief executive
of the Federal Motor Carrier Safety
Administration, an agency within the
Department of Transportation.
For-hire motor carrier means a person
engaged in the transportation of goods
or passengers for compensation.
Gross combination weight rating
(GCWR) is the greater of:

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(1) A value specified by the
manufacturer of the power unit, if such
value is displayed on the Federal Motor
Vehicle Safety Standard (FMVSS)
certification label required by the
National Highway Traffic Safety
Administration; or
(2) The sum of the gross vehicle
weight ratings (GVWRs) or the gross
vehicle weights (GVWs) of the power
unit and the towed unit(s), or any
combination thereof, that produces the
highest value. Exception: The GCWR of
the power unit will not be used to
define a commercial motor vehicle
when the power unit is not towing
another vehicle.
Gross vehicle weight rating (GVWR)
means the value specified by the
manufacturer as the loaded weight of a
single motor vehicle.
Hazardous material means a
substance or material which has been
determined by the Secretary of
Transportation to be capable of posing
an unreasonable risk to health, safety,
and property when transported in
commerce, and which has been so
designated.
Hazardous substance means a
material, and its mixtures or solutions,
that is identified in the appendix to
§ 172.101 of this title, List of Hazardous
Substances and Reportable Quantities,
of this title when offered for
transportation in one package, or in one
transport motor vehicle if not packaged,
and when the quantity of the material
therein equals or exceeds the reportable
quantity (RQ). This definition does not
apply to petroleum products that are
lubricants or fuels, or to mixtures or
solutions of hazardous substances if in
a concentration less than that shown in
the table in § 171.8 of this title, based on
the reportable quantity (RQ) specified
for the materials listed in the appendix
to § 172.101 of this title.
Hazardous waste means any material
that is subject to the hazardous waste
manifest requirements of the EPA
specified in 40 CFR part 262 or would
be subject to these requirements absent
an interim authorization to a State
under 40 CFR part 123, subpart F.
Highway means any road, street, or
way, whether on public or private
property, open to public travel. ‘‘Open
to public travel’’ means that the road
section is available, except during
scheduled periods, extreme weather or
emergency conditions, passable by fourwheel standard passenger cars, and
open to the general public for use
without restrictive gates, prohibitive
signs, or regulation other than
restrictions based on size, weight, or
class of registration. Toll plazas of

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public toll roads are not considered
restrictive gates.
Interchange means—
(1) The act of providing intermodal
equipment to a motor carrier pursuant
to an intermodal equipment interchange
agreement for the purpose of
transporting the equipment for loading
or unloading by any person or
repositioning the equipment for the
benefit of the equipment provider, but it
does not include the leasing of
equipment to a motor carrier for primary
use in the motor carrier’s freight hauling
operations; or
(2) The act of providing a passengercarrying commercial motor vehicle by
one motor carrier of passengers to
another such carrier, at a point which
both carriers are authorized to serve,
with which to continue a through
movement.
(3) For property-carrying vehicles, see
§ 376.2 of this subchapter.
Intermodal equipment means trailing
equipment that is used in the
intermodal transportation of containers
over public highways in interstate
commerce, including trailers and
chassis.
Intermodal equipment interchange
agreement means the Uniform
Intermodal Interchange and Facilities
Access Agreement (UIIFA) or any other
written document executed by an
intermodal equipment provider or its
agent and a motor carrier or its agent,
the primary purpose of which is to
establish the responsibilities and
liabilities of both parties with respect to
the interchange of the intermodal
equipment.
Intermodal equipment provider means
any person that interchanges intermodal
equipment with a motor carrier
pursuant to a written interchange
agreement or has a contractual
responsibility for the maintenance of the
intermodal equipment.
Interstate commerce means trade,
traffic, or transportation in the United
States—
(1) Between a place in a State and a
place outside of such State (including a
place outside of the United States);
(2) Between two places in a State
through another State or a place outside
of the United States; or
(3) Between two places in a State as
part of trade, traffic, or transportation
originating or terminating outside the
State or the United States.
Intrastate commerce means any trade,
traffic, or transportation in any State
which is not described in the term
‘‘interstate commerce.’’
Lease, as used in § 390.21T(f) and
subpart F of this part, means a contract
or arrangement in which a motor carrier

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grants the use of a passenger-carrying
commercial motor vehicle to another
motor carrier, with or without a driver,
for a specified period for the
transportation of passengers, in
exchange for compensation. The term
lease includes an interchange, as
defined in this section, or other
agreement granting the use of a
passenger-carrying commercial motor
vehicle for a specified period, with or
without a driver, whether or not
compensation for such use is specified
or required. For a definition of lease in
the context of property-carrying
vehicles, see § 376.2 of this subchapter.
Lessee, as used in subpart F of this
part, means the motor carrier obtaining
the use of a passenger-carrying
commercial motor vehicle, with or
without the driver, from another motor
carrier. The term lessee includes a
motor carrier obtaining the use of a
passenger-carrying commercial motor
vehicle from another motor carrier
under an interchange or other
agreement, with or without a driver,
whether or not compensation for such
use is specified. For a definition of
lessee in the context of propertycarrying vehicles, see § 376.2 of this
subchapter.
Lessor, as used in subpart F of this
part, means the motor carrier granting
the use of a passenger-carrying
commercial motor vehicle, with or
without a driver, to another motor
carrier. The term lessor includes a motor
carrier granting the use of a passengercarrying commercial motor vehicle to
another motor carrier under an
interchange or other agreement, with or
without a driver, whether or not
compensation for such use is specified.
For a definition of lessor in the context
of property-carrying vehicles, see
§ 376.2 of this subchapter.
Medical examiner means the
following:
(1) For medical examinations
conducted before May 21, 2014, a
person who is licensed, certified, and/
or registered, in accordance with
applicable State laws and regulations, to
perform physical examinations. The
term includes but is not limited to,
doctors of medicine, doctors of
osteopathy, physician assistants,
advanced practice nurses, and doctors
of chiropractic.
(2) For medical examinations
conducted on and after May 21, 2014,
an individual certified by FMCSA and
listed on the National Registry of
Certified Medical Examiners in
accordance with subpart D of this part.
Medical variance means a driver has
received one of the following from

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FMCSA that allows the driver to be
issued a medical certificate:
(1) An exemption letter permitting
operation of a commercial motor vehicle
pursuant to part 381, subpart C, of this
chapter or § 391.64 of this chapter;
(2) A skill performance evaluation
certificate permitting operation of a
commercial motor vehicle pursuant to
§ 391.49 of this chapter.
Mobile telephone means a mobile
communication device that falls under
or uses any commercial mobile radio
service, as defined in regulations of the
Federal Communications Commission,
47 CFR 20.3. It does not include twoway or Citizens Band Radio services.
Motor carrier means a for-hire motor
carrier or a private motor carrier. The
term includes a motor carrier’s agents,
officers and representatives as well as
employees responsible for hiring,
supervising, training, assigning, or
dispatching of drivers and employees
concerned with the installation,
inspection, and maintenance of motor
vehicle equipment and/or accessories.
For purposes of this subchapter, this
definition includes the terms employer,
and exempt motor carrier.
Motor vehicle means any vehicle,
machine, tractor, trailer, or semitrailer
propelled or drawn by mechanical
power and used upon the highways in
the transportation of passengers or
property, or any combination thereof
determined by the Federal Motor Carrier
Safety Administration, but does not
include any vehicle, locomotive, or car
operated exclusively on a rail or rails, or
a trolley bus operated by electric power
derived from a fixed overhead wire,
furnishing local passenger
transportation similar to street-railway
service.
Motor vehicle record means the report
of the driving status and history of a
driver generated from the driver record,
provided to users, such as, drivers or
employers, and subject to the provisions
of the Driver Privacy Protection Act, 18
U.S.C. 2721–2725.
Multiple-employer driver means a
driver, who in any period of 7
consecutive days, is employed or used
as a driver by more than one motor
carrier.
Operating authority means the
registration required by 49 U.S.C. 13902,
49 CFR part 365, 49 CFR part 368, and
49 CFR 392.9a.
Operator. See driver.
Other terms. Any other term used in
this subchapter is used in its commonly
accepted meaning, except where such
other term has been defined elsewhere
in this subchapter. In that event, the
definition therein given shall apply.

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Out-of-service order means a
declaration by an authorized
enforcement officer of a Federal, State,
Canadian, Mexican, or local jurisdiction
that a driver, a commercial motor
vehicle, or a motor carrier operation is
out of service pursuant to 49 CFR
386.72, 392.5, 392.9a, 395.13, or 396.9,
or compatible laws, or the North
American Standard Out-of-Service
Criteria.
Person means any individual,
partnership, association, corporation,
business trust, or any other organized
group of individuals.
Previous employer means any DOT
regulated person who employed the
driver in the preceding 3 years,
including any possible current
employer.
Principal place of business means the
single location designated by the motor
carrier, normally its headquarters, for
purposes of identification under this
subchapter. The motor carrier must
make records required by parts 382, 387,
390, 391, 395, 396, and 397 of this
subchapter available for inspection at
this location within 48 hours
(Saturdays, Sundays, and Federal
holidays excluded) after a request has
been made by a special agent or
authorized representative of the Federal
Motor Carrier Safety Administration.
Private motor carrier means a person
who provides transportation of property
or passengers, by commercial motor
vehicle, and is not a for-hire motor
carrier.
Private motor carrier of passengers
(business) means a private motor carrier
engaged in the interstate transportation
of passengers which is provided in the
furtherance of a commercial enterprise
and is not available to the public at
large.
Private motor carrier of passengers
(nonbusiness) means private motor
carrier involved in the interstate
transportation of passengers that does
not otherwise meet the definition of a
private motor carrier of passengers
(business).
Radar detector means any device or
mechanism to detect the emission of
radio microwaves, laser beams or any
other future speed measurement
technology employed by enforcement
personnel to measure the speed of
commercial motor vehicles upon public
roads and highways for enforcement
purposes. Excluded from this definition
are radar detection devices that meet
both of the following requirements:
(1) Transported outside the driver’s
compartment of the commercial motor
vehicle. For this purpose, the driver’s
compartment of a passenger-carrying
CMV shall include all space designed to

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accommodate both the driver and the
passengers; and
(2) Completely inaccessible to,
inoperable by, and imperceptible to the
driver while operating the commercial
motor vehicle.
Receiver or consignee means a person
who takes delivery from a motor carrier
or driver of a commercial motor vehicle
of property transported in interstate
commerce or hazardous materials
transported in interstate or intrastate
commerce.
Regional Director of Motor Carriers
means the Field Administrator, Federal
Motor Carrier Safety Administration, for
a given geographical area of the United
States.
Residential district means the territory
adjacent to and including a highway
which is not a business district and for
a distance of 300 feet or more along the
highway is primarily improved with
residences.
School bus means a passenger motor
vehicle which is designed or used to
carry more than 10 passengers in
addition to the driver, and which the
Secretary determines is likely to be
significantly used for the purpose of
transporting preprimary, primary, or
secondary school students to such
schools from home or from such schools
to home.
School bus operation means the use of
a school bus to transport only school
children and/or school personnel from
home to school and from school to
home.
Secretary means the Secretary of
Transportation.
Shipper means a person who tenders
property to a motor carrier or driver of
a commercial motor vehicle for
transportation in interstate commerce,
or who tenders hazardous materials to a
motor carrier or driver of a commercial
motor vehicle for transportation in
interstate or intrastate commerce.
Single-employer driver means a driver
who, in any period of 7 consecutive
days, is employed or used as a driver
solely by a single motor carrier. This
term includes a driver who operates a
commercial motor vehicle on an
intermittent, casual, or occasional basis.
Special agent. See appendix B to this
subchapter—Special agents.
State means a State of the United
States and the District of Columbia and
includes a political subdivision of a
State.
Texting means manually entering
alphanumeric text into, or reading text
from, an electronic device.
(1) This action includes, but is not
limited to, short message service,
emailing, instant messaging, a command
or request to access a World Wide Web

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5315

page, pressing more than a single button
to initiate or terminate a voice
communication using a mobile
telephone, or engaging in any other form
of electronic text retrieval or entry, for
present or future communication.
(2) Texting does not include:
(i) Inputting, selecting, or reading
information on a global positioning
system or navigation system; or
(ii) Pressing a single button to initiate
or terminate a voice communication
using a mobile telephone; or
(iii) Using a device capable of
performing multiple functions (e.g., fleet
management systems, dispatching
devices, smart phones, citizens band
radios, music players, etc.) for a purpose
that is not otherwise prohibited in this
subchapter.
Trailer includes:
(1) Full trailer means any motor
vehicle other than a pole trailer which
is designed to be drawn by another
motor vehicle and so constructed that
no part of its weight, except for the
towing device, rests upon the selfpropelled towing motor vehicle. A
semitrailer equipped with an auxiliary
front axle (converter dolly) shall be
considered a full trailer.
(2) Pole trailer means any motor
vehicle which is designed to be drawn
by another motor vehicle and attached
to the towing motor vehicle by means of
a ‘‘reach’’ or ‘‘pole,’’ or by being
‘‘boomed’’ or otherwise secured to the
towing motor vehicle, for transporting
long or irregularly shaped loads such as
poles, pipes, or structural members,
which generally are capable of
sustaining themselves as beams between
the supporting connections.
(3) Semitrailer means any motor
vehicle, other than a pole trailer, which
is designed to be drawn by another
motor vehicle and is constructed so that
some part of its weight rests upon the
self-propelled towing motor vehicle.
Transportation intermediary means a
person who arranges the transportation
of property or passengers by commercial
motor vehicle in interstate commerce, or
who arranges the transportation of
hazardous materials by commercial
motor vehicle in interstate or intrastate
commerce, including but not limited to
brokers and freight forwarders.
Truck means any self-propelled
commercial motor vehicle except a
truck tractor, designed and/or used for
the transportation of property.
Truck tractor means a self-propelled
commercial motor vehicle designed
and/or used primarily for drawing other
vehicles.
Use a hand-held mobile telephone
means:

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(1) Using at least one hand to hold a
mobile telephone to conduct a voice
communication;
(2) Dialing or answering a mobile
telephone by pressing more than a
single button; or
(3) Reaching for a mobile telephone in
a manner that requires a driver to
maneuver so that he or she is no longer
in a seated driving position, restrained
by a seat belt that is installed in
accordance with 49 CFR 393.93 and
adjusted in accordance with the vehicle
manufacturer’s instructions.
United States means the 50 States and
the District of Columbia.
§ 390.19
■
■

[SUSPENDED]

81. Suspend § 390.19.
82. Add § 390.19T to read as follows:

§ 390.19T Motor carrier identification
reports for certain Mexico-domiciled motor
carriers.

(a) Applicability. Each motor carrier
and intermodal equipment provider
must file Form MCS–150, Form MCS–
150B or Form MCS–150C with FMCSA
as follows:
(1) A U.S.-, Canada-, Mexico-, or nonNorth America-domiciled motor carrier
conducting operations in interstate
commerce must file a Motor Carrier
Identification Report, Form MCS–150.
(2) A motor carrier conducting
operations in intrastate commerce and
requiring a Safety Permit under 49 CFR
part 385, subpart E, must file the
Combined Motor Carrier Identification
Report and HM Permit Application,
Form MCS–150B.
(3) Each intermodal equipment
provider that offers intermodal
equipment for transportation in
interstate commerce must file an
Intermodal Equipment Provider
Identification Report, Form MCS–150C.
(b) Filing schedule. Each motor carrier
or intermodal equipment provider must
file the appropriate form under
paragraph (a) of this section at the
following times:
(1) Before it begins operations; and
(2) Every 24 months, according to the
following schedule:

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USDOT No. ending in
1
2
3
4
5
6
7
8
9
0

...........................................
...........................................
...........................................
...........................................
...........................................
...........................................
...........................................
...........................................
...........................................
...........................................

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Must file by
last day of
January.
February.
March.
April.
May.
June.
July.
August.
September.
October.

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(3) If the next-to-last digit of its
USDOT Number is odd, the motor
carrier or intermodal equipment
provider shall file its update in every
odd-numbered calendar year. If the
next-to-last digit of the USDOT Number
is even, the motor carrier or intermodal
equipment provider shall file its update
in every even-numbered calendar year.
(4) A person that fails to complete
biennial updates to the information
pursuant to paragraph (b)(2) of this
section is subject to the penalties
prescribed in 49 U.S.C. 521(b)(2)(B) or
49 U.S.C. 14901(a), as appropriate, and
deactivation of its USDOT Number.
(c) Availability of forms. The forms
described under paragraph (a) of this
section and complete instructions are
available from the FMCSA Web site at
http://www.fmcsa.dot.gov (Keyword
‘‘MCS–150,’’ or ‘‘MCS–150B,’’ or ‘‘MCS–
150C’’); from all FMCSA Service Centers
and Division offices nationwide; or by
calling 1–800–832–5660.
(d) Where to file. The required form
under paragraph (a) of this section must
be filed with the FMCSA Office of
Registration and Safety Information. The
form may be filed electronically
according to the instructions at the
Agency’s Web site, or it may be sent to
Federal Motor Carrier Safety
Administration, Office of Registration
and Safety Information (MC–RS), 1200
New Jersey Avenue SE., Washington,
DC 20590.
(e) Special instructions for for-hire
motor carriers. A for-hire motor carrier
should submit the Form MCS–150, or
Form MCS–150B, along with its
application for operating authority
(Form OP–1, OP–1(MX), OP–1(NNA) or
OP–2), to the appropriate address
referenced on that form, or may submit
it electronically or by mail separately to
the address mentioned in paragraph (d)
of this section.
(f) Only the legal name or a single
trade name of the motor carrier or
intermodal equipment provider may be
used on the forms under paragraph (a)
of this section (Form MCS–150, MCS–
150B, or MCS–150C).
(g) A motor carrier or intermodal
equipment provider that fails to file the
form required under paragraph (a) of
this section, or furnishes misleading
information or makes false statements
upon the form, is subject to the
penalties prescribed in 49 U.S.C.
521(b)(2)(B).
(h)(1) Upon receipt and processing of
the form described in paragraph (a) of
this section, FMCSA will issue the
motor carrier or intermodal equipment
provider an identification number
(USDOT Number).

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(2) The following applicants must
additionally pass a pre-authorization
safety audit as described below before
being issued a USDOT Number:
(i) A Mexico-domiciled motor carrier
seeking to provide transportation of
property or passengers in interstate
commerce between Mexico and points
in the United States beyond the
municipalities and commercial zones
along the United States-Mexico
international border must pass the preauthorization safety audit under
§ 365.507T of this subchapter. The
Agency will not issue a USDOT Number
until expiration of the protest period
provided in § 365.115 of this subchapter
or—if a protest is received—after
FMCSA denies or rejects the protest.
(ii) A non-North America-domiciled
motor carrier seeking to provide
transportation of property or passengers
in interstate commerce within the
United States must pass the preauthorization safety audit under
§ 385.607T(c) of this subchapter. The
Agency will not issue a USDOT Number
until expiration of the protest period
provided in § 365.115 of this subchapter
or—if a protest is received—after
FMCSA denies or rejects the protest.
(3) The motor carrier must display the
number on each self-propelled CMV, as
defined in § 390.5T, along with the
additional information required by
§ 390.21T.
(4) The intermodal equipment
provider must identify each unit of
interchanged intermodal equipment by
its assigned USDOT number.
(i) A motor carrier that registers its
vehicles in a State that participates in
the Performance and Registration
Information Systems Management
(PRISM) program (authorized under
section 4004 of the Transportation
Equity Act for the 21st Century [Public
Law 105–178, 112 Stat. 107]) is exempt
from the requirements of this section,
provided it files all the required
information with the appropriate State
office.
§ 390.21
■
■

[Suspended]

83. Suspend § 390.21.
84. Add § 390.21T to read as follows:

§ 390.21T Marking of self-propelled CMVs
and intermodal equipment.

(a) General. Every self-propelled CMV
subject to this subchapter must be
marked as specified in paragraphs (b),
(c), and (d) of this section, and each unit
of intermodal equipment interchanged
or offered for interchange to a motor
carrier by an intermodal equipment
provider subject to this subchapter must
be marked as specified in paragraph (g)
of this section.

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(b) Nature of marking. The marking
must display the following information:
(1) The legal name or a single trade
name of the motor carrier operating the
self-propelled CMV, as listed on the
motor carrier identification report (Form
MCS–150) and submitted in accordance
with § 390.19T.
(2) The identification number issued
by FMCSA to the motor carrier or
intermodal equipment provider,
preceded by the letters ‘‘USDOT.’’
(3) If the name of any person other
than the operating carrier appears on the
CMV, the name of the operating carrier
must be followed by the information
required by paragraphs (b)(1) and (2) of
this section, and be preceded by the
words ‘‘operated by.’’
(4) Other identifying information may
be displayed on the vehicle if it is not
inconsistent with the information
required by this paragraph (b).
(c) Size, shape, location, and color of
marking. The marking must—
(1) Appear on both sides of the selfpropelled CMV;
(2) Be in letters that contrast sharply
in color with the background on which
the letters are placed;
(3) Be readily legible, during daylight
hours, from a distance of 50 feet (15.24
meters) while the CMV is stationary;
and
(4) Be kept and maintained in a
manner that retains the legibility
required by paragraph (c)(3) of this
section.
(d) Construction and durability. The
marking may be painted on the CMV or
may consist of a removable device, if
that device meets the identification and
legibility requirements of paragraph (c)
of this section, and such marking must
be maintained as required by paragraph
(c)(4) of this section.
(e) Rented property-carrying
commercial motor vehicles. A motor
carrier operating a self-propelled
property-carrying commercial motor
vehicle under a rental agreement having
a term not in excess of 30 calendar days
meets the requirements of this section if:
(1) The CMV is marked in accordance
with the provisions of paragraphs (b)
through (d) of this section; or
(2) The CMV is marked as set forth in
paragraphs (e)(2)(i) through (iv) of this
section:
(i) The legal name or a single trade
name of the lessor is displayed in
accordance with paragraphs (c) and (d)
of this section.
(ii) The lessor’s identification number
preceded by the letters ‘‘USDOT’’ is
displayed in accordance with
paragraphs (c) and (d) of this section.
(iii) The rental agreement entered into
by the lessor and the renting motor

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carrier conspicuously contains the
following information:
(A) The name and complete physical
address of the principal place of
business of the renting motor carrier;
(B) The identification number issued
the renting motor carrier by the FMCSA,
preceded by the letters ‘‘USDOT,’’ if the
motor carrier has been issued such a
number. In lieu of the identification
number required in this paragraph
(e)(2)(iii)(B), the following may be
shown in the rental agreement:
(1) Information which indicates
whether the motor carrier is engaged in
‘‘interstate’’ or ‘‘intrastate’’ commerce;
and
(2) Information which indicates
whether the renting motor carrier is
transporting hazardous materials in the
rented CMV; and
(C) The sentence: ‘‘This lessor
cooperates with all Federal, State, and
local law enforcement officials
nationwide to provide the identity of
customers who operate this rental
CMV’’.
(iv) The rental agreement entered into
by the lessor and the renting motor
carrier is carried on the rental CMV
during the full term of the rental
agreement. See the leasing regulations at
49 CFR part 376 for information that
should be included in all leasing
documents.
(f) Leased and interchanged
passenger-carrying commercial motor
vehicles. A motor carrier operating a
leased or interchanged passengercarrying commercial motor vehicle
meets the requirements of this section if:
(1) The passenger-carrying CMV is
marked in accordance with the
provisions of paragraphs (b) through (d)
of this section, except that marking is
required only on the right (curb) side of
the vehicle; and
(2) The passenger-carrying CMV is
marked with a single placard, sign, or
other device affixed to the right (curb)
side of the vehicle on or near the front
passenger door. The placard, sign or
device must display the legal name or
a single trade name of the motor carrier
operating the CMV and the motor
carrier’s USDOT number, preceded by
the words ‘‘Operated by.’’
(g) Driveaway services. In driveaway
services, a removable device may be
affixed on both sides or at the rear of a
single driven vehicle. In a combination
driveaway operation, the device may be
affixed on both sides of any one unit or
at the rear of the last unit. The
removable device must display the legal
name or a single trade name of the
motor carrier and the motor carrier’s
USDOT number.

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5317

(h) Intermodal equipment. (1) The
requirements for marking intermodal
equipment apply to each intermodal
equipment provider, as defined in
§ 390.5T, that interchanges or offers for
interchange intermodal equipment to a
motor carrier.
(2) Each unit of intermodal equipment
interchanged or offered for interchange
to a motor carrier by an intermodal
equipment provider subject to this
subchapter must identify the intermodal
equipment provider.
(3) The intermodal equipment
provider must be identified by its legal
name or a single trade name and the
identification number issued by
FMCSA, preceded by the letters
‘‘USDOT.’’
(4) The intermodal equipment must
be identified as follows, using any one
of the following methods:
(i) The identification marking must
appear on the curb side of the item of
equipment. It must be in letters that
contrast sharply in color with the
background on which the letters are
placed. The letters must be readily
legible, during daylight hours, from a
distance of 50 feet (15.24 meters) while
the CMV is stationary; and be kept and
maintained in a manner that retains this
legibility; or
(ii) The identification marking must
appear on a label placed upon the curb
side of the item of equipment. The label
must be readily visible and legible to an
inspection official during daylight hours
when the vehicle is stationary. The label
must be a color that contrasts sharply
with the background on which it is
placed, and the letters must also
contrast sharply in color with the
background of the label. The label must
be kept and maintained in a manner that
retains this legibility; or
(iii) The USDOT number of the
intermodal equipment provider must
appear on the interchange agreement so
that it is clearly identifiable to an
inspection official. The interchange
agreement must include additional
information to identify the specific item
of intermodal equipment (such as the
Vehicle Identification Number (VIN)
and 4-character Standard Carrier Alpha
Code (SCAC) code and 6-digit unique
identifying number); or
(iv) The identification marking must
be shown on a document placed in a
weathertight compartment affixed to the
frame of the item of intermodal
equipment. The color of the letters used
in the document must contrast sharply
in color with the background of the
document. The document must include
additional information to identify the
specific item of intermodal equipment
(such as the VIN and 4-character SCAC

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code and 6-digit unique identifying
number).
(v) The USDOT number of the
intermodal equipment provider is
maintained in a database that is
available via real-time internet and
telephonic access. The database must:
(A) Identify the name and USDOT
number of the intermodal equipment
provider responsible for the intermodal
equipment, in response to an inquiry
that includes:
(i) SCAC plus trailing digits; or
(ii) License plate number and State of
license; or
(iii) VIN of the item of intermodal
equipment.
(B) Offer read-only access for
inquiries on individual items of
intermodal equipment, without
requiring advance user registration, a
password, or a usage fee.
§ 390.40
■
■

[SUSPENDED]

85. Suspend § 390.40.
86. Add § 390. 40T to read as follows:

§ 390.40T What responsibilities do
intermodal equipment providers have under
the Federal Motor Carrier Safety
Regulations (49 CFR parts 350 through
399)?

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An intermodal equipment provider
must—
(a) Identify its operations to the
FMCSA by filing the Form MCS–150C
required by § 390.19T.
(b) Mark its intermodal equipment
with the USDOT number as required by
§ 390.21T before tendering the
equipment to a motor carrier.
(c) Systematically inspect, repair, and
maintain, or cause to be systematically
inspected, repaired, and maintained, in
a manner consistent with § 396.3(a)(1) of
this chapter, as applicable, all

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intermodal equipment intended for
interchange with a motor carrier.
(d) Provide intermodal equipment
intended for interchange that is in safe
and proper operating condition.
(e) Maintain a system of driver vehicle
inspection reports submitted to the
intermodal equipment provider as
required by § 396.11 of this chapter.
(f) Maintain a system of inspection,
repair, and maintenance records as
required by § 396.3(b)(3) of this chapter
for equipment intended for interchange
with a motor carrier.
(g) Periodically inspect equipment
intended for interchange, as required
under § 396.17 of this chapter.
(h) At facilities at which the
intermodal equipment provider makes
intermodal equipment available for
interchange, have procedures in place,
and provide sufficient space, for drivers
to perform a pre-trip inspection of
tendered intermodal equipment.
(i) At facilities at which the
intermodal equipment provider makes
intermodal equipment available for
interchange, develop and implement
procedures to repair any equipment
damage, defects, or deficiencies
identified as part of a pre-trip
inspection, or replace the equipment,
prior to the driver’s departure. The
repairs or replacement must be made
after being notified by a driver of such
damage, defects, or deficiencies.
(j) Refrain from placing intermodal
equipment in service on the public
highways if that equipment has been
found to pose an imminent hazard, as
defined in § 386.72(b)(3) of this chapter.
Subpart E—[SUSPENDED]

88. Add a new subpart E, consisting
of § 390.200T, to read as follows:

■

Subpart E—URS Online Application
§ 390.200T

USDOT Registration.

(a) Purpose. This section establishes
who must register with FMCSA using
the Form MCSA–1, the URS online
application, beginning January 14, 2017.
(b) Applicability. Notwithstanding
any other provisions of this part or 49
CFR 385.305T(b)(2), a new applicant
private motor carrier or new applicant
exempt for-hire motor carrier subject to
the requirements of this subchapter
must file Form MCSA–1 with FMCSA to
identify its operations with the Federal
Motor Carrier Safety Administration for
safety oversight. Form MCSA–1 is the
URS online application, and both the
application and its instructions are
available from the FMCSA Web site at
http://www.fmcsa.dot.gov/urs.
(c) Definition. For purposes of this
section, a ‘‘new applicant’’ is an entity
applying for operating authority
registration and a USDOT number who
does not at the time of application have
an active registration or USDOT, Motor
Carrier (MC), Mexican owned or
controlled (MX), or Freight Forwarder
(FF) number, and who has never had an
active registration or USDOT, MC, MX,
or FF number.
Issued under authority delegated under 49
CFR 1.87 on: December 23, 2016.
T.F. Scott Darling III,
Administrator.
[FR Doc. 2016–31706 Filed 1–13–17; 8:45 am]

87. Suspend subpart E, consisting of
§§ 390.201 through 390.209.

■

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