A Motor CArrier’s

Guide to

IMPROVING

HIGHWAY 

SAFETY

E D U C A T I O N & T E C H N I C A L A S S I S T A N C E P R O G R A M

D E C E M B E R 2 0 0 9

i

EDUCATION & TECHNICAL ASSISTANCE PROGRAM

A Motor Carrier’s Guide to Improving Highway Safety

Federal Motor Carrier Safety Administration

Outreach Division

1200 New Jersey Avenue, SE, MC-ESO

Washington, DC 20590

www.fmcsa.dot.gov

While every effort has been made to assure that the information provided here is complete and accurate; it is not intended to take the place of published 

agency regulations. The document paraphrases the Federal Motor Carrier Safety Regulations published in Title 49 of the U.S. Code of Federal Regulations. 

The contents may not be relied upon as a substitute for the most current official text. The regulations issued by the U.S. Department of Transportation and its 

Operating Administrations are published in the Federal Register and compiled in the U.S. Code of Federal Regulations (CFR).

The Agency cannot assume any responsibility for omissions, errors, misprinting, or ambiguity contained within this publication and shall not be held liable 

in any degree for any loss or injury caused by such omission, error, misprinting, or ambiguity presented in this publication. This publication is designed to 

provide reasonably accurate and authoritative information in regard to the subject matter covered. It is sold with the understanding that the Publisher is not 

engaged in rendering legal or other professional service. If legal advice or other expert assistance is required, the services of a competent professional person 

should be sought.

This publication is distributed by the U.S. Department of Transportation, Federal Motor Carrier Safety Administration (FMCSA), in the interest of information 

exchange. The United States Government assumes no liability for its contents or use thereof. If trade or manufacturers’ names or products are mentioned, it 

is only because they are considered essential to the object of the publication and should not be construed as an endorsement. The United States Government 

does not endorse products or manufacturers.
ii
DRIVER QUICK-REFERENCE

What are the commercial driving 

qualifications to become certified?

Requirements and Responsibilities................................51

Physical Requirements ..................................................53

Checklist........................................................................54

Applying for Exemptions..............................................76

Disqualifying Offenses..................................................77

What are the driving laws 

and regulations?

Illness or Fatigue ...........................................................79

Drugs .............................................................................79

Alcohol ..........................................................................79

Safe Loading..................................................................79

Operating Authority.......................................................79

Railroad Crossing/Stopping...........................................80

Seat Belts.......................................................................80

Emergency Signals........................................................80

Placement of Warning Devices......................................80

Radar Detectors.............................................................80

What requirements are needed for 

a CDL driver besides the license?

Drug Testing Policy .......................................................15

Certificate of Road Test .................................................65

Fitness Determination and Physical Qualifications.......66

Instructions to Medical Examiner and Certificate .........70

Are there additional tests for 

specialized commercial vehicles?

Groups and Endorsements.............................................24

Application to Carry Hazardous Materials....................26

What if I am convicted of a State 

or local traffic violation?

Notification Requirements.............................................21

License Disqualification Offenses.................................22

What do I need to have 

displayed on my vehicle?

Identification Requirements...........................................49

What parts and accessories are 

required for safe operation?

Lamps............................................................................81

Lighting Devices and Reflectors ...................................81

Retroreflective Sheeting and Reflex Reflectors.............81

Brake Systems...............................................................81

Breakaway and Emergency Braking .............................82

Brake Components and Slack Adjustors .......................82

Brake Warning Devices.................................................83

Automatic and Antilock Systems ..................................83

Windshield.....................................................................83

Fuel System ...................................................................83

Coupling Devices ..........................................................83

Reflective Tape for Trailers ...........................................84

Tires...............................................................................86

Sleeper Berths................................................................87

Exhaust Systems............................................................87

Rear End Protection.......................................................87

Seat Belts.......................................................................87

Emergency Equipment ..................................................87

Fire Extinguisher ...........................................................87

Cargo Securement..........................................................88

Frames ...........................................................................88

Cab and Body Components...........................................88

Wheels...........................................................................88

Suspension Systems.......................................................88

Steering Wheel Systems................................................88

What must I know and complete for 

required vehicle maintenance?

Recordkeeping...............................................................97

Roadside Inspection.......................................................97

Post-Trip Inspection.......................................................97

Driver Inspection...........................................................97

Periodic Inspection ........................................................98

Forms:

Levels of Inspection ...............................................100

Annual Vehicle Inspection Report .........................101

Driver’s Vehicle Inspection Report........................102

Vehicle Service Due Status Report ........................103

North American Standard Inspection Procedure....104

Inspection, Repair & Maintenance Record ............106

Bus Emergency Exits Inspection ...........................109

Brake Adjustment...................................................110

How can I help prevent accidents?

Non-Preventable vs. Preventable Accidents................126

Accident Countermeasures: Success Stories...............129

Forms:

Accident Register...................................................135

Revenue Worksheet................................................136

DRIVER • Quick Reference

1

A Motor Carrier’s Guide to Improving Highway Safety
EMPLOYER QUICK-REFERENCE

How do I apply for new entrant 

registration and a U.S. DOT number?

Application Package and Requirements........................31

Safety Audits .................................................................32

Who can certify drivers?

Classroom Instructors....................................................11

Skills Instructors............................................................11

What qualifications must drivers meet?

Exemptions....................................................................51

Requirements and Checklist..........................................51

Physical Requirements ..................................................53

Forms:

Qualifications Checklist ...........................................54

Employment Application .........................................55

Request From Previous Employer ...........................57

Inquiry to State Agency............................................62

Annual Driving Record Review...............................63

Traffic Violations......................................................64

Road Test Certificate ................................................65

Medical Examiner’s Report .....................................66

Medical Examiner’s Certificate................................74

Multiple-Employer Drivers......................................75

Applying for Exemptions..............................................76

Skill Performance Evaluations......................................76

Disqualification..............................................................77

Driving Laws and Regulations......................................79

What endorsements do drivers 

need for specialized vehicles?

CMV Groups .................................................................24

Hazardous Materials......................................................25

HM Safety Permit Program...........................................34

Applying and Maintaining an HMSP............................34

What information do I 

need to keep on file?

Recordkeeping Requirements........................................12

Drug and Alcohol Testing Requirements.......................15

Length of Record Retention ..........................................17

DOT Alcohol Testing Form...........................................19

Proof of Insurance .........................................................38

Driver Qualification File Checklist ...............................54

Maintenance Records ....................................................97

Inspector Qualifications.................................................98

What actions do I take if 

substance abuse is suspected?

Testing and Procedures..................................................15

Drivers Who Test Positive .............................................17

What actions do I take if a driver 

commits a traffic offense?

Disqualification of Drivers............................................22

Suspension Timelines....................................................22

How is the company reviewed 

and rated for safety?

Review and Audit ..........................................................29

Ratings...........................................................................29

Safety Standards and Notification of Rating .................30

New Entrant Application and Requirements.................31

Safety Permits................................................................34

What insurance coverage 

is required by law?

DOT Forms and Endorsements .....................................38

Minimum Levels of Financial Responsibility ...............44

What are the general 

FMCSA regulations?

Exceptions .....................................................................47

Accident Register ..........................................................48

Motor Carrier Identification Reports.............................49

Vehicle Identification.....................................................49

Emergencies...................................................................49

What parts and accessories are 

required to comply with safe operation?

Lamps............................................................................81

Lighting Devices and Reflectors ...................................81

Retroreflective Sheeting and Reflex Reflectors.............81

Brake Systems...............................................................81

Breakaway and Emergency Braking .............................82

Brake Components and Slack Adjustors .......................82

Brake Warning Devices.................................................83

Automatic and Antilock Systems ..................................83

Windshield.....................................................................83

Fuel System ...................................................................83

Coupling Devices ..........................................................83

Reflective Tape for Trailers ...........................................84

Tires...............................................................................86

Sleeper Berths................................................................87

Exhaust Systems............................................................87

Rear End Protection.......................................................87

Seat Belts.......................................................................87

Emergency Equipment ..................................................87

Fire Extinguisher ...........................................................87

Cargo Securement..........................................................88

Frames ...........................................................................88

Cab and Body Components...........................................88

Wheels...........................................................................88

Suspension Systems.......................................................88

Steering Wheel Systems................................................88

EMPLOYER • Quick Reference

2

Education and Technical Assistance Program
3

A Motor Carrier’s Guide to Improving Highway Safety

What are the rules for 

drivers’ hours of service?

100 Air-Mile Radius Exemption....................................89

CMVs Exempt From Daily Logs ..................................89

Sleeper Berth Provision.................................................90

Property-Carrying Rules................................................90

Passenger-Carrying Rules..............................................90

Record of Duty (Driver’s Log)......................................90

Off Duty Authorization..................................................91

Out of Service................................................................91

On-board Recording Devices........................................91

Forms:

Hours of Service Record for First-Time or 

Intermittent Drivers..................................................92

Letter of Off-Duty Authorization .............................93

Driver’s Daily Log ...................................................94

Summary of Hours Worked and Hours Available ....95

Driver’s Time Record...............................................96

What is required for 

vehicle maintenance?

Recordkeeping...............................................................97

Roadside Inspection.......................................................97

Post-Trip Inspection.......................................................97

Driver Inspection...........................................................97

Periodic Inspection ........................................................98

Inspector Qualification ..................................................98

Inspector Training or Experience ..................................98

Brake Inspectors............................................................98

Forms:

Levels of Inspection ...............................................100

Annual Vehicle Inspection Report .........................101

Driver’s Vehicle Inspection Report........................102

Vehicle Service Due Status Report ........................103

North American Standard Inspection Procedure....104

Inspection, Repair & Maintenance Record ............106

Inspector Qualifications .........................................107

Brake Inspector Qualifications...............................108

Bus Emergency Exits Inspection ...........................109

Brake Adjustment...................................................110

What are the regulations for 

transporting hazardous materials?

Who Is Regulated ........................................................112

What Materials Are Hazardous ...................................112

Pre-Transportation Functions......................................113

DOT Registration ........................................................114

Hazmat Security Plans.................................................114

Security and Training ..................................................115

Penalties for Failing to Comply...................................115

Definitions ...................................................................116

What are the regulations for 

passenger-carriers?

Who Is Regulated ........................................................119

For-Hire Motor Carriers of Passengers .......................119

Private Motor Carriers of Passengers..........................120

Business and Non-Business.........................................120

Frequently Asked Questions........................................121

School Bus Transportation ..........................................122

Small Passenger Carriers.............................................122

Financial Responsibility ..............................................122

Financial Responsibility Exemptions..........................123

How can I help prevent accidents?

Non-Preventable vs. Preventable Accidents................126

Accident Countermeasures: Success Stories...............129

Forms:

Accident Register...................................................135

Revenue Worksheet................................................136

What data am I required 

to report to the Bureau of 

Transportation Statistics?

Requirements...............................................................137

Exceptions ...................................................................137

Forms:

Form M (Motor Carriers of Property

and Household Goods Annual Report) ..................138

Form QFR (Motor Carriers of Property

and Household Goods Quarterly Report)...............146

Form MP-1 (Motor Carriers of Passengers

Quarterly and Annual Report)................................148

What is required for 

Mexico-domiciled carriers?

Application Process for Certificate of Registration.....151

Proof of Insurance .......................................................152

Approval......................................................................153

Safety Audit.................................................................153

Safety Monitoring System...........................................154

Roadside Performance.................................................154

Permanent Certificate of Registration .........................155

EMPLOYER • Quick Reference
4

Education and Technical Assistance Program
5

A Motor Carrier’s Guide to Improving Highway Safety

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

Federal Motor Carrier Safety Administration Field Office Directory . . . . . . . . . . . . . . . . 7

Section 1

Part 380: LCV Driver-Training and Driver-Instructor Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

Part 382: Controlled Substances and Alcohol Use and Testing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Part 383: CDL Standards: Requirements and Penalties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

Part 385: Safety Fitness Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

Part 387: Minimum Levels of Financial Responsibility for Motor Carriers . . . . . . . . . . . . . . . . . . . . . . . . . . 37

Part 390: Federal Motor Carrier Safety Regulations: General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47

Part 391: Qualification of Drivers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51

Part 392: Driving of Motor Vehicles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79

Part 393: Parts and Accessories Necessary for Safe Operation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81

Part 395: Hours of Service of Drivers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89

Part 396: Inspection, Repair, and Maintenance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97

Section 2

Overview: Transportation of Hazardous Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111

Section 3

Motor Carriers of Passengers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119

Section 4

Accident Countermeasures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125

Part 1420: Motor Carrier Financial and Operation Statistics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137

Certificate For Mexico-Domiciled Carriers to Operate in the U.S. Commercial Zones . . . . . . . . . . . . . . . 151

Table of Contents
6

Education and Technical Assistance Program

The Federal Motor Carrier Safety Administration (FMCSA) was established as a separate administration

 within the U.S. Department of Transportation on January 1, 2000, as a result of the Motor Carrier

 Safety Improvement Act of 1999. FMCSA’s primary mission is to reduce crashes, injuries, and fatalities 

involving large trucks and buses on our Nation’s highways. We accomplish this through a coordinated effort of 

Federal, State, and industry organizations to reduce fatalities, injuries, property damage and hazardous materials 

incidents. We implement our safety and compliance program through a national network of fifty-two field offices, 

including the District of Columbia and Puerto Rico.

FMCSA has produced “A Motor Carrier’s Guide to Improving Highway Safety”. This guide is intended 

to provide educational and technical assistance to the motor carrier industry and provide basic guidance 

on the Federal Motor Carrier Safety Regulations (FMCSRs). It is not intended to be a substitute for the 

regulations. To purchase a complete copy of the FMCSRs, Parts 300-399, contact the Superintendent of 

Documents, U.S. Government Printing Office, Washington, DC 20402, telephone number: (866) 512-1800 

(in the Washington, DC Metro area (202) 512-1800) or at www.access.gpo.gov.

This guide is comprised of eleven parts, each containing a specific safety regulation topic that is covered 

in the FMCSRs. These parts are listed in the Table of Contents. Each part contains information sheets that 

cover the highlights of that section. Some sections contain sample forms and we encourage you to reproduce any 

or all material in this package and to distribute copies as needed. You may also obtain this information on our 

website at www.fmcsa.dot.gov.

It is the responsibility of motor carrier operators and drivers to know and comply with all applicable FMCSRs.

Safety compliance and safe operations translate into saved lives and property. We believe the information 

in this package, when effectively applied, will contribute to safer motor carrier operations and highways.

Introduction
7

A Motor Carrier’s Guide to Improving Highway Safety

Headquarters

Federal Motor Carrier Safety Administration

1200 New Jersey Avenue, SE

Washington, DC 20590

plus 

Puerto 

Rico

plus

American 

Samoa, 

Guam, and 

Mariana 

Islands

Headquarters • Service Centers

Southern 

Service Center

1800 Century Boulevard, NE, Suite 1700

Atlanta, GA 30345-3220

Phone: (404) 327-7400

Fax: (404) 327-7349

AL, AR, FL, GA, KY, LA, 

MS, NC, OK, 

SC, TN, TX

Eastern 

Service Center

802 Cromwell Park Drive, Suite N

Glen Burnie, MD 21061

Phone: (443) 703-2240

Fax: (443) 703-2253

CT, DC, DE, MA, MD, ME, 

NJ, NH, NY, 

PA, PR, RI, 

VA, VT, WV

Midwestern 

Service Center

19900 Governors Drive, Suite 210

Olympia Fields, IL 60461

Phone: (708) 283-3577

Fax: (708) 283-3579

IA, IL, IN, KS, MI, MO, 

MN, NE, OH, WI

Western 

Service Center

Golden Hills Office Centre

12600 West Colfax Avenue, Suite B-300

Lakewood, CO 80215

Phone: (303) 407-2350

Fax: (303) 407-2339

American Samoa, AK, AZ, CA, CO, 

Guam, HI, ID, Mariana Islands, MT, 

ND, NM, NV, OR, SD, UT, WA, WY
8

Education and Technical Assistance Program

Alabama Division

500 Eastern Boulevard, Suite 200

Montgomery, AL 36117

Phone: (334) 223-7244

Fax: (334) 223-7700

Alaska Division

Frontier Building, Suite 260

3601 C Street

Anchorage, AK 99503

Phone: (907) 271-4068

Fax: (907) 271-4069

Arizona Division

One Arizona Center

400 East Van Buren Street, Suite 401

Phoenix, AZ 85004-2223

Phone: (602) 379-6851

Fax: (602) 379-3627

Arkansas Division

2527 Federal Building

700 W. Capitol Avenue

Little Rock, AR 72201

Phone: (501) 324-5050

Fax: (501) 324-6562

California Division

1325 J Street, Suite 1540

Sacramento, CA 95814

Phone: (916) 930-2760

Fax: (916) 930-2778

Colorado Division

12300 West Dakota Avenue, Suite 130

Lakewood, CO 80228

Phone: (720) 963-3130

Fax: (720) 963-3131

Connecticut Division

628-2 Hebron Avenue, Suite 302

Glastonbury, CT 06033

Phone: (860) 659-6700

Fax: (860) 659-6725

Delaware Division

J. Allen Frear Federal Building

300 South New Street, Suite 1105

Dover, DE 19904-6726

Phone: (302) 734-8173

Fax: (302) 734-5380

District of Columbia 

Division

1990 K Street, NW, Suite 510

Washington, DC 20006

Phone: (202) 219-3553

Fax: (202) 219-3546

Florida Division

545 John Knox Road, Room 102

Tallahassee, FL 32303

Phone: (850) 942-9338

Fax: (850) 942-9680

Georgia Division

Two Crown Center

1745 Phoenix Boulevard, Suite 380

Atlanta, GA 30349

Phone: (678) 284-5130

Fax: (678) 284-5146

Hawaii Division

300 Ala Moana Boulevard, 

Room 3-243

Box 50226

Honolulu, HI 96850

Phone: (808) 541-2790

Fax: (808) 541-2702

Idaho Division

3200 North LakeHarbor Lane, 

Suite 161

Boise, ID 83703

Phone: (208) 334-1842

Fax: (208) 334-1046

Illinois Division

3250 Executive Park Drive

Springfield, IL 62703-4514

Phone: (217) 492-4608

Fax: (217) 492-4986

Indiana Division

575 North Pennsylvania Street, 

Room 261

Indianapolis, IN 46204

Phone: (317) 226-7474

Fax: (317) 226-5657

Iowa Division

105 6th Street

Ames, IA 50010-6337

Phone: (515) 233-7400

Fax: (515) 233-7494

Kansas Division

1303 SW First American Place, 

Suite 200

Topeka, KS 66604-4040

Phone: (785) 271-1260

Fax: (785) 228-9725

Kentucky Division

330 West Broadway, Room 124

Frankfort, KY 40601

Phone: (502) 223-6779

Fax: (502) 223-6767

Louisiana Division

5304 Flanders Drive, Suite A

Baton Rouge, LA 70808

Phone: (225) 757-7640

Fax: (225) 757-7636

Maine Division

Edmund S. Muskie Federal Building

40 Western Avenue, Room 411

Augusta, ME 04330

Phone: (207) 622-8358

Fax: (207) 622-8477

Maryland Division

City Crescent Building

10 South Howard Street, Suite 2710

Baltimore, MD 21201

Phone: (410) 962-2889

Fax: (410) 962-3916

Massachusetts Division

55 Broadway, Bldg 3, Room 1-35

Cambridge, MA 02142

Phone: (617) 494-2770

Fax: (617) 494-2783

Michigan Division

315 West Allegan, Room 219

Lansing, MI 48933

Phone: (517) 853-5990

Fax: (517) 377-1868

Minnesota Division

380 Jackson Street

Galtier Plaza, Suite 500

St. Paul, MN 55101

Phone: (651) 291-6150

Fax: (651) 291-6001

Mississippi Division

666 North Street, Suite 103

Jackson, MS 39202-3199

Phone: (601) 965-4219

Fax: (601) 965-4674

Missouri Division

3219 Emerald Lane, Suite 500

Jefferson City, MO 65109

Phone: (573) 636-3246

Fax: (573) 636-8901

Montana Division

2880 Skyway Drive

Helena, MT 59602

Phone: (406) 449-5304

Fax: (406) 449-5318
9

A Motor Carrier’s Guide to Improving Highway Safety

Division Offices

Nebraska Division

100 Centennial Mall North, Room 406

Lincoln, NE 68508

Phone: (402) 437-5986

Fax: (402) 437-5837

Nevada Division

705 North Plaza Street, Suite 204

Carson City, NV 89701

Phone: (775) 687-5335

Fax: (775) 687-8353

New Hampshire Division

70 Commercial Street, Suite 102

Concord, NH 03301

Phone: (603) 228-3112

Fax: (603) 223-0390

New Jersey Division

840 Bear Tavern Road, Suite 310

West Trenton, NJ 08628

Phone: (609) 637-4222

Fax: (609) 538-4913

New Mexico Division

2400 Louisiana Boulevard NE,

Suite 520 AFC-5

Albuquerque, NM 87110

Phone: (505) 346-7858

Fax: (505) 346-7859

New York Division

Leo W. O’Brien Federal Building,

Room 816

Clinton Avenue & North Pearl Street

Albany, NY 12207

Phone: (518) 431-4145

Fax: (518) 431-4140

North Carolina Division

310 New Bern Avenue, Suite 468

Raleigh, NC 27601

Phone: (919) 856-4378

Fax: (919) 856-4369

North Dakota Division

1471 Interstate Loop

Bismarck, ND 58503

Phone: (701) 250-4346

Fax: (701) 250-4389

Ohio Division

200 North High Street, Room 609

Columbus, OH 43215

Phone: (614) 280-5657

Fax: (614) 280-6875

Oklahoma Division

300 North Meridian, Suite 106 South

Oklahoma City, OK 73107

Phone: (405) 605-6047

Fax: (405) 605-6176

Oregon Division

The Equitable Center

530 Center Street, NE, Suite 100

Salem, OR 97301-3740

Phone: (503) 399-5775

Fax: (503) 399-5838

Pennsylvania Division

228 Walnut Street, Room 560

Harrisburg, PA 17101

Phone: (717) 221-4443

Fax: (717) 221-4552

Puerto Rico Division

Torre Chardón

350 Chardón Street, Suite 207

Hato Rey, PR 00918

Phone: (787) 766-5985

Fax: (787) 766-5015

Rhode Island Division

20 Risho Avenue, Suite E

East Providence, RI 02914

Phone: (401) 431-6010

Fax: (401) 431-6019

South Carolina Division

1835 Assembly Street, Suite 1253

Columbia, SC 29201-2430

Phone: (803) 765-5414

Fax: (803) 765-5413

South Dakota Division

116 East Dakota Avenue, Suite B

Pierre, SD 57501

Phone: (605) 224-8202

Fax: (605) 224-1766

Tennessee Division

640 Grassmere Park, Suite 111

Nashville, TN 37211

Phone: (615) 781-5781

Fax: (615) 781-5780

Texas Division

903 San Jacinto Boulevard,

Suite 101

Austin, TX 78701

Phone: (512) 916-5440

Fax: (512) 916-5482

Utah Division

2520 West 4700 South, Suite 9B

Salt Lake City, UT 84118-1847

Phone: (801) 963-0096

Fax: (801) 963-0086

Vermont Division

87 State Street, Room 305

P.O. Box 338

Montpelier, VT 05601

Phone: (802) 828-4480

Fax: (802) 828-4581

Virginia Division

400 North 8th Street, Suite 780

Richmond, VA 23219-4827

Phone: (804) 771-8585

Fax: (804) 771-8670

Washington Division

2424 Heritage Drive SW, Suite 302

Olympia, WA 98502-6031

Phone: (360) 753-9875

Fax: (360) 753-9024

West Virginia Division

700 Washington Street East

Geary Plaza, Suite 205

Charleston, WV 25301

Phone: (304) 347-5935

Fax: (304) 347-5617

Wisconsin Division

Highpoint Office Park

567 D’Onofrio Drive, Suite 101

Madison, WI 53719-2844

Phone: (608) 829-7530

Fax: (608) 829-7540

Wyoming Division

1637 Stillwater Avenue, Suite F

Cheyenne, WY 82009

Phone: (307) 772-2305

Fax: (307) 772-2905
10

Education and Technical Assistance Program

NOTES:
11

A Motor Carrier’s Guide to Improving Highway Safety

Section 1

PART 380

Longer Combination Vehicle (LCV) Driver-Training and DriverInstructor Requirements

➤ An LCV Driver-Training Certificate of 

Grandfathering, showing that the driver is 

exempt from the training requirements based 

on experience. As a note, drivers may be 

grandfathered June 01, 2004 to May 01, 2005 only.

Driver-Instructor Qualification 

Requirements (380.301)

There are two types of LCV driver-instructors: 

classroom instructors and skills instructors.

To qualify as a LCV Classroom Instructor, a person 

shall have audited the driver-training course they intend 

to instruct and if employed at a training institution, 

meet all State requirements for a vocational instructor.

To qualify as a LCV Skills Instructor, a person shall

➤ provide evidence of successful completion of the 

Driver Training Program requirements, set forth in 

subpart B of Part 380 in the Federal Motor Carrier 

Safety Regulations, during a compliance review;

➤ meet all State requirements for a vocational 

instructor if employed by a training institution;

➤ possess a valid CDL with all applicable 

endorsements necessary to operate the CMVs 

applicable to the subject matter being taught; and

➤ have a minimum of 2 years of CMV driving 

experience in a vehicle representative of the 

type of LCV training to be provided.

Part 380.303 of 49 CFR notes the provisions 

to substitute the instructor requirements.

Recordkeeping Requirements 

(380.401)

A driver who successfully completes the LCV training 

or has met the requirements of 49 CFR section 

Applicability (380.103)

The rules in Part 380, Subpart A through Subpart D 

apply to all operators of LCVs in interstate commerce, 

employers of such persons, and LCV driver-instructors.

Definition (380.105)

Longer combination vehicle (LCV) means any 

combination of a truck tractor and two or more trailers 

or semi trailers which operate on the National System 

of Interstate and Defense Highways with a gross vehicle 

weight of more than 80,000 pounds (36,288 kilograms).

General LCV Driver Training 

Requirements (380.107)

A driver who wishes to operate a Longer Combination 

Vehicle (LCV) shall first take and successfully 

complete a LCV driver-training program that provides 

the knowledge and skills necessary to operate an LCV.

Before a driver receives training, the driver shall 

present evidence to the LCV driver-instructor showing 

that they successfully completed the Driver Training 

Program requirements, set forth in subpart B of Part 

380 in the Federal Motor Carrier Safety Regulations, 

for the specific type of LCV training required. Also, 

before a driver receives training, the LCV driverinstructor shall verify that each LCV trainee-driver 

applicant meets the general requirements for the 

specific type of LCV training to be completed.

Employer Requirements (380.113)

Employers are prohibited from allowing drivers to 

operate LCVs unless those drivers can produce either:

➤ An LCV Driver-Training Certificate as 

evidence of successful completion of 

an LCV driver training course; or

Part 380: LCV Driver-Training and Driver-Instructor Requirements
12

Education and Technical Assistance Program

380.111 concerning the grandfathering clause must 

be issued a Driver-Training Certificate or Certificate 

of Grandfathering. A copy of the certificate must 

be maintained in the driver’s qualification file.

Entry-Level Driver Training Requirements

Applicability (380.501)

All entry-level drivers who drive in interstate 

commerce and are subject to the Commercial 

drivers license (CDL) requirements of 49 CFR Part 

383 must comply with the rules of Entry-Level 

Driver Training Requirements of 49 CFR Part 380, 

except drivers who are subject to the jurisdiction 

of the Federal Transit Administration or who are 

otherwise exempt under 49 CFR section 390.3(f).

Definition (380.502)

An entry-level driver is a driver who has less than one 

year of experience operating a Commercial Motor 

Vehicle (CMV) with a CDL in interstate commerce.

Entry-Level Driver Training 

Requirements (380.503)

A driver or potential driver, with less than one-year 

experience, must receive training before operating a 

CMV (as defined in 383.5) in interstate commerce.

Training required for CDL drivers, in 

addition to passing the CDL test.

A. Driver Qualification Requirements

➤ Medical certification

➤ Medical examination procedures

➤ General qualifications

➤ Responsibilities

➤ Disqualifications

B. Hours of Service of Drivers

➤ Driving hours limitations

➤ Off-duty requirements

➤ Record of duty status preparation

➤ Part 395 exceptions

➤ Fatigue countermeasures

C. Driver Wellness

Basic health maintenance, including diet and exercise; 

the importance of avoiding excessive alcohol use.

D. Whistleblower Protection

Employee’s right to question safety 

practices without risk of losing their job 

or become subject to any reprisals.

Employer Requirement (380.509)

Each employer must ensure each entry-level driver 

who first began operating a CMV requiring a CDL in 

interstate commerce after July 20, 2003, receives the 

required training as noted in 49 CFR section 380.503.

Recordkeeping Requirements (380.513, 

380.509, 380.111)

➤ The training provider must provide a 

certificate/diploma to an entry-level driver 

upon completion of training. (380.513)

➤ A certificate/diploma must be placed in the 

driver’s personnel/qualification file. (380.509)

➤ The employer must keep these records for as 

long as the driver is employed and for one year 

thereafter. (380.111)

(Sample certificate shown on next page)
13

Certificate of Training for

Entry Level Commercial Drivers

Driver’s first name, middle initial, last name

I certify that the above named driver has completed the training requirements set 

forth in the Federal Motor Carrier Safety Regulations for entry level driver training in 

accordance with 49 CFR 380.503

•	 Driver Qualification Requirements (49 CFR 391)

•	 Hours of Service of Drivers (49 CFR 395)

•	 Driver Wellness

•	 Whistleblower Protection (29 CFR 1978)

______________________________ ____________________________ 

Name of Director of Safety Certificate Issuance Date

Organization Name

Organization Address
14

Education and Technical Assistance Program

NOTES:
15

A Motor Carrier’s Guide to Improving Highway Safety

Applicability (382.103)

Drivers required to have a commercial drivers license 

(CDL), who operate a CMV as defined in Part 382 

are subject to the controlled substance and alcohol 

testing rules. This requirement extends to those drivers 

currently covered by the rule, including interstate 

and intrastate truck and motor coach operations. This 

includes commercial motor vehicles operated by:

➤ For-hire and private companies

➤ Federal, State, local, and tribal governments

➤ Church and civic organizations

➤ Apiarian (bee) industries

Exemptions (382.103)

➤ Drivers who are required to comply with 

the Federal Transit Administration’s 

(FTA) alcohol and controlled substance 

testing (49 CFR Parts 653 and 654)

➤ Drivers exempt from commercial driver’s 

license requirements by their issuing State

➤ Active duty military personnel

Definitions (382.107)

Commercial motor vehicle means a motor 

vehicle or combination of motor vehicles used 

in interstate, intrastate, or foreign commerce to 

transport passengers or property if the vehicle:

➤ Has a gross combination weight rating of 

26,001 pounds or more (11,794 kilograms 

or more) inclusive of a towed unit(s) with 

a gross vehicle weight rating of more than 

10,000 pounds (4,536 kilograms); or

➤ Has a gross vehicle weight rating of 26,001 

pounds or more (11,794 kilograms or more); or

➤ Is designed to transport 16 or more 

passengers, including the driver; or

➤ Is of any size and is used in the transportation 

of hazardous materials requiring placarding.

Safety-sensitive function means all time from the 

time a driver begins to work or is required to be in 

readiness to work until the time he/she is relieved from 

work and all responsibility for performing work.

Alcohol means the intoxicating agent in beverage 

alcohol, ethyl alcohol, or other low molecular weight 

alcohols including methyl and isopropyl alcohol.

Types of Controlled Substances 

and Alcohol Tests (Part 382, 

Subpart C-Tests Required)

Pre-Employment (382.301 – 

Controlled Substances Only)

No employer shall allow a driver to perform a 

safety-sensitive function until they have received 

the negative controlled substance test result.

Post-Accident (382.303)

As soon as practicable following an accident involving 

a commercial motor vehicle operating on a public 

road in commerce, each employer shall test for 

alcohol (within 8 hours) and controlled substances 

(within 32 hours) for each of its surviving drivers:

➤ Who was performing safety-sensitive functions 

with respect to the vehicle, if the accident 

involved the loss of human life; or

➤ Who receives a citation within 8 hours of 

the occurrence under State or local law 

for a moving traffic violation arising from 

the accident, if the accident involved:

■ Bodily injury to any person who, as 

a result of the injury, immediately 

receives medical treatment away from 

the scene of the accident; or

■ One or more motor vehicles incurring disabling 

damage as a result of the accident, requiring 

the motor vehicle to be transported away from 

the scene by a tow truck or other motor vehicle.

PART 382

Controlled Substances and Alcohol Use and Testing

Part 382: Controlled Substances and Alcohol Use and Testing
16

Education and Technical Assistance Program

Post-Accident: 

Table for §382.303(a) and (b)

Random (382.305)

Companies are to randomly test drivers at a minimum 

annual percentage rate of 10% of the number of 

drivers for alcohol testing, and 50% for controlled 

substances testing. The random alcohol tests must be 

performed immediately prior, during or immediately 

after a driver has performed a safety-sensitive 

function as defined in 49 CFR section 382.107. All 

drivers must have an equal chance of being tested.

Reasonable Suspicion (382.307)

An employer shall require a driver to submit to an 

alcohol and/or controlled substance test when the 

employer has reasonable suspicion to believe that 

the driver has violated the prohibitions concerning 

alcohol and/or controlled substances. The employer’s 

determination that reasonable suspicion exists to 

require the driver to undergo an alcohol and/or 

controlled substances test must be based on specific, 

coincidental, articulable observations concerning 

the appearance, behavior, speech or body odors of 

the driver. The required observations shall be made 

by a supervisor or company official who is trained 

in accordance with 49 CFR section 382.603.

Return-to-Duty (382.309)

Each employer shall ensure that before a driver 

returns to duty requiring the performance of a safetysensitive function after engaging in conduct prohibited 

by Subpart B (Prohibitions) of Part 382 concerning 

alcohol or controlled substances, the driver shall 

undergo a return-to-duty alcohol test with a result 

indicating an alcohol concentration of less than 0.02 

and/or the driver shall undergo a return-to-duty 

controlled substances test with a result indicating a 

verified negative result for controlled substances use.

Follow-Up (382.311)

The Substance Abuse Professional (SAP) will 

establish a follow-up testing plan. The employer must 

ensure that the follow-up testing plan is carried out.

A minimum of six tests must be conducted in the 

first 12 months, and the driver may also be subject 

to follow-up tests during the 48 months of safetysensitive duty following the first 12-month period.

Driver Awareness (382.601)

Every motor carrier shall provide educational materials 

explaining the requirements of the regulations as 

well as the employer’s policies regarding alcohol 

misuse and controlled substances abuse. At a 

minimum, detailed discussions should include:

➤ The identity of the person designated to 

answer drug and alcohol questions.

➤ Which drivers are subject to these requirements, 

what behavior is prohibited, and clarification 

of what a “safety-sensitive function” is.

➤ The circumstances under which a driver 

will be tested, and the procedures 

that will be used for testing.

➤ Explanations of the requirement that a driver 

submit to the testing, as well as what constitutes 

a driver’s refusal to submit to testing.

Type of accident involved Citation issued to 

the CMV driver

Test must be 

performed by 

employer

Human fatality

Yes Yes

No Yes

Bodily injury with 

immediate medical treatment 

away from the scene

Yes Yes

No No

Disabling damage to 

any motor vehicle 

requiring tow away

Yes Yes

No No
17

A Motor Carrier’s Guide to Improving Highway Safety

➤ The consequences for drivers who have 

violated the testing requirements.

➤ Information concerning the effects of 

alcohol misuse, and controlled substances 

abuse on health, work, and personal life.

What is required of the Motor 

Carrier if a driver tests positive?

Controlled Substance (382.501, 40.23)

When an employer receives notification of a verified 

positive controlled substance test result or a verified 

adulterated or substituted controlled substance test 

result, the employer must immediately remove the 

employee involved from any safety-sensitive functions.

Do not wait to receive written verification confirming 

the test results or the result of a split specimen test.

Alcohol (382.501, 40.23)

When an employer receives an alcohol test result of 

0.04 or higher alcohol concentration, the employer 

must immediately remove the employee involved 

from any safety-sensitive functions. Do not wait to 

receive written verification confirming the test results.

When the motor carrier receives an employee’s 

alcohol test result showing an alcohol concentration 

of .02 to .039, the employer must immediately 

remove the employee from any safety-sensitive 

functions until the start of the employee’s next 

regularly scheduled duty period; but not less than 

24 hours following administration of the test.

General (382.309, 40.305)

Before an employer allows a driver to return 

to duty to perform a safety-sensitive function 

following certain prohibited conduct such as:

➤ a verified positive controlled substances test result;

➤ an alcohol result of 0.04 or greater;

➤ a refusal to submit to a test; or

➤ any other activity that violates provisions 

of the Prohibitions (Part 382, Subpart B) 

that driver must first be evaluated by a 

SAP, participate in any treatment program 

prescribed, and pass a controlled substances 

and/or alcohol return-to-duty test.

It is the motor carrier’s responsibility to provide 

to the employee a list, including the names, 

addresses, and telephone numbers, of qualified 

SAPs as required by 49 CFR section 40.287.

As an employer, you may not alter a drug or 

alcohol test result transmitted to you by a Medical 

Review Officer (MRO), Breath Alcohol Technician 

(BAT), or Consortium/Third Party Administrator 

(C/TPA) as noted in 49 CFR section 40.23.

Drug and Alcohol Convictions While 

Operating a Noncommercial Vehicle 

(391.51)

Drivers should be made aware that certain drug and 

alcohol convictions in a noncommercial vehicle may 

affect their commercial driver’s license status. See Part 

383 of this CD-ROM or review 49 CFR section 383.51.

Recordkeeping Requirements 

(382.401)

General requirements.

Each employer must maintain records of its alcohol 

misuse and controlled substances use prevention 

programs in a secure location with controlled access.

When requested by an authorized representative 

of FMCSA, the records must be made available 

at the principal place of business within two 

business days. See 49 CFR section 383.51.

If a record is required to be prepared, it 

must be retained. The following records 

must be maintained for a minimum of:

Five Years

➤ Records of alcohol test results indicating an 

alcohol concentration of 0.02 or greater;

➤ Records of verified positive controlled 

substances test results;

➤ Documentation of refusals to take required 

alcohol and/or controlled substances tests;

➤ Driver evaluation and referrals; or

➤ Calibration documentation of Evidential 

Breath Testing (EBT) devices;

➤ Records related to the administration of the alcohol 

and controlled substances testing program; and

➤ A copy of each annual calendar year summary 

if required by 49 CFR section 382.403.

Part 382: Controlled Substances and Alcohol Use and Testing
18

Education and Technical Assistance Program

Two Years

Records related to the alcohol and controlled 

substances collection process (except calibration 

of evidential breath testing devices) including:

➤ Random selection process records;

➤ Reasonable suspicion testing documentation;

➤ Post accident testing documentation; and

➤ Medical explanation for a driver’s 

inability to provide adequate sample.

One Year

➤ Records of negative and cancelled 

substances test results; and

➤ Alcohol test results with a 

concentration of less than 0.02.

Indefinite Period

Records must be maintained by the employer 

while the individual performs the functions 

which require the training and for two years 

after ceasing to perform those functions.

➤ All records related to the training and 

education of drivers, supervisors, breath alcohol 

technicians, and screening technicians;

➤ Employer’s testing policy; and

➤ Driver’s signed receipt for educational 

materials and policy received.

For more information, reference: “Implementation 

Guidelines for Alcohol and Drug Regulations 

in Highway Transportation” at http://

www.fmcsa.dot.gov/safety-security/safetyinitiatives/drugs/drug-guidelines.htm.

Form to Use

19 ................U.S. Department of Transportation 

(DOT) Alcohol Testing Form
19
20

Education and Technical Assistance Program

NOTES:
21

A Motor Carrier’s Guide to Improving Highway Safety

The licensing provisions in Part 383 are intended to 

help reduce accidents by setting standards that:

➤ Require commercial drivers to be properly 

qualified and to hold a single valid 

commercial driver’s license (CDL); and

➤ Disqualify drivers who do not operate 

commercial motor vehicles (CMVs) safely.

Because the CDL is a State-issued license, you should 

check with appropriate State officials regarding 

particular license classes and specific exemptions.

Drivers must hold CDLs if they operate in interstate, 

intrastate, or foreign commerce and drive a CMV.

Applicability (383.3)

The rules in 49 CFR Part 383 apply to every 

person who operates a commercial motor vehicle 

(CMV), as defined below, in interstate, foreign, 

or intrastate commerce, to all employers of 

such persons, and to all States. Exceptions and 

Restrictions are stated in 49 CFR section 383.3.

Definitions (383.5)

Commercial Driver’s License Information System 

(CDLIS) means the CDLIS established by FMCSA 

pursuant to section 12007 of the Commercial 

Motor Vehicle Safety Act of 1986. CDLIS enables 

the States to exchange information about the 

driving records and driver’s licenses of CMV 

drivers. This helps ensure that only one license 

is issued to a driver and that drivers currently 

disqualified are prevented from obtaining a CDL.

Commercial motor vehicle (CMV) means a 

motor vehicle or combination of motor vehicles 

used in commerce to transport passengers 

or property if the motor vehicle:

➤ Has a gross combination weight rating of 

26,001 pounds or more (11,794 kilograms 

or more) inclusive of a towed unit(s) with 

a gross vehicle weight rating of more than 

10,000 pounds (4,536 kilograms); or

➤ Has a gross vehicle weight rating of 26,001 

pounds or more (11,794 kilograms or more); or

➤ Is designed to transport 16 or more 

passengers, including the driver; or

➤ Is of any size and is used in the transportation 

of hazardous materials requiring placarding.

Disqualification means any of the following three 

actions:

➤ The suspension, revocation, or cancellation of a 

CDL by the State or jurisdiction of issuance.

➤ Any withdrawal of a person's privileges to drive a 

CMV by a State or other jurisdiction as the result 

of a violation of State or local law relating to 

motor vehicle traffic control (other than parking, 

vehicle weight, or vehicle defect violations).

➤ A determination by the FMCSA that a person 

is not qualified to operate a commercial 

motor vehicle under 49 CFR Part 391.

Notification to Employer and Licensing 

State (383.31)

Upon conviction for any State or local traffic 

violation, a driver must notify his/her employer(s) 

within 30 days. This notification must be in writing 

and must include the following information:

➤ Driver’s full name;

➤ Driver’s license number;

➤ Date of conviction;

➤ Details about the offense, including 

any resulting suspension, revocation, or 

cancellation of driving privileges;

➤ Indication of whether the violation 

happened in a CMV;

➤ Location of offense; and

➤ Driver’s signature.

PART 383

Commercial Driver’s License (CDL) Standards: 

Requirements and Penalties

Part 383: CDL Standards: Requirements and Penalties
22

Education and Technical Assistance Program

Disqualification of Drivers (383.51)

No employer shall knowingly allow, require, permit, 

or authorize a disqualified driver to drive a CMV. The 

period of time which a driver must be disqualified 

depends on the offense and the type of vehicle the 

driver is operating at the time of the violation.

Recent changes in driver’s license regulations 

require driver disqualification for some violations 

that occur while driving non-commercial vehicles.

See 49 CFR section 383.51 for details.

Disqualifying Offenses Include:

➤ Driving a CMV while under the 

influence of alcohol.

➤ Driving a CMV while under the influence of a 

disqualifying drug or other controlled substance.

➤ Leaving the scene of an accident 

that involves a CMV.

➤ Using a CMV to commit a felony.

➤ Using a CMV to commit serious traffic violations.

➤ Using a CMV to violate an Out-of-Service Order.

➤ Using a CMV to violate the RailroadHighway Grade Crossing rule.

Suspensions for traffic violations:

60-Day Suspension

A 60-day suspension will be imposed 

following conviction for a second serious 

traffic violation in a separate incident within 

three years while driving a CMV.

These violations include:

➤ Excessive speeding (15 miles per hour or more 

above the posted speed limit in a single offense);

➤ Reckless driving, improper or erratic lane changes, 

or following the vehicle ahead too closely;

➤ Traffic offenses involving a fatal accident; and

➤ Driving a CMV without a CDL, proper class 

of CDL, and/or proper endorsement.

120-Day Suspension

A 120-day suspension will be imposed following three 

convictions of any serious violations within three years.

Disqualification for Major Offenses:

A driver will be disqualified for 1 year to life if 

convicted of the offenses contained in Table 1 of 

49 CFR section 383.51. These violations include:

➤ Being under the influence of alcohol

➤ Being under the influence of a controlled substance

➤ Having an alcohol concentration of 0.04 

or greater while operating a CMV

➤ Refusing to take an alcohol test

➤ Leaving the scene of an accident

➤ Using a CMV to commit a felony

➤ Driving a CMV when, as a result of prior violations 

committed operating a CMV, the driver’s CDL 

is revoked, suspended, or canceled, or the 

driver is disqualified from operating a CMV

➤ Causing a fatality through the 

negligent operation of a CMV

➤ Using the vehicle in the commission of a 

felony involving manufacturing, distributing, 

or dispensing a controlled substance

Implied Consent (383.72)

Any CDL holder is automatically considered to have 

consented to alcohol testing by any State or jurisdiction.

Disqualification for serious traffic violations.

Table on page 23 contains a list of the offenses and 

the periods for which a driver must be disqualified, 

depending upon the type of vehicle the driver is 

operating at the time of the violation, as follows:
23

A Motor Carrier’s Guide to Improving Highway Safety

If the driver operates 

a motor vehicle and 

is convicted of:

For a second conviction 

of any combination of 

offenses in this Table 

in a separate incident 

within a 3-year period 

while operating a CMV, 

a person required 

to have a CDL and 

a CDL holder must 

be disqualified from 

operating a CMV for:

For a second conviction 

of any combination of 

offenses in this Table 

in a separate incident 

within a 3-year period 

while operating a nonCMV, a CDL holder must 

be disqualified from 

operating a CMV, if the 

conviction results in the 

revocation, cancellation 

or suspension of the 

CDL holder’s license 

for non-CMV driving 

privileges, for:

For a third or 

subsequent conviction 

of any combination of 

offenses in this Table 

in a separate incident 

within a 3-year period 

while operating a CMV, 

a person required 

to have a CDL and 

a CDL holder must 

be disqualified from 

operating a CMV for:

For a third or subsequent 

conviction of any 

combination of offenses 

in this Table in a 

separate incident within 

a 3-year period while 

operating a non-CMV, 

a CDL holder must 

be disqualified from 

operating a CMV, 

if the conviction results in 

the revocation, 

cancellation or 

suspension of the 

CDL holder’s license 

for non-CMV driving 

privileges, for:

1) Speeding excessively, 

involving any speed of 

24.1 kmph (15 mph) 

or more above the 

posted speed limit.

60 days 60 days 120 days 120 days

2) Driving recklessly, 

as defined by State or 

local law or regulation, 

including but, not 

limited to, offenses of 

driving a motor vehicle 

in willful or wanton 

disregard for the safety 

of persons or property.

60 days 60 days 120 days 120 days

3) Making improper 

or erratic traffic 

lane changes.

60 days 60 days 120 days 120 days

4) Following the vehicle 

ahead too closely. 60 days 60 days 120 days 120 days

5) Violating State or 

local law relating to 

motor vehicle traffic 

control (other than 

a parking violation) 

arising in connection 

with a fatal accident.

60 days 60 days 120 days 120 days

6) Driving a CMV 

without obtaining a CDL. 60 days Not applicable 120 days Not applicable

7) Driving a CMV 

without a CDL in the 

driver’s possession.

60 days Not applicable 120 days Not applicable

8) Driving a CMV 

without the proper 

class of CDL and/

or endorsements for 

the specific vehicle 

group being operated 

or for the passengers 

or type of cargo 

being transported.

60 days Not applicable 120 days Not applicable

Part 383: CDL Standards: Requirements and Penalties
24

Education and Technical Assistance Program

Commercial motor vehicle groups (383.91)

Endorsements (383.93)

In addition to general knowledge and skills tests, drivers who operate specialized commercial 

motor vehicles must pass additional tests and obtain endorsements on their CDLs, as follows:

T — Double/triple trailers (knowledge test only)

P — Passenger (knowledge and skills tests)

N — Tank vehicle (knowledge test only)

H — Hazardous materials (knowledge test only)

X — Combination of tank vehicle and hazardous materials (knowledge tests)

S — School Bus (knowledge and skills test)
25

A Motor Carrier’s Guide to Improving Highway Safety

Part 383: CDL Standards: Requirements and Penalties

Air Brake Restrictions (383.95)

If an applicant fails the air brake section of the 

knowledge test, or performs the skills test in a vehicle 

not equipped with air brakes, his/her CDL, if issued, 

will indicate that the license holder may not operate 

any CMV (requiring a CDL) equipped with air brakes.

NOTE: For the purposes of the skills test and 

the license restriction, air brakes include 

any braking system that operates fully or 

partially on the air brake principle.

Hazardous Materials Endorsement 

Requirements (383.141)

➤ A State may not issue, renew, upgrade, or 

transfer a HM endorsement for a CDL to any 

individual unless the Transportation Security 

Administration (TSA) has determined that 

the individual does not pose a security risk 

warranting denial of the endorsement.

➤ At least 60 days prior to the expiration date of 

the CDL or HM endorsement, a State must notify 

the holder of a CDL with an HM endorsement 

that the individual must pass a TSA security 

threat assessment. An individual who does not 

successfully complete the TSA security assessment 

process may not be issued a HM endorsement.

➤ Each State must require that HM endorsements 

be renewed every 5 years or less.

(Sample application shown on next page)
26
27
28

Education and Technical Assistance Program

NOTES:
29

A Motor Carrier’s Guide to Improving Highway Safety

PART 385

Safety Fitness Procedures

Purpose and Scope (385.1)

49 CFR Part 385 establishes the FMCSA’s 

procedures to determine:

➤ Safety fitness of motor carriers, to assign 

safety ratings, to direct motor carriers to take 

remedial action when required, and to prohibit 

motor carriers receiving a safety rating of 

“unsatisfactory” from operating a CMV;

➤ Safety assurance program for a new entrant 

motor carrier initially seeking to register with 

FMCSA to conduct interstate operations. It 

also describes the consequences that will occur 

if the new entrant fails to maintain adequate 

basic safety management controls; and

➤ Safety permit program for a motor carrier to 

transport the types and quantities of hazardous 

materials listed in 49 CFR section 385.403.

Definitions (385.3)

Compliance review means an on-site examination 

of motor carrier operations, such as drivers’ hours 

of service, maintenance and inspection, driver 

qualification, commercial drivers license requirements, 

financial responsibility, accidents, hazardous 

materials, and other safety and transportation 

records to determine whether a motor carrier 

meets the safety fitness standard. A compliance 

review may be conducted in response to a request 

to change a safety rating, to investigate potential 

violations of safety regulations by motor carriers, 

or to investigate complaints, or other evidence 

of safety violations. The compliance review may 

result in the initiation of an enforcement action.

Safety Audit means an examination of a motor 

carrier’s operations to provide educational and 

technical assistance on safety and the operational 

requirements of the FMCSRs and applicable 

HMRs and to gather critical safety data needed 

to make an assessment of the carrier’s safety 

performance and basic safety management controls.

Safety audits do not result in safety ratings.

Safety management controls means the systems, 

policy programs, practices, and procedures used 

by a motor carrier to ensure compliance 

with applicable safety and hazardous materials 

regulations, which ensure the safe movement of 

products and passengers through the transportation 

system, and to reduce the risk of highway accidents 

and hazardous materials incidents resulting in 

fatalities, injuries, and property damage.

Safety ratings:

Satisfactory safety rating means that a motor 

carrier has in place and functioning adequate 

safety management controls to meet the safety 

fitness standard prescribed in 49 CFR section 

385.5. Safety management controls are adequate 

if they are appropriate for the size and type of 

operation of the particular motor carrier.

Conditional safety rating means a motor carrier 

does not have adequate safety management controls 

in place to ensure compliance with the safety 

fitness standard that could result in occurrences 

listed in 49 CFR sections 385.5(a) through (k).

Unsatisfactory safety rating means a motor carrier 

does not have adequate safety management controls 

in place to ensure compliance with the safety 

fitness standard which has resulted in occurrences 

listed in 49 CFR sections 385.5(a) through (k).

Safety Fitness Standard 

(385.5 (a) – (k))

The satisfactory safety rating is based on the degree of 

compliance with the safety fitness standard for motor 

carriers. To meet the safety fitness standard, the motor 

carrier shall demonstrate that it has adequate safety 

management controls in place that function effectively 

to ensure acceptable compliance with applicable safety 

requirements to reduce the risk associated with:

a. Commercial driver’s license 

standard violations (Part 383)

b. Inadequate levels of financial 

responsibility (Part 387)

c. The use of unqualified drivers (Part 391)

d. Improper use and driving of 

motor vehicles (Part 392)

e. Unsafe vehicles operating on 

the highways (Part 393)

Part 385: Safety Fitness Procedures
30

Education and Technical Assistance Program

f. Failure to maintain accident registers and 

copies of accident reports (Part 390)

g. The use of fatigued drivers (Part 395)

h. Inadequate inspection, repair, and 

maintenance of vehicles (Part 396)

i. Transportation of hazardous materials, driving 

and parking rule violations (Part 397)

j. Violation of hazardous materials 

regulations (Parts 170 through 177), and

k. Motor vehicle accidents and 

hazardous materials incidents.

Notification of Safety Fitness 

Determination (385.11)

The motor carrier will receive written 

notice of the safety rating from FMCSA 

within 30 days after the review.

A motor carrier transporting placardable quantities of 

hazardous materials, or operating a vehicle designed 

to transport more than 15 passengers including the 

driver that has received an “unsatisfactory” safety 

rating from FMCSA will have 45 calendar days from 

the effective date of that rating, or from the date of 

the notice, whichever is later, to improve the safety 

rating to “conditional” or “satisfactory”. Other motor 

carriers that have received an “unsatisfactory” safety 

rating will have 60 days to improve the safety rating 

to “conditional” or “satisfactory”. If this improvement 

does not occur, the carrier is prohibited from operating 

commercial motor vehicles in interstate commerce.

Also, a motor carrier with an “unsatisfactory” 

safety rating is ineligible to contract or subcontract 

transportation services with Federal agencies.

Change of Safety Rating Based Upon 

Corrective Action (385.17)

A motor carrier that has taken action to correct 

the deficiencies that resulted in a proposed or 

final rating of “conditional’’ or “unsatisfactory’’ 

may request a rating change at any time.

Safety Monitoring System for 

Mexico-Domiciled Carriers

Definitions (385.101) 

Provisional operating authority means the registration 

under 49 CFR section 365.507 that the FMCSA 

grants to a Mexico-domiciled motor carrier to 

provide interstate transportation within the United 

States beyond the municipalities along the United 

States-Mexico border and the commercial zones 

of such municipalities. It is provisional because it 

will be revoked if the registrant is not assigned a 

satisfactory safety rating following a compliance review 

conducted during the safety monitoring period.

Provisional certificate of registration means the 

registration under 49 CFR section 368.6 that the 

FMCSA grants to a Mexico-domiciled motor carrier 

to provide interstate transportation of property within 

the United States solely within the municipalities along 

the United States-Mexico border and the commercial 

zones of such municipalities. It is provisional because 

it will be revoked if the registrant does not demonstrate 

that it is exercising basic safety management 

controls during the safety monitoring period.

Safety Monitoring System (385.103)

➤ Each Mexico-domiciled carrier operating 

in the United States will be subject to an 

oversight program to monitor its compliance 

with applicable Federal Motor Carrier Safety 

Regulations (FMCSRs), Federal Motor 

Vehicle Safety Standards (FMVSSs), and 

Hazardous Materials Regulations (HMRs).

➤ Each Mexico-domiciled carrier granted 

provisional operating authority must have on 

every commercial motor vehicle it operates 

in the United States a current decal attesting 

to a satisfactory inspection by a Commercial 

Vehicle Safety Alliance (CVSA) inspector.

➤ The FMCSA will conduct a safety audit 

on a Mexico-domiciled carrier within 18 

months after the FMCSA issues the carrier 

a provisional Certificate of Registration.

➤ The FMCSA will conduct a compliance 

review on a Mexico-domiciled carrier within 

18 months after the FMCSA issues the 

carrier provisional operating authority.

Each Mexico-domiciled carrier that receives 

provisional operating authority or a provisional 

Certificate of Registration will be subject to intensified 

monitoring through frequent roadside inspections.
31

A Motor Carrier’s Guide to Improving Highway Safety

Expedited Action (385.105)

A Mexico-domiciled motor carrier committing 

any 49 CFR section 385.105 violations identified 

through roadside inspections or by any other means, 

may be subjected to an expedited safety audit or 

compliance review, or may be required to submit a 

written response demonstrating corrective action:

Failure to respond to an agency demand for a written 

response demonstrating corrective action within 30 

days will result in the suspension of the carrier’s 

provisional operating authority or provisional 

Certificate of Registration until the required showing 

of corrective action is submitted to the FMCSA.

A satisfactory response to a written demand 

for corrective action does not excuse a carrier 

from the requirement that it undergo a safety 

audit or compliance review, as appropriate, 

during the provisional registration period.

New Entrant Safety Assurance Program

Beginning February 17, 2009, all new motor 

carriers (private and for-hire) domiciled in the 

United States and Canada and operating in 

interstate commerce must apply for registration 

(U.S. DOT Number) as a “new entrant”.

Non-business private motor carriers of passengers are 

not subject to the new entrant program requirements.

New Entrant Program Requirements 

(385.301)

All new entrant motor carriers must complete an 

application package consisting of a MCS-150. This 

application may be completed online at http://safer.

fmcsa.dot.gov or by contacting our headquarters 

office at (800) 832-5660 and requesting an 

application by mail. For-hire motor carriers must 

complete an OP-1, or OP-1(P), the BOC-3, and pay 

a $300.00 filing fee to obtain operating authority. 

A motor carrier may not transport for-hire loads 

before being granted operating authority. Private 

and exempt for-hire carriers will not be required 

to pay any fee. Once the application package is 

completed, the carrier will be granted temporary 

new entrant registration (U. S. DOT number).

New Entrant Pre-Operational 

Requirements (385.307)

After a new entrant satisfies all applicable preoperational requirements, it will be subject to the 

new entrant safety monitoring procedures for a 

period of 18 months. During this 18-month period:

➤ The new entrant’s roadside safety performance 

will be closely monitored to ensure the 

new entrant has basic safety management 

controls that are operating effectively.

➤ A safety audit will be conducted on the new 

entrant, once it has been in operation for 

enough time to have sufficient records to 

allow the agency to evaluate the adequacy 

of its basic safety management controls.

➤ Failure to demonstrate basic safety management 

controls may result in the carrier having 

their new entrant registration revoked.

Expedited Action (385.308)

A new entrant that commits any of the following 

actions, identified through roadside inspections 

or by any other means, may be subjected to 

an expedited safety audit or a compliance 

review or may be required to submit a written 

response demonstrating corrective action:

➤ Using a driver not possessing a valid 

commercial driver’s license to operate a 

commercial vehicle as defined under § 383.5 

of this chapter. An invalid commercial driver’s 

license includes one that is falsified, revoked, 

expired, or missing a required endorsement.

➤ Operating a vehicle placed out of service 

for violations of the Federal Motor 

Carrier Safety Regulations or compatible 

State laws and regulations without 

taking necessary corrective action.

➤ Being involved in, through action or 

omission, a hazardous materials reportable 

incident, as described under 49 CFR 

171.15 or 171.16, involving—

(i) A highway route controlled quantity of 

certain radioactive materials (Class 7).

(ii) Any quantity of certain explosives 

(Class 1, Division 1.1, 1.2, or 1.3).

(iii) Any quantity of certain poison inhalation 

hazard materials (Zone A or B).

Part 385: Safety Fitness Procedures
32

Education and Technical Assistance Program

➤ Being involved in, through action or omission, two 

or more hazardous materials reportable incidents as 

described under 49 CFR 171.15 or 171.16, involving 

hazardous materials other than those listed above.

➤ Using a driver who tests positive for controlled 

substances or alcohol or who refuses to submit to 

required controlled substances or alcohol tests.

➤ Operating a commercial motor vehicle 

without the levels of financial responsibility 

required under part 387 of this subchapter.

➤ Having a driver or vehicle out-of-service 

rate of 50 percent or more based upon 

at least three inspections occurring 

within a consecutive 90-day period.

Purpose of the Safety Audit (385.309)

The purpose of the safety audit is to provide 

the new entrant motor carrier with educational 

and technical assistance and to gather safety 

data needed to make an assessment of the motor 

carrier’s safety performance and adequacy of 

your basic safety management controls.

Safety Audit (385.311)

An individual certified under the FMCSA regulations 

to perform safety audits will conduct the safety audit.

The safety audit will consist of a review of the 

carrier’s safety management system. The areas of 

review include, but are not limited to, the following:

➤ Driver Qualifications;

➤ Driver Record of Duty Status;

➤ Vehicle Maintenance;

➤ Accident Register;

➤ Controlled Substances and Alcohol Use 

and Testing Requirements; and

➤ Hazardous Materials.

Completion of Safety Audit (385.319)

Upon completion of the safety audit, the auditor 

will review the findings with the new entrant.

Pass. If FMCSA determines the safety audit 

discloses the new entrant has adequate basic safety 

management controls, the Agency will provide the 

new entrant written notice as soon as practicable, but 

not later than 45 days after completion of the safety 

audit, that it has adequate basic safety management 

controls. The new entrant’s safety performance will 

continue to be closely monitored for the remainder 

of the 18-month period of new entrant registration.

Fail. If FMCSA determines the safety audit discloses 

the new entrant’s basic safety management controls 

are inadequate, the Agency will provide the new 

entrant written notice, as soon as practicable, but 

not later than 45 days after the completion of the 

safety audit, that its USDOT new entrant registration 

will be revoked and its operations placed out-ofservice unless it takes the actions specified in the 

notice to remedy its safety management practices.

60-day corrective action requirement. 

All new entrants, except those specified in paragraph 

(c) (2) of this section, must take the specified 

actions to remedy inadequate safety management 

practices within 60 days of the date of the notice.

45-day corrective action requirement. 

The new entrants listed below must take the specified 

actions to remedy inadequate safety management 

practices within 45 days of the date of the notice:

➤ A new entrant that transports passengers 

in a CMV designed or used to transport 

between 9 and 15 passengers (including 

the driver) for direct compensation.

➤ A new entrant that transports passengers in 

a CMV designed or used to transport more 

than 15 passengers (including the driver).

What Failures of Safety Management 

Practices Disclosed by the Safety Audit 

will Result in a Notice to a New Entrant 

that its USDOT New Entrant 

Registration Will Be Revoked? 

(385.321) 

General. The failures of safety management 

practices consist of a lack of basic safety management 

controls will result in a notice to a new entrant that 

its USDOT new entrant registration will be revoked.

Automatic failure of the audit. A new 

entrant will automatically fail a safety audit if found in 

violation of any one of the following 16 regulations:

Education and Technical Assistance Program
33

A Motor Carrier’s Guide to Improving Highway Safety

Part 385: Safety Fitness Procedures

Table to § 385.321

Violations That Will Result in Automatic Failure of the New Entrant Safety Audit 

Violation

Guidelines for Determining Automatic 

Failure of the 

Safety Audit

 1. § 382.115(a)/§ 382.115(b)—Failing to implement an alcohol and/

or controlled substances testing program (domestic and foreign 

motor carriers, respectively).

Single occurrence.

 2. § 382.201— Using a driver known to have an alcohol content of 

0.04 or greater to perform a safety-sensitive function. Single occurrence.

 3. § 382.211—Using a driver who has refused to submit to an alcohol 

or controlled substances test required under part 382. Single occurrence.

 4. § 382.215—Using a driver known to have tested positive for a 

controlled substance. Single occurrence.

 5. § 382.305—Failing to implement a random controlled substances 

and/or alcohol testing program. Single occurrence.

 6. § 383.3(a)/§ 383.23(a)—Knowingly using a driver who does not 

possess a valid CDL. Single occurrence.

 7. § 383.37(a)—Knowingly allowing, requiring, permitting, or 

authorizing an employee with a commercial driver’s license which 

is suspended, revoked, or canceled by a State or who is disqualified 

to operate a commercial motor vehicle.

Single occurrence.

 8. § 383.51(a)—Knowingly allowing, requiring, permitting, or 

authorizing a driver to drive who is disqualified to drive a 

commercial motor vehicle.

Single occurrence.

This violation refers to a driver operating a CMV as defined under § 383.5.

 9. § 387.7(a)—Operating a motor vehicle without having in effect the 

required minimum levels of financial responsibility coverage. Single occurrence.

10. § 387.31(a)—Operating a passenger carrying vehicle 

without having in effect the required minimum levels of 

financial responsibility.

Single occurrence.

11. § 391.15(a)—Knowingly using a disqualified driver. Single occurrence.

12. § 391.11(b)(4)—Knowingly using a physically unqualified driver.

Single occurrence.

This violation refers to a driver operating a CMV as defined under § 390.5

13. § 395.8(a)—Failing to require a driver to make a record of 

duty status.

Requires a violation threshold (51% or 

more of examined records) to trigger 

automatic failure.

14. § 396.9(c)(2)—Requiring or permitting the operation of a 

commercial motor vehicle declared ‘‘out-of-service’’ before repairs 

are made.

Single occurrence.

15. § 396.11(c)—Failing to correct out-of-service defects listed by 

driver in a driver vehicle inspection report before the vehicle is 

operated again.

Single occurrence.

16. § 396.17(a)—Using a commercial motor vehicle not 

periodically inspected.

Requires a violation threshold (51% or 

more of examined records) to trigger 

automatic failure.
34

Education and Technical Assistance Program

After the 18-month New Entrant Safety 

Monitoring Period (383.33)

The carrier will be notified in writing that the new 

entrant registration designation will be removed 

and their registration has become permanent at the 

end of the 18 – month safety – monitoring period, 

if the carrier meets the following requirements:

➤ The new entrant has passed a safety 

audit and has not failed as a result of 

expedited action or automatic failure.

➤ The new entrant is not currently under an 

order placing its operations out of service.

➤ The new entrant does not have any 

outstanding civil penalties.

Hazardous Materials Safety 

Permits Program

Applicability (385.401)

No one may transport the materials listed in 49 

CFR section 385.403 without a safety permit.

Definitions (385.402)

HM safety permit means a document issued by 

FMCSA that contains a permit number and confers 

authority to transport in commerce the hazardous 

materials listed in 49 CFR section 385.403.

Carrier’s HM Safety Permit Program 

(385.403)

On January 1, 2005, the FMCSA began to phase in the 

Federal Hazardous Materials Safety (HMSP) Program 

for intrastate, interstate, and foreign motor carriers 

transporting certain types and amounts of hazardous 

materials. These carriers must maintain a certain 

level of safety in their operations and certify they 

have programs in place as required by the Hazardous 

Materials Regulations and the HMSP regulations.

Motor carriers will be required to apply for an 

HMSP by completing Form MCS-150B. HMSPs 

remain valid for up to two years and must be renewed 

according to the schedule in 49 CFR section 390.19.

The following hazardous materials carried in 

these quantity amounts will require an HMSP:

➤ Radioactive Materials: A highway routecontrolled quantity of Class 7 material, as 

defined in 49 CFR section 173.403.

➤ Explosives: More than 25kg (55 pounds) 

of a Division 1.1, 1.2 or 1.3 material, or an 

amount of a Division 1.5 material requiring a 

placard under 49 CFR Part 172, subpart F.

➤ Material Poisonous by Inhalation:

■ Hazard Zone A: More that one liter 

(1.08 quarts) per package of a “material 

poisonous by inhalation,” as defined in 49 

CFR section 171.8, that meets the criteria 

for “hazard zone A,” as specified in 49 

CFR section 173.116(a) or 173.133(a).

■ Hazard Zone B: A “material poisonous by 

inhalation,” as defined in 171.8 of this title, 

that meets the criteria for “hazard zone B,” 

as specified in 49 CFR section 173.116(a) 

or 173.133(a) in a bulk packaging (capacity 

greater than 450 L [119 gallons]).

■ Hazard Zone C & D: A “material 

poisonous by inhalation,” as defined in 

171.8 of this title, that meets the criteria 

for “hazard zone C,” or “hazard zone D,” 

as specified in 173.116(a) of this title, in a 

packaging having a capacity equal to or 

greater than 13,248 L (3,500 gallons).

➤ Methane: A shipment of compressed or 

refrigerated liquefied methane or liquefied 

natural gas or other liquefied gas with a methane 

content of at least 85% in a bulk packaging 

having a capacity equal to or greater than 

13,248 L (3,500 gallons) for liquids or gases.

Carrier’s Requirement to Obtain 

and Maintain an HMSP

The detailed requirements for obtaining and 

maintaining a permit are found in 49 CFR Part 385.

These requirements include:

➤ Maintain a “satisfactory” safety rating in 

order to obtain and hold a safety permit.

➤ Maintain their crash rating, and their driver, 

vehicle, hazardous materials or out-of service 
35

A Motor Carrier’s Guide to Improving Highway Safety

rating so they are not in the worse 30 percent of 

the national average as indicated in FMCSA’s 

Motor Carrier Management Information System 

(MCMIS). For calendar years 2007 and 2008, 

the HMSP OOS and crash rate thresholds are:

a. HMSP Crash Rate Threshold – 0.125%

b. HMSP Driver OOS Threshold – 9.52%

c. HMSP Vehicle OOS Threshold – 33.3%

d. HMSP Hazardous Materials 

OOS Threshold – 6.06%

➤ Have a satisfactory security program 

(and associated training) according to 

49 CFR section 172.800 in place.

➤ Maintain registration with Pipeline and 

Hazardous Materials Safety Administration.

➤ Develop a system of communication that will 

enable the vehicle operator to contact the motor 

carrier during the course of transportation and 

maintain records of these communications.

➤ Have written route plan required for 

radioactive materials set forth in 49 CFR 

section 397.101 and for explosives in 49 

CFR section 397.19 (currently required).

➤ Perform a pre-trip inspection (North 

American Standard (NAS) Level VI 

Inspection for Radioactive Shipments) 

for shipments containing highway route 

controlled Class 7 (radioactive) materials.

➤ Provide proof of adequate financial 

responsibility in the form of a properly 

executed copy of Form MCS-90 (Endorsement) 

or Form MCS-82 (Surety Bond).

If a carrier meets all the above criteria, but does 

not have a safety rating, FMCSA may issue a 

Temporary Hazardous Materials Safety Permit 

(THMSP). The THMSP is valid for 6 months in 

which time a FMCSA compliance review will be 

conducted and a safety rating issued to the carrier.

The HMSP program continually monitors the 

safety performance of HMSP carriers. Violations 

to the HMSP regulations may lead to suspension or 

revocation of the carrier’s HMSP laid out in 49 CFR 

section 385.421. Denials, suspensions and revocations 

of the HM Safety Permit may be appealed through 

the process laid out in 49 CFR section 385.423.

Applying for an HMSP (385.405)

The forms and instructions for completing the 

forms may be obtained on the internet at 

http://li-public.fmcsa.dot.gov/liview/pkg_registration

or by contacting FMCSA at Federal Motor Carrier 

Safety Administration, MC-RIS, Room W65-206, 

1200 New Jersey Avenue SE, Washington, DC 20590, 

Telephone: 1-800-832-5660.

(A list of frequently cited violations on next page)

Part 385: Safety Fitness Procedures
36

VIOLATION DESCRIPTION SECTION OR CITE BASELINE ASSESSMENT

General Requirements

A. Registration Requirements: Failure to register as an offeror or carrier of 

hazardous material and pay registration fee.

107.608

107.612

$1,000 + $500 each additional 

year.

B. Training Requirements: 172.702 $450 and up each area

$500 and up or $800 and up

C. Security Plans 172.704 $3,000 and up

D. Notification to a Foreign Shipper: Failure to provide information of HMR 

requirements applicable to a shipment of hazardous materials within the United 

States, to a foreign offeror or forwarding agent at the place of entry into the U.S.

171.12(a)

$1,500 to $7,500 (corresponding 

to violations by foreign offeror or 

forwarding agent).

E. Expired Exemption or Special Permit: Offering or transporting a hazardous 

material, or otherwise performing a function covered by an exemption or special 

permit, after expiration of the exemption or special permit

171.2(a), (b), (c), 

Various

$1,000 + $500 each additional 

year.

Offeror Requirements—All hazardous materials

A. Undeclared Shipment:

Offering for transportation a hazardous material without shipping papers, package 

markings, labels, or placards

172.200,

172.300,

172.400

172.500

$15,000 and up

B. Shipping Papers:

172.201

172.201(a)(1)

172.201(e),

172.202

172.202(c)

172.203(a)

172.203(b)

172.203(k)

172.203(c)(2)

172.204

174.24(b),

175.30(a),

176.24(b),

177.817(f)

$500-$6,000

C. Emergency Response Information Requirements: 172.602

172.604 $800-$6,000

D. Package Marking Requirements:

172.301(a)

172.303(a)

172.301(c)

172.304(a)(4)

172.312

172.324(b)

$500-$6,000

E. Package Labeling Requirements:

172.400

172.401(a)

172.402

172.406(a)

172.407(c)

172.407(d)

172.411

$800-$5,000

F. Placarding Requirements: 172.504 $800-$9,000

G. Packaging Requirements:

178.503(a)

178.601

173.22(a)(4)

173.24(b)

171.14

173.25(a)(4)

173.32(a),

180.352,

180.605

173.32(f)(6)

173.471(a).

173.416

Various

$2,000-$12,000

12. Offering any Type B, Type B(U), Type B(M) packaging that failed to 

meet the approved DOT, NRC or DOE design, as applicable $9,000.

a. Failure to have the required radiation survey record $5,000.

List of Frequently Cited Violations
37

A Motor Carrier’s Guide to Improving Highway Safety

Household goods freight forwarder (HHGFF) 

means a freight forwarder of household goods, 

unaccompanied baggage, or used automobiles.

Motor carrier means a for hire motor carrier or 

a private motor carrier. The term includes, but is 

not limited to, a motor carrier’s agent, officer, or 

representative; an employee responsible for hiring, 

supervising, training, assigning, or dispatching 

a driver; or an employee concerned with the 

installation, inspection, and maintenance of 

motor vehicle equipment and/or accessories.

Motor vehicle means any vehicle, machine, tractor, 

trailer, or semitrailer propelled or drawn by 

mechanical power and used to transport property, 

but does not include any vehicle, locomotive, or car 

operated exclusively on a rail or rails. The following 

combinations will be regarded as one motor vehicle:

➤ A tractor that draws a trailer or semitrailer; and

➤ A truck and trailer bearing a single load.

Public liability means liability for bodily injury, 

property damage, and environmental restoration.

PART 387

Minimum Levels of Financial Responsibility 

for Motor Carriers

Applicability (387.3)

49 CFR Part 387 applies to for hire motor 

carriers operating motor vehicles transporting 

property or passengers in interstate or foreign 

commerce as well as motor carriers operating 

motor vehicles transporting hazardous materials, 

hazardous substances, or hazardous wastes in 

interstate, foreign, or intrastate commerce.

Definitions (387.5)

Financial responsibility means having insurance 

policies or surety bonds sufficient to satisfy the 

minimum public liability requirements.

For hire carriage means the business of transporting, 

for compensation, the goods or property of another.

Freight forwarder means a person holding 

itself out to the general public (other than as 

an express, pipeline, rail, sleeping car, motor, 

or water carrier) to provide transportation of 

property for compensation in interstate commerce, 

and in the ordinary course of its business:

➤ Performs or provides for assembling, consolidating, 

break-bulk, and distribution of shipments;

➤ Assumes responsibility for transportation 

from place of receipt to destination; and

➤ Uses for any part of the transportation a 

carrier subject to Commission jurisdiction.

Part 387: Minimum Levels of Financial Responsibility for Motor Carriers
38

Education and Technical Assistance Program

Requirements for Financial 

Responsibility (387.7)

Motor carriers of property operating commercial 

motor vehicles in interstate, foreign, or intrastate 

commerce, and for hire carriers of passengers operating 

in interstate or foreign commerce must have at least 

the minimum amount of insurance required by law.

On the following pages is the Schedule of Limits 

for minimum levels of financial responsibility.

Proof

The motor carrier must have proof of the minimum 

level of insurance at the company’s principal place of 

business. Proof may be shown by any of the following:

➤ Endorsements for Motor Carriers policies of 

insurance for public liability under sections 

29 and 30 of the Motor Carrier Act of 1980 

(Form MCS-90) issued by an insurer.

➤ Endorsements for Motor Carriers of Passengers 

policies of insurance for public liability under 

section 18 of the Bus Regulatory Reform Act of 

1982 (Form MCS-90B) issued by an insurer.

➤ A Motor Carrier Surety Bond for public liability 

under section 30 of the Motor Carrier Act of 

1980 (Form MCS-82) issued by an insurer.

➤ A Motor Carrier of Passengers Surety 

Bond for public liability under section 18 

of the Bus Regulatory Reform Act of 1982 

(Form MCS-82B) issued by an insurer.

➤ A written decision, order or authorization of the 

Federal Motor Carrier Safety Administration 

authorizing the motor carrier to selfinsure under 49 CFR section 387.309.

Forms to Use

Shown on following pages and available 

at Web address: http://www.fmcsa.dot.

gov/documents/forms/part_387.pdf

39 . . . . . . . . . . . . .MCS-82 – 

Motor Carrier Public Liability Surety 

Bond Under Sections 29 and 30 of 

the Motor Carrier Act of 1980.

40 . . . . . . . . . . . . .MCS-82B – 

Motor Carrier Public Liability Surety 

Bond Under Section 18 of the Bus 

Regulatory Reform Act of 1982.

41 . . . . . . . . . . . . .BMC-90 – 

Endorsement For Motor Carrier Policies of 

Insurance For Automobile Bodily Injury and 

Property Damage Liability Under Section 

13906, Title 49 of the United States Code.

42, 43 . . . . . .MCS-90B – 

Endorsement for Motor Carrier Policies 

of Insurance for Public Liability Under 

Section 18 of the Bus Regulatory reform 

Act of 1982.
39

SAMPLE
40

SAMPLE
41

SAMPLE
42

SAMPLE
43

SAMPLE
44

Education and Technical Assistance Program

Financial Responsibility, Minimum Levels (387.9)

SCHEDULE OF LIMITS

PUBLIC LIABILITY

Type of carriage Commodity transported Jan. 1, 1985

(1) For-hire (In interstate 

or foreign commerce, with 

a gross vehicle weight 

rating of 10,000 or more 

pounds).

Property (nonhazardous). $ 750,000

(2) For-hire and Private 

(In interstate, foreign, or 

intrastate commerce, with 

a gross vehicle weight 

rating of 10,000 or more 

pounds).

Hazardous substances, as defined in 

49 CFR section 171.8, transported in 

cargo tanks, portable tanks, or hoppertype vehicles with capacities in excess of 

3,500 water gallons; or in bulk Division 

1.1, 1.2, and 1.3 materials, Division 2.3, 

Hazard Zone A, or Division 6.1, Packing 

Group I, Hazard Zone A material; in bulk 

Division 2.1 or 2.2; or highway route 

controlled quantities of a Class 7 material, 

as defined in 49 CFR section 173.403.

$5,000,000

(3) For-hire and Private 

(In interstate or foreign 

commerce, in any 

quantity; or in intrastate 

commerce, in bulk only; 

with a gross vehicle weight 

rating of 10,000 or more 

pounds).

Oil listed in 49 CFR section 172.101; 

hazardous waste, hazardous materials, 

and hazardous substances defined 

in 49 CFR section 171.8 and listed 

in 49 CFR section 172.101, but not 

mentioned in (2) above or (4) below.

$1,000,000

(4) For-hire and Private 

(In interstate or foreign 

commerce, with a gross 

vehicle weight rating of 

less than 10,000 pounds).

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 a Class 7 material as 

defined in 49 CFR section 173.403.

$5,000,000
45

A Motor Carrier’s Guide to Improving Highway Safety

Part 387: Minimum Levels of Financial Responsibility for Motor Carriers

Financial Responsibility, Minimum Levels (387.33)

NOTE: Except as provided in 49 

CFR section 387.27(b).

As noted in 49 CFR section 387.27(b), the 

above schedule of limits does not apply to:

➤ A motor vehicle transporting only school 

children and teachers to or from school;

➤ A motor vehicle providing taxicab service 

and having a seating capacity of less than 

7 passengers and not operated on a regular 

route or between specified points;

➤ A motor vehicle carrying less than 16 

individuals in a single daily round trip 

to commute to and from work; and

➤ A motor vehicle operated by a motor carrier 

under contract providing transportation 

of preprimary, primary, and secondary 

students for extracurricular trips organized, 

sponsored, and paid by a school district.

SCHEDULE OF LIMITS

PUBLIC LIABILITY

For-hire motor carriers of passengers operating in interstate or foreign commerce

Vehicle Seating Capacity

Effective Dates

Nov. 19, 1983 Nov. 19, 1985

(1) Any vehicle with a seating capacity of 16 

passengers or more. $2,500,000 $5,000,000

(2) Any vehicle with a seating capacity of 15 

passengers or less. 

(see note)

$750,000 $1,500,000
46

Education and Technical Assistance Program

NOTES:
47

A Motor Carrier’s Guide to Improving Highway Safety

PART 390

Federal Motor Carrier Safety Regulations: General

General Applicability (390.3)

The Federal Motor Carrier Safety Regulations 

(FMCSRs) apply to all employers, employees, 

and commercial motor vehicles transporting 

property or passengers in interstate commerce.

Every employer shall be knowledgeable of and comply 

with all regulations contained in the FMCSRs which 

are applicable to that motor carrier’s operations.

Every driver and employee shall be instructed 

regarding, and shall comply with, all applicable 

regulations contained in the FMCSRs.

All motor vehicle equipment and accessories 

required by the FMCSRs shall be maintained 

in compliance with all applicable performance 

and design criteria set forth in the FMCSRs.

General Applicability: Exceptions (390.3) 

Unless specifically stated, the rules in the FMCSRs do 

not apply to:

➤ School bus operations as defined 

in 49 CFR section 390.5;

➤ Transportation provided by Federal, State, 

local governments, or an agency established 

under a compact between States that has been 

approved by the Congress of the United States;

➤ Occasional transportation of personal 

property by individuals not for compensation 

nor for commercial purposes;

➤ Transportation of human corpses 

or sick and injured people;

➤ The operation of fire trucks and 

rescue vehicles while involved in 

emergency and related operations;

➤ Transportation provided by commercial motor 

vehicles transporting between 9 and 15 passengers 

(including the driver), not for direct compensation, 

except for the requirements to file the Motor 

Carrier Identification Report (MCS-150), maintain 

an accident register, and mark the vehicles 

with the motor carrier identification number;

General Applicability: Carriers that 

Transport HMs in Intrastate Commerce 

(390.3)

Motor carriers that transport hazardous materials 

in intrastate commerce must comply with specific 

sections/parts of the FMCSRs as noted below:

➤ Subparts A (General) and E (Hazardous Materials 

Safety Permits) of 49 CFR Part 385 of the 

FMCSRs for carriers subject to the requirements 

Hazardous Materials Safety Permit concerning 

49 CFR section 385.403 of the FMCSRs.

➤ Part 386 of 49 CFR, Rules of practice for motor 

carrier, broker, freight forwarder, and hazardous 

materials proceedings of the FMCSRs.

➤ Part 387 of 49 CFR, Minimum Levels of 

Financial Responsibility for Motor Carriers, to 

the extent provided in 387.3 of the FMCSRs.

➤ Section 390.19 of 49 CFR concerning 

Motor carrier identification report and 49 

CFR section 390.21 concerning Marking of 

CMVs, for carriers subject to the Hazardous 

Materials Safety Permit requirements of 49 

CFR section 385.403 of the FMCSRs.

Part 390: Federal Motor Carrier Safety Regulations: General
48

Education and Technical Assistance Program

Definitions (390.5)

Accident is an occurrence involving a commercial 

motor vehicle operating on a public road that 

results in at least one of the following:

➤ A fatality;

➤ Bodily injury to a person who, as a result of the 

injury, immediately receives medical treatment 

away from the scene of the accident; or

➤ Disabling damage to one or more motor 

vehicles, requiring the vehicle(s) to be 

towed or otherwise transported from the 

scene by a tow truck or other vehicle.

Commercial Motor Vehicle means any selfpropelled or towed motor vehicle used on a 

highway in interstate commerce to transport 

passengers or property when the vehicle:

➤ Has a gross vehicle weight rating or gross 

combination weight rating, or gross vehicle weight 

or gross combination weight, of 10,001 pounds 

(4,536 kg) or more, whichever is greater; or

➤ Is designed or used to transport more 

than 8 passengers (including the 

driver) for compensation; or

➤ Is designed or used to transport more than 15 

passengers, including the driver, and is not used 

to transport passengers for compensation; or

➤ Is used in transporting a quantity of 

hazardous material requiring placarding.

NOTE: The general definition for commercial motor 

vehicle is noted above and in 49 CFR section 390.5.

The above commercial motor vehicle definition refers 

to a vehicle used on highways, in interstate commerce, 

that meets at least one of the four above criteria. The 

regulations in 49 CFR Parts 390 through 396 apply 

to drivers of vehicles meeting the above definition.

Also, a different definition of “commercial motor 

vehicle” is used for 49 CFR Parts 382 and 383.

These parts regulate the commercial driver’s license 

(CDL) (49 CFR Part 382) and alcohol and drug 

testing (49 CFR Part 383). This definition, as noted 

in 49 CFR section 383.5 and below, refers to a 

vehicle used in commerce, whether interstate or 

intrastate that meets one of the following criteria:

➤ Has a gross combination weight rating of 26,001 or 

more pounds inclusive of a towed unit with a gross 

vehicle weight rating of more than 10,000 pounds;

➤ Has a gross vehicle weight rating 

of 26,001 or more pounds;

➤ Is designed to transport 16 or more 

passengers, including the driver; or

➤ Is of any size and is used in the 

transportation of hazardous materials.

Interstate commerce means trade, traffic, or 

transportation in the United States—

➤ Between a place in a State and a place 

outside of such State (including a place 

outside of the United States);

➤ Between two places in a State through another 

State or a place outside of the United States; or

➤ 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.”

Accident Register (390.15) 

(See form on page 50)

For a period of three years after an accident (as defined 

above) occurs, motor carriers are required 

to maintain an accident register containing 

the following information:

➤ Date and place of accident

➤ Driver’s name

➤ Number of injuries and fatalities

Whether hazardous materials (other than fuel 

spilled from the fuel tanks of motor vehicle 

involved in the accident) were released. If the 

accident involves the release of hazardous 

materials cargo, see the hazmat incident reporting 

section of this guide for further requirements.

Motor carriers are also required to maintain 

copies of all accident reports required by State 

or other governmental entities or insurers for a 

period of three years after an accident occurs.
49

A Motor Carrier’s Guide to Improving Highway Safety

All motor carriers, except as provided in 49 

CFR section 390.19(g) with reference to the 

Performance and Registration Information Systems 

Management (PRISM) program, are required 

to file a MCS-150 once every 24 months after 

beginning its operations. The schedule for updating 

the MCS-150 information is listed below:

U.S. DOT Number ending in: Must file by last day of:

1 January

2 February

3 March

4 April

5 May

6 June

7 July

8 August

9 September

0 October

If the next-to-last digit of its U.S. DOT number is odd, 

the motor carrier shall file its update in every oddnumbered calendar year. If the next-to-last digit of the 

U.S. DOT number is even, the motor carrier shall file 

its update in every even-numbered calendar year.

Vehicle Identification (390.21)

Every commercial motor vehicle operated by a motor 

carrier in interstate commerce must be marked, 

on BOTH sides of vehicle, with the following:

➤ The motor carrier’s name or trade name

➤ The motor carrier’s identification 

number, preceded by “US DOT”

➤ The size, shape and color markings must be in 

letters that contrast sharply in color with the 

background on which the letters are placed

➤ The lettering must be readily legible during 

daylight hours, from a distance of 50 feet

Relief from Regulations During 

Emergencies (390.23)

Relief from Parts 390 – 399 of the FMCSRs may 

be granted during declared emergencies to any 

motor carrier who provides emergency assistance.

Filing the MCS-150 Report (390.19)

The Motor Carrier Identification Report (MCS-150) is 

a one-page form that must be filed with the FMCSA 

by all motor carriers operating in interstate commerce.

The MCS-150 report must be processed by the FMCSA 

before the motor carrier begins operations. After 

processing the MCS-150, FMCSA will issue the motor 

carrier a U.S. DOT number (identification number).

Certain carriers of hazardous materials must obtain 

an FMCSA Hazardous Materials Safety Permit.

Carriers qualifying for this permit file the MCS-150B 

“Combined Motor Carrier Identification Report and 

HM Permit Application” in lieu of the MCS-150.

The below websites provide more 

information concerning filing the MCS150 report and to electronically submit 

the MCS-150 form over the internet:

http://www.fmcsa.dot.gov/about/other/faq/faqs.asp

http://www.fmcsa.dot.gov/registrationlicensing/registration-licensing.htm

If you do not have access to the internet, 

you can call FMCSA’s toll-free number 

at 1-800-832-5660 for assistance.

Part 390: Federal Motor Carrier Safety Regulations: General
50

ACCIDENT REGISTER

Index 

Number

 Date Location 

City/State

Driver 

Name

Number 

Injuries

Number 

Fatals

Vehicles 

Towed

HM 

Incident

NOTE: This form is provided as a suggested format for recording accidents. A motor carrier may use any register format 

for documenting recordable accidents, per Part 390.
51

A Motor Carrier’s Guide to Improving Highway Safety

Applicability (391.1)

Persons who drive commercial motor vehicles are 

subject to minimum qualification as specified in 49 

CFR Part 391. The rules in this part also establish 

minimum duties of motor carriers with respect to 

the qualifications of their drivers. As well, a motor 

carrier who employs himself/herself as a driver must 

comply with both the rules in this part that apply to 

motor carriers and the rules in this part that apply 

to drivers (i.e. owner operators with authority).

General Exemptions (391.2)

Farm custom operation

The rules in 49 CFR Part 391 do not apply to a driver 

who drives a commercial motor vehicle controlled and 

operated by a person engaged in custom-harvesting 

operations, as specified in 49 CFR section 391.2(a), 

if the commercial motor vehicle is used to—

➤ Transport farm machinery, supplies, 

or both, to or from a farm for custom 

harvesting operations on a farm; or

➤ Transport custom harvested crops 

to storage or market.

Apiarian industries

The rules in 49 CFR Part 391 do not apply to 

a driver who is operating a commercial motor 

vehicle controlled and operated by a beekeeper 

engaged in the seasonal transportation of bees 

as specified in 49 CFR section 391.2(b).

Certain farm vehicle drivers

As specified in 49 CFR section 391.2(c), the rules in 

49 CFR Part 391 do not apply to a farm vehicle driver 

except a farm vehicle driver who drives an articulated 

(combination) commercial motor vehicle as defined 

in 49 CFR section 390.5. (For limited exemptions 

for farm vehicle drivers of articulated commercial 

motor vehicles reference 49 CFR section 391.67.)

Driver Requirements/Responsibilities 

(391.11 & 391.13)

A driver must meet the following 

requirements and responsibilities:

➤ Be at least 21 years of age;

➤ Speak and read English well enough to converse 

with the general public, understand highway traffic 

signals, respond to official questions, and be able 

to make legible entries on reports and records;

➤ Be able to drive the vehicle safely;

➤ Be in good health and physically able 

to perform all duties of a driver;

➤ Possess a valid medical certificate;

➤ Have only one valid commercial 

motor vehicle operator’s license;

➤ Provide an employing motor carrier with a list of 

all motor vehicle violations or a signed statement 

that driver has not been convicted of any motor 

vehicle violations during the past 12 months. A 

disqualified driver must not be allowed to drive 

a commercial motor vehicle for any reason;

➤ Qualified to drive a CMV;

➤ Pass a driver’s road test or equivalent; and,

➤ Know how to safely load and properly 

block, brace, and secure the cargo.

Driver Qualification File Checklist 

(391.51)

Every motor carrier must have a qualification 

file for each regularly employed driver.

The file must include:

 

DRIVER’S APPLICATION 

FOR EMPLOYMENT (391.21)

A person will not be allowed to drive a commercial 

motor vehicle unless he/she has completed 

and signed an application for employment.

 

DRIVING RECORD FROM 

STATE AGENCY (INQUIRY) — 

3 YEARS (391.23(a)(1) & (b))

The driver’s driving record for the preceding 

three years.

PART 391

Qualification of Drivers

Part 391: Qualification of Drivers
52

Education and Technical Assistance Program

 

DRIVER’S ROAD TEST CERTIFICATE (391.31) 

OR EQUIVALENT (391.33)

A person must not be allowed to drive a 

commercial motor vehicle until he/she has 

successfully completed a road test and has 

been issued a certificate, or a copy of the 

license or certificate which the motor carrier 

accepted as equivalent to the driver’s road 

test pursuant to CFR section 391.33.

 

INQUIRY TO STATE AGENCIES FOR DRIVING 

RECORD (391.25(c)(1))

Request driving record annually for each driver.

 

ANNUAL REVIEW OF DRIVING RECORD 

(391.25(c)(2))

The motor carrier must annually review/certify 

the driving records for all drivers operating 

a commercial vehicle to determine whether 

or not they meet the minimum requirements 

for safe driving and have no disqualifying 

offenses pursuant to 49 CFR section 391.15. A 

note stating the results of this review shall be 

included in the Driver’s Qualification File.

 

ANNUAL DRIVER’S CERTIFICATION OF 

VIOLATIONS (391.27)

At least once every 12 months, a motor 

carrier must require each driver that it 

employs to prepare and furnish a list of all 

violations of motor vehicle traffic laws and 

ordinances during the previous 12 months.

NOTE: Drivers who have provided information 

required by 49 CFR section 383.31 need not repeat 

that information in this annual list of violations.

 

MEDICAL EXAMINER’S 

CERTIFICATE (391.43)

The driver must pass a medical examination 

conducted by a licensed medical examiner 

as defined in 49 CFR section 390.5. A 

driver must be issued a Medical Examiner’s 

Certificate, which must be carried at all 

times and must be renewed every two years 

unless the medical examiner specifies a date 

of less than two years on the certificate.

❍ SKILL PERFORMANCE EVALUATION (SPE) 

CERTIFICATE (391.49)

If applicable, drivers with Impairment or 

amputation of a limb must maintain SPE certificate.

❍ ENTRY - LEVEL DRIVER TRAINING CERTIFICATE 

(380.509(b))

❍ LONGER COMBINATION VEHICLE DRIVER 

TRAINING CERTIFICATE (380.401) OR 

CERTIFICATE OF GRANDFATHERING 

(if applicable) (380.111)

Driver Investigation History File 

Checklist (391.53)

Each motor carrier must maintain files relating 

to the investigation into the safety performance 

history of a new or perspective driver. This data 

must only be used for the hiring decision. This 

file must be maintained in a secure location 

with controlled access and must include:

 

INQUIRY TO 

PREVIOUS EMPLOYERS — 3 YEARS

An investigation of the driver’s:

■ Employment record during the preceding 

three years. (49 CFR section 391.23(d)(1))

■ Accident history during the preceding three 

years. (49 CFR section 391.23(d)(2))

■ Alcohol and Control Substance testing 

records during the preceding three 

years. (49 CFR section 391.23(e))

❍ CONTROLLED SUBSTANCE AND ALCOHOL 

TESTING DRIVER RELEASE FORM IF 

APPLICABLE (391.53(b)(1))

❍ NOTES OF RESPONSES RECEIVED FROM THE 

ABOVE INVESTIGATIONS (391.3(b)(2))
53

A Motor Carrier’s Guide to Improving Highway Safety

Examples of Physical Requirements 

(391.41)

➤ Has no loss of a foot, a leg, a hand, or an arm, or 

has been granted a skill performance evaluation 

certificate pursuant to 49 CFR section 391.49.

➤ Has no impairment of a hand or finger which 

interferes with prehension or power grasping or 

has been granted a skill performance evaluation 

certificate pursuant to 49 CFR section 391.49.

➤ Has no impairment of an arm, foot, or leg which 

interferes with the ability to perform normal 

tasks associated with operating a CMV or has 

been granted a skill performance evaluation 

certificate pursuant to 49 CFR section 391.49.

➤ Has no established medical history or clinical 

diagnosis of diabetes mellitus currently 

requiring insulin for control or has been 

issued a diabetic or vision exemption.

➤ Has no current clinical diagnosis or 

any disqualifying heart disease.

➤ Has no established medical history or clinical 

diagnosis of a respiratory dysfunction.

➤ Has no current clinical diagnosis 

of high blood pressure.

➤ Has no established medical history or 

clinical diagnosis of arthritis.

➤ Has no clinical diagnosis or 

clinical history of epilepsy.

➤ Has no mental, nervous, organic, or 

functional disease or psychiatric disorder.

➤ Has 20/40 vision or better with or 

without corrective lenses.

➤ Has distant binocular acuity of at least 20/40 in 

both eyes with or without corrective lenses.

➤ Has the ability to recognize the colors (red, 

green and amber) of traffic signals.

➤ Has hearing to perceive a forced whisper 

voiced equals to or greater than 5 feet with or 

without hearing aid or average hearing loss 

in the better ear equals or less than 40 dB.

➤ Has no history of drug use or any other 

substance identified in Schedule 1.

➤ Has no clinical diagnosis of alcoholism.

Forms to Use

Shown on following pages and 

available at Web address as shown:

54 ................Driver Qualification File Checklist: 

http://www.fmcsa.dot.gov/

documents/eta/drqualif.pdf

55-56 .........Application for Employment: 

http://www.fmcsa.dot.gov/

documents/eta/application.pdf

57-61 .........Request for Information from 

Previous Employer: 

http://www.fmcsa.dot.gov/

documents/eta/requestforinfo.pdf

62 ................3 Years’ Inquiry to State Agency for 

Driver’s Record: http://www.fmcsa.dot.

gov/documents/eta/inquirystateagency.pdf

62 ................Annual Inquiry to State Agency for Driver’s 

Record: http://www.fmcsa.dot.gov/

documents/eta/inquirystateagency.pdf

63 ................Annual Review of Driving Record:

http://www.fmcsa.dot.gov/

documents/eta/annualreview.pdf

64 ................Driver’s Certification of Violations: 

http://www.fmcsa.dot.gov/

documents/eta/drcertviolat.pdf

65 ................Driver’s Road Test Examination: 

http://www.fmcsa.dot.gov/

documents/eta/drrdtestexam3.pdf

66-74..........Medical Examination Report and Medical 

Examiner’s Certificate:

http://www.fmcsa.dot.gov/documents/

safetyprograms/Medical-Report.pdf

75 ................Multiple-Employer Drivers: 

http://www.fmcsa.dot.gov/documents/

eta/multipleemployerdr.pdf

Part 391: Qualification of Drivers
54

DRIVER QUALIFICATION FILE CHECKLIST 

❏ Driver’s Application For Employment

(49 CFR 391.21)

❏ Inquiry To Previous Employers – 3 Years

(49 CFR 391.23(A) (2) & (C))

❏ Inquiry To State Agencies – 3 Years 

(49 CFR 391.23(A) (1) & (B))

Inquiry To State Agencies – Annual 

(49 CFR 391.25(A) & (C))

❏ Annual Review Of Driving Record 

(49 CFR 391.25)

❏ Annual Driver’s Certification Of Violations 

(49 CFR 391.27)

❏ Driver’s Road Test Certificate or Equivalent*

(49 CFR 391.31)

❏ Medical Examiner’s Certificate* 

(49 CFR 391.43)

❏ Multiple-Employer Drivers

(49 CFR 391.63)

*NOTE: DRIVERS MUST BE ISSUED COPIES OF THESE CERTIFICATES. 

DRIVERS NEED ONLY HAVE A COPY OF THE MEDICAL EXAMINER’S

CERTIFICATE IN THEIR POSSESSION WHILE DRIVING
55

APPLICATION FOR EMPLOYMENT 

COMPANY __________________________________ STREET ADDRESS ____________________________________ 

CITY, STATE AND ZIP CODE _________________________________________________________________________ 

NAME ___________________________________________________________________________________________ 

 (FIRST) (MIDDLE) (Maiden Name, if any) (LAST) 

ADDRESS __________________________________________________________________ HOW LONG? _________ 

(STREET) (CITY) (STATE & ZIP CODE) 

DATE OF BIRTH ________________ SOCIAL SECURITY NO. _______________________ HIRE DATE __________ 

TELEPHONE NUMBER ______________________________ E-MAIL ADDRESS _______________________________ 

PREVIOUS THREE YEARS RESIDENCY 

__________________________________________________________________________________ # YEARS ______ 

(STREET) (CITY) (STATE & ZIP CODE) 

__________________________________________________________________________________ # YEARS ______ 

(STREET) (CITY) (STATE & ZIP CODE)

__________________________________________________________________________________ # YEARS ______ 

(STREET) (CITY) (STATE & ZIP CODE)

(ATTACH SHEET IF MORE SPACE IS NEEDED) 

LICENSE INFORMATION 

Section 383.21 FMCSR states “No person who operates a commercial motor vehicle shall at any time have more than one 

driver’s license”. I certify that I do not have more than one motor vehicle license, the information for which is listed below.

STATE LICENSE NO. TYPE EXPIRATION DATE 

DRIVING EXPERIENCE 

CLASS OF 

EQUIPMENT 

TYPE OF EQUIPMENT 

(VAN, TANK, FLAT, ETC.) 

 

DATES 

FROM TO 

APPROX. NO. OF 

MILES (TOTAL) 

STRAIGHT TRUCK 

TRACTOR AND SEMI-TRAILER 

TRACTOR - TWO TRAILERS 

OTHER 

ACCIDENT RECORD FOR PAST 3 YEARS OR MORE (ATTACH SH ET IF MORE SPACE IS NEEDED) E

DATES NATURE OF ACCIDENT 

(HEAD-ON, REAR-END, UPSET, ETC.) 

NUMBER

FATALITIES 

NUMBER

INJURIES

CHEMICAL

SPILLS

YES NO 

YES NO 

YES NO 

TRAFFIC CONVICTIONS AND FORFEITURES FOR THE PAST 3 YEARS (OTHER THAN PARKING VIOLATIONS) 

DATE CONVICTED 

 (month/year) 

VIOLATION STATE OF VIOLATION 

LOCATION 

PENALTY 

(forfeited bond, collateral and/or points) 

(ATTACH SHEET IF MO E SPACE IS NEEDED) R

A. Have you ever been denied a license, permit or privilege to operate a motor vehicle? YES _____ NO _____ 

If yes, explain ______________________________________________________________________________________ 

B. Has any license, permit or privilege ever been suspended or revoked? YES _____ NO _____ 

If yes, explain ______________________________________________________________________________________ 
56

EMPLOYMENT RECORD

(ATTACH SHEET IF MORE SPACE IS NEEDED) 

Applicants that desire to drive in intrastate/interstate commerce must provide the following information on all employers during the previous 

three years. You must give the same information for all employers you have driven a commercial motor vehicle for the seven years prior to 

the initial three years (total of ten years employment record). 

Must list the complete mailing address: street number and name, city, state and zip code.

LAST EMPLOYER: NAME ___________________________________________________________________________ 

ADDRESS __________________________________________________ PHONE _____________________________ 

POSITION HELD ____________________________ FROM __________ TO ___________SALARY _______________ 

REASONS FOR LEAVING ___________________________________________________________________________ 

ANY GAPS IN EMPLOYMENT AND/OR UNEMPLOYMENT MUST BE EXPLAINED. INCLUDE DATES (MONTH/YEAR) 

AND REASON. ____________________________________________________________________________________ 

Were you subject to the Federal Motor Carrier Safety Regulations (FMCSRs) while employed by the previous employer? Yes No 

Was the previous job position designated as a safety sensitive function in any DOT regulated mode, subject to alcohol and controlled

substances testing requirements as required by 49 CFR Part 40? Yes No

SECOND LAST EMPLOYER: NAME ___________________________________________________________________ 

ADDRESS __________________________________________________ PHONE _____________________________ 

POSITION HELD ____________________________ FROM __________ TO ___________SALARY _______________ 

REASONS FOR LEAVING ___________________________________________________________________________ 

ANY GAPS IN EMPLOYMENT AND/OR UNEMPLOYMENT MUST BE EXPLAINED. INCLUDE DATES (MONTH/YEAR) 

AND REASON. ____________________________________________________________________________________ 

Were you subject to the Federal Motor Carrier Safety Regulations (FMCSRs) while employed by the previous employer? Yes No 

Was the previous job position designated as a safety sensitive function in any DOT regulated mode, subject to alcohol and controlled

substances testing requirements as required by 49 CFR Part 40? Yes No

THIRD LAST EMPLOYER: NAME _____________________________________________________________________ 

ADDRESS __________________________________________________ PHONE ______________________________ 

POSITION HELD ____________________________ FROM __________ TO ___________SALARY _______________ 

REASONS FOR LEAVING ___________________________________________________________________________ 

ANY GAPS IN EMPLOYMENT AND/OR UNEMPLOYMENT MUST BE EXPLAINED. INCLUDE DATES (MONTH/YEAR) 

AND REASON. ____________________________________________________________________________________ 

Were you subject to the Federal Motor Carrier Safety Regulations (FMCSRs) while employed by the previous employer? Yes No 

Was the previous job position designated as a safety sensitive function in any DOT regulated mode, subject to alcohol and controlled

substances testing requirements as required by 49 CFR Part 40? Yes No

TO BE READ AND SIGNED BY APPLICANT 

I authorize you to make sure investigations and inquiries to my personal, employment, financial or medical history and other 

related matters as may be necessary in arriving at an employment decision. (Generally, inquiries regarding medical history will

be made only if and after a conditional offer of employment has been extended.) I hereby release employers, schools, health 

care providers and other persons from all liability in responding to inquiries and releasing information in connection with my 

application. 

In the event of employment, I understand that false or misleading information given in my application or interview(s) may result in 

discharge. I understand, also, that I am required to abide by all rules and regulations of the Company. 

“I understand that information I provide regarding current and/or previous employers may be used, and those employer(s) will be

contacted, for the purpose of investigating my safety performance history as required by 49 CFR 391.23(d) and (e). I understand that I 

have the right to: 

• Review information provided by current/previous employers; 

• Have errors in the information corrected by previous employers and for those previous employers to re-send the corrected information

to the prospective employer; and 

• Have a rebuttal statement attached to the alleged erroneous information, if the previous employer(s) and I cannot agree on the 

accuracy of the information.” 

______________________________________ ___________________________________________________________ 

 DATE APPLICANT'S SIGNATURE 

This certifies that I completed this application, and that all entries on it and information in it are true and complete to the best of my 

knowledge. 

______________________________________ ___________________________________________________________ 

 DATE APPLICANT'S SIGNATURE 

Note: A motor carrier may require an applicant to provide information in addition to the information required by the Federal Motor Carrier 

Safety Regulations. 
57

SAFETY PERFORMANCE HISTORY RECORDS REQUEST 

PART 1: TO BE COMPLETED BY PROSPECTIVE EMPLOYEE 

 

I, (Print Name) ________________________________________________________ ____________________________ 

 First M.I. Last Social Security Number 

Hereby authorize: ____________________ 

 Date of Birth 

Previous Employer: _____________________________________________________ Email: _____________________ 

Street: ____________________________________________________________ Telephone: _____________________ 

City, State, Zip: _______________________________________________________ Fax No.: _____________________ 

To release and forward the information requested by section 3 of this document concerning my Alcohol and Controlled 

Substances Testing records within the previous 3 years from ________________________________. 

 (employment application date) 

To: Prospective Employer: ________________________________________________________________ 

Attention: _________________________________ Telephone: ____________________ 

 Street: ________________________________________________________________

 City, State, Zip: ________________________________________________________________ 

In compliance with §40.25(g) and 391.23(h), release of this information must be made in a written form that ensures 

confidentiality, such as fax, email, or letter. 

Prospective employer’s fax number: ___________________________________ 

Prospective employer’s email address: _________________________________ 

_________________________________________________________________ ____________________________ 

 Applicant’s Signature Date 

This information is being requested in compliance with §40.25(g) and 391.23. 

PART 2: TO BE COMPLETED BY PREVIOUS EMPLOYER 

ACCIDENT HISTORY 

The applicant named above was employed by us. Yes No 

Employed as __________________________ from (m/y) ______________________ to (m/y) ______________________ 

1. Did he/she drive motor vehicle for you? Yes No If yes, what type? Straight Truck Tractor-Semitrailer 

Bus Cargo Tank Doubles/Triples Other (Specify) ________________________________________________ 

2. Reason for leaving your employ: Discharged Resignation Lay Off Military Duty 

If there is no safety performance history to report, check here , sign below and return. 

ACCIDENTS: Complete the following for any accidents included on your accident register (§390.15(b)) that involved the 

applicant in the 3 years prior to the application date shown above, or check here if there is no accident register data for 

this driver. 

 Date Location # Injuries # Fatalities Hazmat Spill

1. __________________ ___________________ __________________ __________________ __________________ 

2. __________________ ___________________ __________________ __________________ __________________ 

3. __________________ ___________________ __________________ __________________ __________________ 

Please provide information concerning any other accidents involving the applicant that were reported to government 

agencies or insurers or retained under internal company policies: _____________________________________________ 

 _________________________________________________________________________________________________ 

__________________________________________________________________________________________________ 

Any other remarks: 

__________________________________________________________________________________________________ 

__________________________________________________________________________________________________ 

__________________________________________________________________________________________________ 

 Signature: ____________________________________________________ 

 Title: ______________________________ Date: ____________________ 
58

PREVIOUS EMPLOYER – COMPLETE PAGE 2 PART 3 

PART 3: TO BE COMPLETED BY PREVIOUS EMPLOYER 

DRUG AND ALCOHOL HISTORY 

If driver was not subject to Department of Transportation testing requirements while employed by this employer, please 

check here , fill in the dates of employment from _______________ to _______________, complete bottom of Part 3, 

sign, and return. 

Driver was subject to Department of Transportation testing requirements from _______________ to _______________. 

 1. Has this person had an alcohol test with the result of 0.04 or higher alcohol concentration? 

 YES NO 

 2. Has this person tested positive or adulterated or substituted a test specimen for controlled substances? 

 YES NO 

 3. Has this person refused to submit to a post-accident, random, reasonable suspicion, or follow-up alcohol or 

 controlled substance test? 

 YES NO 

 4. Has this person committed other violations of Subpart B of Part 382, or Part 40? 

 YES NO 

 5. If this person has violated a DOT drug and alcohol regulation, did this person complete a SAP-prescribed 

 rehabilitation program in your employ, including return-to-duty and follow-up tests? If yes, please send 

 documentation back with this form. 

 YES NO 

 6. For a driver who successfully completed a SAP’s rehabilitation referral and remained in your employ, did this 

 driver subsequently have an alcohol test result of 0.04 or greater, a verified positive drug test, or refuse to be tested?

 YES NO 

In answering these questions, include any required DOT drug or alcohol testing information obtained from prior previous 

employers in the previous 3 years prior to the application date shown on page 1. 

Name: ___________________________________________________________________________________________ 

Company: ________________________________________________________________________________________ 

Street: ___________________________________________________________________________________________ 

City, State, Zip: ____________________________________________________ Telephone: _____________________ 

Part 3 Completed by (Signature): ___________________________________________ Date: _____________________ 

PART 4a: TO BE COMPLETED BY PROSPECTIVE EMPLOYER 

This form was (check one) Faxed to previous employer Mailed Emailed Other __________________ 

By: __________________________________________________________________ Date: ______________________ 

PART 4b: TO BE COMPLETED BY PROSPECTIVE EMPLOYER 

Complete below when information is obtained. 

Information received from: ____________________________________________________________________________ 

Recorded by: _______________________________________ Method: Fax Mail Email Telephone 

Date: _____________________________________________ Other _____________________________________ 

INSTRUCTIONS TO COMPLETE THE SAFETY PERFORMANCE HISTORY RECORDS REQUEST 

PAGE 1 PART 1: Prospective Employee 

• Complete the information required in this section 

• Sign and date 

• Submit to the Prospective Employer 

PAGE 2 PART 4a: Prospective Employer 

• Complete the information

• Send to Previous Employer 

PAGE 1 PART 2: Previous Employer 

• Complete the information required in this section 

• Sign and date 

• Turn form over to complete SIDE 2 SECTION 3 

PAGE 2 PART 3: Previous Employer 

• Complete the information required in this section 

• Sign and date 

• Return to Prospective Employer 

PAGE 2 PART 4b: Prospective Employer 

• Record receipt of the information 

• Retain the form 
59

RECORDS REQUEST FOR 

DRIVER/APPLICANT SAFETY PERFORMANCE HISTORY

This request is made by the driver/applicant in compliance with the Department of Transportation regulations. 

§391.23(i)(2) Drivers who have previous Department of Transportation regulated employment history in the preceding 

three years, and wish to review previous employer-provided investigative information must submit a written 

request to the prospective employer, which may be done at any time, including when applying, or as late as 

thirty (30) days after being employed or being notified of denial of employment. The prospective employer 

must provide this information to the applicant within five (5) business days of receiving the written request. 

If the prospective employer has not yet received the requested information from the previous employer(s), 

then the five-business-days deadline will begin when the prospective employer receives the requested 

safety-performance history information. If the driver has not arranged to pick up or receive the requested 

records within thirty (30) days of the prospective employer making them available, the prospective motor 

carrier may consider the driver to have waived his/her request to review the records. 

PART 1: COMPLETED BY THE DRIVER/APPLICANT 

TO: 

 Prospective Employer: ________________________________________________________________ 

 Street/P.O. Box: _____________________________________________________________________

 City, State, Zip: ____________________________________ Telephone # _____________________ 

FROM:

 Driver/Applicant: _____________________________ Social Security/I.D. # _____________________

 Street: _____________________________________________________________________________ 

 City, State, Zip: ____________________________________ Telephone # _____________________ 

I am submitting this written request to obtain copies of my Department of Transportation Safety Performance History for the 

preceding three years. I understand, for records requested from a prospective employer, that I must arrange to pick up or 

receive the requested records within thirty (30) days of the records being made available or I have waived my request to 

review the records. 

This information should be: sent to me at the above address. 

 I will arrange to pick up. 

Driver/Applicant Signature: ___________________________________________ Date: _______/_______/_______ 

 M D Y 

 

PART 2: COMPLETED BY THE PROSPECTIVE EMPLOYER 

The information must be provided to the applicant within five (5) business days of receiving the written request. If the 

prospective employer has not yet received the requested information form the previous employer(s), then the five-businessdays deadline will begin when the prospective employer receives the requested safety performance history information. 

Information supplied to: 

Name: ___________________________________________________________________________________________ 

Street: ____________________________________________________________________________________________ 

City, State, Zip: ____________________________________________________________________________________ 

Comments: _______________________________________________________________________________________ 

__________________________________________________________________________________________________ 

By:

_______________________________________________ ______________ Release Date: _______/_______/_______ 

 Signature/person providing information Telephone # M D Y 

COPY 1 PROSPECTIVE EMPLOYER 
60

SAFETY PERFORMANCE HISTORY INFORMATION 

DRIVER/APPLICANT REBUTTAL 

This rebuttal is made by the driver/applicant in compliance with the Department of Transportation regulations. 

§391.23(j)(3) Drivers wishing to rebut information in records received pursuant to paragraph (i) of this section must send 

the rebuttal to the previous employer with instructions to include the rebuttal in that driver’s safety 

performance history. 

§391.23(j)(4) After October 29, 2004, within five business days of receiving a rebuttal from a driver, the previous employer 

must:

 (i) Forward a copy of the rebuttal to the prospective motor carrier employer; 

 (ii) Append the rebuttal to the driver’s information in the carrier’s appropriate file, to be included as part of 

the response for any subsequent investigating prospective employers for the duration of the three-year 

data retention requirements. 

PART 1: COMPLETED BY THE DRIVER/APPLICANT 

TO: 

 Previous Employer: ___________________________________________________________________ 

 Street/P.O. Box: _____________________________________________________________________

 City, State, Zip: ______________________________________________________________________ 

 Telephone: ________________________________ Fax: ___________________________________ 

FROM:

 Driver/Applicant: ____________________________________ ________________________________ 

 Social Security # 

 Street: _____________________________________________________________________________ 

 City, State, Zip: ____________________________________ Telephone No.: ___________________ 

I have submitted this rebuttal to my previous employer requesting that it be attached to my Safety Performance History and 

provided to subsequent prospective employers. 

Reason for the rebuttal (attach documents as necessary): ___________________________________________________ 

__________________________________________________________________________________________________ 

__________________________________________________________________________________________________ 

__________________________________________________________________________________________________ 

__________________________________________________________________________________________________ 

__________________________________________________________________________________________________ 

__________________________________________________________________________________________________ 

__________________________________________________________________________________________________ 

__________________________________________________________________________________________________ 

__________________________________________________________________________________________________ 

__________________________________________________________________________________________________ 

__________________________________________________________________________________________________ 

__________________________________________________________________________________________________ 

__________________________________________________________________________________________________

__________________________________________________________________________________________________

__________________________________________________________________________________________________ 

I request that this rebuttal be sent to the attached list of motor carriers. 

Driver/Applicant Signature: _____________________________________________ Date: _______/_______/_______ 

 M D Y 

 

PART 2: COMPLETED BY THE PREVIOUS EMPLOYER 

Received by: 

Signature: ___________________________________________________________ Date: _______/_______/_______ 

 M D Y 

 COPY 1 PREVIOUS EMPLOYER
61

CORRECTION REQUEST 

OF

ERRONEOUS SAFETY PERFORMANCE HISTORY INFORMATION 

This request is made by the driver/applicant in compliance with the Department of Transportation regulations, §391.23, 

investigations and inquiries, paragraphs (j)(1) and (2) as printed below. 

§391.23(j)(1) Driver wishing to request correction of erroneous information in records received pursuant to paragraph (i) of 

this section must send the request for the correction to the previous employer that provided the records to 

the prospective employer. 

§391.23(j)(2) After October 29, 2004, the previous employer must either correct and forward the information to the 

prospective motor carrier employer, or notify the driver within 15 days of receiving a driver’s request to 

correct the data that it does not agree to correct the data. If the previous employer corrects and forwards the 

data as requested, that employer must also retain the corrected information as part of the driver’s safety 

performance history record and provide it to subsequent prospective employers when requests for this 

information are received. If the previous employer corrects the data and forwards it to the prospective motor 

carrier employer, there is no need to notify the driver. 

PART 1: COMPLETED BY THE DRIVER/APPLICANT 

TO: Prospective Employer: ________________________________________________________________ 

 Street/P.O. Box: _____________________________________________________________________

 City, State, Zip: ____________________________________ Telephone # ______________________ 

FROM: Driver/Applicant: _____________________________________________________________________ 

 Social Security/I.D. # ________________________ 

 Street: _____________________________________________________________________________ 

 City, State, Zip: ____________________________________ Telephone # ______________________ 

I request correction of erroneous information in my Safety Performance History. Please forward to the following 

prospective employer: Company Name: ______________________________________ 

 Attention: ____________________________________________ 

 Street: ______________________________________________ 

 City, State, Zip: _______________________________________ 

Explanation of desired correction (attach documents as necessary)____________________________________________ 

_________________________________________________________________________________________________ 

_________________________________________________________________________________________________ 

Driver/Applicant Signature: ______________________________________________ Date: _______/_______/_______ 

 M D Y 

Driver: Retain COPY 4 DRIVER RECORD for your files, Submit copies 1, 2, and 3 to your previous employer. 

PART 2: COMPLETED BY THE PREVIOUS EMPLOYER 

Disposition of the requested information: 

 Information was corrected and forwarded to the prospective motor carrier employer. 

 The driver was notified on _____/_____/_____ that the previous employer does not agree to correct the data. 

 Return copy 3 to the driver. 

Information sent to: Company Name: ____________________________________ 

 Attention: __________________________________________ 

 Street: ____________________________________________ 

 City, State, Zip: _____________________________________ 

Comments: _______________________________________________________________________________________ 

__________________________________________________________________________________________________ 

By: ________________________________________ __________________ Release Date: ______/_______/_______ 

 Signature/person providing information Telephone # M D Y 

PART 3: COMPLETED BY THE PROSPECTIVE MOTOR CARRIER EMPLOYER 

The corrected information was received on _____/_____/_____ 

Prospective Employer: ______________________________ Location: _______________________________________ 

Received by: __________________________________________ __________________________________________ 

 Signature Title 

COPY 1 PROSPECTIVE EMPLOYER 
62

U.S. DEPARTMENT OF TRANSPORTATION 

MOTOR CARRIER SAFETY PROGRAM 

INQUIRY TO STATE AGENCY FOR 

DRIVER’S RECORD 

391.23

 __________________________

(Driver’s Name)

 __________________________

(Driver’s Operator’s Lic. No.)

 __________________________

(Driver’s Social Sec. No.)

Dear __________________,

The above listed individual has made application with us for employment as a driver. Applicant has 

indicated that the above numbered operator’s license or permit has been issued by your State to 

applicant and it is in good standing.

In accordance with Section 391.23(a)(1) and (b) of the Federal Motor Carrier Safety Regulations, we 

are required to make inquiry into the driving record during the preceding 3 years of every State in which 

an applicant-driver has held a motor vehicle operator’s license or permit during those 3 years.

Therefore, please certify to us what the individual’s driving record is for the preceding 3 years, or certify 

that no record exists if that be the case.

In the event that this inquiry does not satisfy your requirements for making such inquiries, please send 

us such forms of yours as are necessary for us to complete our inquiry into the driving record of this 

individual.

Respectfully yours,

 ____________________________________

Signature of individual making inquiry

________________________________________

(printed) Name of person making inquiry

________________________________________

Title of person making inquiry

________________________________________

Motor Carrier Name

________________________________________________________________________________

 Street Address City State Zip
63

U.S. DEPARTMENT OF TRANSPORTATION 

MOTOR CARRIER SAFETY PROGRAM 

ANNUAL REVIEW OF DRIVING RECORD 

391.25

___________________________________________ __________________________

 Name (Last, First, M.I.) (Soc. Sec. No.)

This day I reviewed the driving record of the above named driver in accordance with 391.25 of the Federal 

Motor Carrier Safety Regulations. I considered any evidence that the driver has violated applicable 

provisions of the Federal Motor Carrier Safety Regulations and the Hazardous Materials Regulations. 

I considered the driver’s accident record and any evidence that he/she violated laws governing the 

operation of motor vehicles, and gave great weight to violations, such as speeding, reckless driving 

and operation while under the influence of alcohol or drugs, that indicate that the driver has exhibited a 

disregard for the safety of the public. Having done the above, I find that:

[ ] the driver meets the minimum requirements for safe driving, or

[ ] the driver is disqualified to drive a motor vehicle pursuant to 391.15

________________ _______________________________________________

 Date of Review Motor Carrier’s Name

___________________________________________

 Reviewed by: Signature and title

________________ _______________________________________________

 Date of Review Motor Carrier’s Name

___________________________________________

 Reviewed by: Signature and title

________________ _______________________________________________

 Date of Review Motor Carrier’s Name

___________________________________________

 Reviewed by: Signature and title
64

MOTOR VEHICLE 

DRIVER’S CERTIFICATION 

OF VIOLATORS 

391.27

I certify that the following is a true and complete list of traffic violations (other than parking violations) for 

which I have been convicted or forfeited bond or collateral during the past 12 months.

Date Offense Location Type of Vehicle 

 Operated

_________ __________________ _________________ _______________

_________ __________________ _________________ _______________

_________ __________________ _________________ _______________

_________ __________________ _________________ _______________

_________ __________________ _________________ _______________

_________ __________________ _________________ _______________

_________ __________________ _________________ _______________

_________ __________________ _________________ _______________

_________ __________________ _________________ _______________

_________ __________________ _________________ _______________

_________ __________________ _________________ _______________

_________ __________________ _________________ _______________

_________ __________________ _________________ _______________

_________ __________________ _________________ _______________

If no violations are listed above, I certify that I have not been convicted or forfeited bond or collateral on 

account of any violation required to be listed during the past 12 months.

________________________________________________ _____________________________________________

(Date of Certification) (Driver’s Signature)

________________________________________________ _____________________________________________

(Motor Carrier’s Name) (Motor Carrier’s Address)

________________________________________________ _____________________________________________

(Reviewed by: Signature) (Title)
65

cer tificA te of Driver’s roAD test

Instructions: If the road test is successfully completed, the person who gave it shall complete a certificate of 

the driver’s road test. The original or copy of the certificate shall be retained in the employing motor carrier’s 

driver qualification file of the person examined and a copy given to the person who was examined. 

(49 CFR 391.31(e)(f)(g))

cer tificA tion of roAD test

Driver’s Name________________________________________________________________

Social Security Number ________________________________________________________

Operator’s or Chauffeur’s License Number _________________________________________

State________________________________________________________________________

Type of Power Unit____________________________________________________________

Type of Trailer(s) _____________________________________________________________

If passenger carrier, type of bus __________________________________________________

This is to certify that the above-named driver 

was given a road test under my supervision on

_____________________, 20______, consisting 

of approximately __________ miles of driving.

 It is my considered opinion that this driver 

possesses sufficient driving skill to operate safely 

the type of commercial motor vehicle listed above.

(Signature of Examiner)

(Title)

(Organization and Address of Examiner)
66

Medical Examination Report

FOR COMMERCIAL DRIVER FITNESS DETERMINATION 

649-F (6045)

 1. DRIVER'S INFORMATION Driver completes this section 

Date of Exam 

M Recertification 

M / D / Y 

Driver's Name (Last, First, Middle) Social Security No. Birthdate Age Sex New Certification 

F Follow-up 

Address City, State, Zip Code Work Tel: ( ) Driver License No. License Class State of Issue

 A C B D Home Tel: ( ) Other 

HEALTH HISTORY Driver completes this section, but medical examiner is encouraged to discuss with driver. 2.

Yes No Yes No Yes No 

Lung disease, emphysema, asthma, chronic bronchitis Fainting, dizziness Any illness or injury in the last 5 years? Kidney disease, dialysis Sleep disorders, pauses in breathing Head/Brain injuries, disorders or illnesses Liver disease while asleep, daytime sleepiness, loud

Seizures, epilepsy snoring Digestive problems medication_______________________________ Diabetes or elevated blood sugar controlled by: Stroke or paralysis

Eye disorders or impaired vision (except corrective lenses) diet Missing or impaired hand, arm, foot, leg,Ear disorders, loss of hearing or balance pills finger, toe

Heart disease or heart attack; other cardiovascular condition insulin Spinal injury or disease

medication_______________________________ Nervous or psychiatric disorders, e.g., severe depression

 medication____________________ Chronic low back pain Heart surgery (valve replacement/bypass, angioplasty, 

pacemaker) Regular, frequent alcohol use Loss of, or altered consciousness High blood pressure medication___________________ Narcotic or habit forming drug use

Muscular disease

 Shortness of breath 

For any YES answer, indicate onset date, diagnosis, treating physician's name and address, and any current limitation. List all medications (including over-the-counter medications) used regularly or recently. 

I certify that the above information is complete and true. I understand that inaccurate, false or missing information may invalidate the examination and my Medical Examiner's Certificate.

 Driver's Signature Date 

Medical Examiner's Comments on Health History (The medical examiner must review and discuss with the driver any "yes" answers and potential hazards of medications, including over-the-counter medications, while driving. This discussion must be documented below. ) 
67

TESTING (Medical Examiner completes Section 3 through 7) Name: Last, First, Middle,

3. VISION Standard: At least 20/40 acuity (Snellen) in each eye with or without correction. At least 70 degrees peripheral in horizontal meridian measured in each eye. The use of corrective lenses should be noted on the Medical Examiner's Certificate. INSTRUCTIONS: When other than the Snellen chart is used, give test results in Snellen-comparable values. In recording distance vision, use 20 feet as normal. Report visual acuity as a ratio with 20 as numerator and the smallest type read at 20 feet as denominator. If the applicant wears corrective lenses, these should be worn while visual acuity is being tested. If the driver habitually wears contact lenses, or intends to do so while driving, sufficient evidence of good tolerance and adaptation to their use must be obvious. Monocular drivers are not qualified. 

Numerical readings must be provided. Applicant can recognize and distinguish among traffic control Yes 

HORIZONTAL FIELD OF VISION ACUITY UNCORRECTED UNCORRECTED CORRECTED CORRECTED

Right Eye Right Eye 20/ 20/

Left Eye 20/ 20/ Left Eye

Both Eyes 20/ 20/

signals and devices showing standard red, green, and amber colors ? No 

Applicant meets visual acuity requirement only when wearing:

 Corrective Lenses 

Monocular Vision: Yes No 

Complete next line only if vision testing is done by an opthalmologist or optometrist 

Date of Examination Name of Ophthalmologist or Optometrist (print) Tel. No. License No./ State of Issue Signature

 4. HEARING Standard: a) Must first perceive forced whispered voice > 5 ft., with or without hearing aid, or b) average hearing loss in better ear < 40 dB

 Check if hearing aid used for tests. Check if hearing aid required to meet standard. 

INSTRUCTIONS: To convert audiometric test results from ISO to ANSI, -14 dB from ISO for 500Hz, -10dB for 1,000 Hz, -8.5 dB for 2000 Hz. To average, add the readings for 3 

frequencies tested and divide by 3. 

Numerical readings must be recorded. Right Ear Left Ear 

a) Record distance from individual at which Right ear Left Ear b) If audiometer is used, record hearing loss in 500 Hz 1000 Hz 2000 Hz 500 Hz 1000 Hz 2000 Hz forced whispered voice can first be heard. \ Feet \ Feet decibels. (acc. to ANSI Z24.5-1951) Average: Average: 

5. BLOOD PRESSURE/ PULSE RATE Numerical readings must be recorded. Medical Examiner should take at least two readings to confirm BP. 

Blood Systolic Diastolic 

Pressure Driver qualified if <140/90. 

Pulse Rate: Regular Irregular 

LABORATORY AND OTHER TEST FINDINGS SP. GR. PROTEIN BLOOD SUGAR 

URINE SPECIMEN 

6. 

Urinalysis is required. Protein, blood or sugar in the urine may be an indication for further testing to 

rule out any underlying medical problem. Other Testing (Describe and record) 

Numerical readings must be recorded. 

Reading Category Expiration Date Recertification

140-159/90-99 Stage 1 1 year 1 year if <140/90. 

One-time certificate for 3 months if 141-159/91-99. 

160-179/100-109 Stage 2 One-time certificate for 3 months. 1 year from date of exam if <140/90 

>180/110 Stage 3 6 months from date of exam if <140/90 6 months if < 140/90 Record Pulse Rate:____________
68

 7 PHYSICAL EXAMINATION 7. Name: Last, First, Middle, Height: (in.) Weight: (lbs.) The presence of a certain condition may not necessarily disqualify a driver, particularly if the condition is controlled adequately, is not likely to worsen or is readily amenable to treatment. Even if a condition does not disqualify a driver, the medical examiner may consider deferring the driver temporarily. Also, the driver should be advised to take the necessary steps to correct 

the condition as soon as possible particularly if the condition, if neglected, could result in more serious illness that might affect driving. Check YES if there are any abnormalities. Check NO if the body system is normal. Discuss any YES answers in detail in the space below, and indicate whether it would affect the driver's ability to operate a commercial motor vehicle safely. Enter applicable item number before each comment. If organic disease is present, note that it has been compensated for. See Instructions to the Medical Examiner for guidance. 

BODY SYSTEM 

1. General Appearance 2. Eyes 3. Ears 4. Mouth and Throat 5. Heart 6. Lungs and chest,

 not including breast examination 

CHECK FOR: Marked overweight, tremor, signs of alcoholism, problem 

drinking, or drug abuse. Pupillary equality, reaction to light, accommodation, ocular motility, ocular muscle imbalance, extraocular movement, aphakia, glaucoma, macular degeneration and refer to a specialist if appropriate. Scarring of tympanic membrane, occlusion of external canal, perforated eardrums. Irremediable deformities likely to interfere with breathing or swallowing. Murmurs, extra sounds, enlarged heart, pacemaker, implantable defibrillator. 

Abnormal chest wall expansion, abnormal respiratory rate, 

abnormal breath sounds including wheezes or alveolar rales, physical exam may require further testing such as pulmonary tests and/ or xray of chest.

 BODY SYSTEM 

7. Abdomen and Viscera 8. Vascular System 9. Genito-urinary System 10. Extremities- Limb

 be subject to SPE certificate if otherwise qualified. 

11. Spine, other

 musculoskeletal 

12. Neurological 

CHECK FOR: Enlarged liver, enlarged spleen, masses, bruits, hernia, significant abdominal wall muscle weakness. 

Abnormal pulse and amplitude, cartoid or 

arterial bruits, varicose veins. Hernias. Loss or impairment of leg, foot, toe, arm, hand, finger, Perceptible limp, deformities, atrophy, weakness, paralysis, clubbing, edema, in upper limb to maintain steering wheel grip. Insufficient mobility and strength in lower limb to operate pedals properly. Previous surgery, deformities, limitation of motion, tenderness. Impaired equilibrium, coordination or speech pattern; asymmetric deep tendon reflexes, sensory or positional abnormalities, abnormal patellar and Babinki's reflexes, ataxia. 

YES* NO NO YES*

nystagmus, exophthalmos. Ask about retinopathy, cataracts, impaired respiratory function, cyanosis. Abnormal findings on 

 impaired. Driver may

hypotonia. Insufficicent grasp and prehension 

*COMMENTS:

Note certification status here. See Instructions to the Medical Examiner for guidance. Wearing corrective lenses 

Wearing hearing aid

 Meets standards in 49 CFR 391.41; qualifies for 2 year certificate Accompanied by a waiver/ exemption. Driver must present

 Does not meet standards exemption at time of certification.

 . Skill Performanc e Evaluation (SPE) Certificate

 Driver qualified only for: 3 months 6 months 1 year 

Meets standards, but periodic monitoring required due to 

Other Driving within an exempt intracity zone (See 49 CFR 391.62)

 Qualified by operation of 49 CFR 391.64

Medical Examiner's signature

 Temporarily disqualified due to (condition or medication): Medical Examiner's name 

Address

 Return to medical examiner's office for follow up on Telephone Number 

(Driver must carry certificate when operating a commercial vehicle.) If meets standards, complete a Medical Examiner's Certificate as stated in 49 CFR 391.43(h). 
69

49 CFR 391.41 Physical Qualifications for Drivers 

THE DRIVER'S ROLE Responsibilities, work schedules, physical and emotional demands, and lifestyles among commercial drivers vary by the type of driving that they do. Some of the main types of drivers include the following: turn around or short relay (drivers return to their home base each evening); long relay (drivers drive 9-11 hours and then have at least a 10-hour off-duty period), straight through haul (cross country drivers); and team drivers (drivers share the driving by alternating their 5-hour driving periods and 5-hour rest periods.) The following factors may be involved in a driver's performance of duties: abrupt schedule changes and rotating work schedules, which may result in irregular sleep patterns and a driver beginning a trip in a fatigued condition; long hours; extended time away from family and friends, which may result in lack of social support; tight pickup and delivery schedules, with irregularity in work, rest, and eating patterns, adverse road, weather and traffic conditions, which may cause delays and lead to hurriedly loading or unloading cargo in order to compensate for the lost time; and environmental conditions such as excessive vibration, noise, and extremes in temperature. Transporting passengers or hazardous materials may add to the demands on the commercial driver. There may be duties in addition to the driving task for which a driver is responsible and needs to be fit. Some of these responsibilities are: coupling and uncoupling trailer(s) from the tractor, loading and unloading trailer(s) (sometimes a driver may lift a heavy load or unload as much as 50,000 lbs. of freight after sitting for a long period of time without any stretching period); inspecting the operating condition of tractor and/or trailer(s) before, during and after delivery of cargo; lifting, installing, and removing heavy tire chains; and, lifting heavy tarpaulins to cover open top trailers. The above tasks demand agility, the ability to bend and stoop, the ability to maintain a crouching position to inspect the underside of the vehicle, frequent entering and exiting of the cab, and the ability to climb ladders on the tractor and/or trailer(s). In addition, a driver must have the perceptual skills to monitor a sometimes complex driving situation, the judgment skills to make quick decisions, when necessary, and the manipulative skills to control an oversize steering wheel, shift gears using a manual transmission, and maneuver a vehicle in crowded areas. 

§391.45 PHYSICAL QUALIFICATIONS FOR DRIVERS

(a) A person shall not drive a commercial motor vehicle unless he

is physically qualified to do so and, except as provided in §391.67, has on his person the original, or a photographic copy, of a medical examiner's certificate that he is physically qualified to drive a commercial motor vehicle.

 (b) A person is physically qualified to drive a motor vehicle if that

person:

 (1) Has no loss of a foot, a leg, a hand, or an arm, or has been

granted a Skill Performance Evaluation (SPE) Certificate (formerly Limb Waiver Program) pursuant to §391.49.

 (2) Has no impairment of: (i) A hand or finger which interferes

with prehension or power grasping; or (ii) An arm, foot, or leg which interferes with the ability to perform normal tasks associated with operating a commercial motor vehicle; or any other significant limb defect or limitation which interferes with the ability to perform normal tasks associated with operating a commercial motor vehicle; or has been granted a SPE Certificate pursuant to §391.49.

 (3) Has no established medical history or clinical diagnosis of

diabetes mellitus currently requiring insulin for control;

 (4) Has no current clinical diagnosis of myocardial infarction,

angina pectoris, coronary insufficiency, thrombosis, or any other cardiovascular disease of a variety known to be accompanied by syncope, dyspnea, collapse, or congestive cardiac failure.

 (5) Has no established medical history or clinical diagnosis of a

respiratory dysfunction likely to interfere with his ability to control and drive a commercial motor vehicle safely.

 (6) Has no current clinical diagnosis of high blood pressure

likely to interfere with his ability to operate a commercial motor vehicle safely. 

(7) Has no established medical history or clinical

diagnosis of rheumatic, arthritic, orthopedic, muscular, neuromuscular, or vascular disease which interferes with his ability to control and operate a commercial motor vehicle safely.

 (8) Has no established medical history or clinical

diagnosis of epilepsy or any other condition which is likely to cause loss of consciousness or any loss of ability to control a commercial motor vehicle;

 (9) Has no mental, nervous, organic, or functional

disease or psychiatric disorder likely to interfere with his ability to drive a commercial motor vehicle safely;

 (10) Has distant visual acuity of at least 20/40 (Snellen)

in each eye without corrective lenses or visual acuity separately corrected to 20/40 (Snellen) or better with corrective lenses, distant binocular acuity of at least 20/40 (Snellen) in both eyes with or without corrective lenses, field of vision of at least 70 

degrees in the horizontal meridian in each eye, and the ability to recognize the colors of traffic signals and devices showing standard red, green and amber;

 (11) First perceives a forced whispered voice in the

better ear not less than 5 feet with or without the use of a hearing aid, or, if tested by use of an audiometric device, does not have an average hearing loss in the better ear greater than 40 decibels at 500 Hz, 1,000 Hz and 2,000 Hz with or without a hearing device when the audiometric device is calibrated to the American National Standard (formerly ASA Standard) Z24.5-1951;

 (12) (i) Does not use a controlled 

substance identified in 21 CFR 1308.11 Schedule I, an amphetamine, a narcotic, or any other habit-forming drug. (ii) Exception: A driver may use such a substance or drug, if the substance or drug is prescribed by a licensed medical practitioner who: (A) Is familiar with the driver's medical history and assigned duties; and (B) Has advised the driver that the prescribed substance or drug will not adversely affect the driver's ability to safely operate a commercial motor vehicle; and 

(13) Has no current clinical diagnosis of

alcoholism. 
70

 INSTRUCTIONS TO THE MEDICAL EXAMINER 

General Information The purpose of this examination is to determine a driver's physical qualification to operate a commercial motor vehicle (CMV) in interstate commerce according to the requirements in 49 CFR 391.41-49. Therefore, the medical examiner must be knowledgeable of these requirements and guidelines developed by the FMCSA to assist the medical examiner in making the qualification determination. The medical examiner should be 

familiar with the driver's responsibilities and work environment and is referred to the section on the form, The Driver's Role.

 In addition to reviewing the Health History section with the driver and 

conducting the physical examination, the medical examiner should discuss 

common prescriptions and over-the-counter medications relative to the side effects and hazards of these medications while driving. Educate the driver to read warning labels on all medications. History of certain conditions may be cause for rejection, particularly if required by regulation, or may indicate the need for additional laboratory tests or more stringent examination perhaps by a medical specialist. These decisions are usually made by the medical examiner in light of the driver's job responsibilities, work schedule and potential for the conditions to render the driver unsafe.

 Medical conditions should be recorded even if they are not cause for 

denial, and they should be discussed with the driver to encourage appropriate remedial care. This advice is especially needed when a condition, if neglected, could develop into a serious illness that could affect driving.

 If the medical examiner determines that the driver is fit to drive and is 

also able to perform non-driving responsibilities as may be required, the medical examiner signs the medical certificate which the driver must carry with his/her license. The certificate must be dated. Under current 

regulations, the certificate is valid for two years, unless the driver hasa medical condition that does not prohibit driving but does requiremore frequent monitoring. In such situations, the medical certificate 

should be issued for a shorter length of time. The physical examination should be done carefully and at least as complete as is indicated by the attached form. Contact the FMCSA at (202) 366-1790 for further information (a vision exemption, qualifying drivers under 49 CFR 391.64, etc.). Interpretation of Medical StandardsSince the issuance of the regulations for physical qualifications of commercial drivers, the Federal Motor Carrier Safety Administration (FMCSA) has published recommendations called Advisory Criteria to help medical examiners in determining whether a driver meets the physical qualifications for commercial driving. These recommendations have been condensed to provide information to medical examiners that (1) is directly relevant to the physical examination and (2) is not already included in the medical examination form. The specific regulation is printed in italics and it's reference by section is highlighted. 

Federal Motor Carrier Safety Regulations

 -Advisory CriteriaLoss of Limb: §391.41(b)(1)A person is physically qualified to drive a commercial motor vehicle if that person: Has no loss of a foot, leg, hand or an arm, or has been granted a Skill Performance Evaluation (SPE) Certificate pursuant to Section 391.49. Limb Impairment:§391.41(b)(2)A person is physically qualified to drive a commercial motor vehicle if that person: Has no impairment of: (i) A hand or finger which interferes with prehension or power grasping; or (ii) An arm, foot, or leg which interferes with the ability to perform normal tasks associated with operating a commercial motor vehicle; or (iii) Any other significant limb defect or limitation which interferes with the ability to perform normal tasks associated with operating a commercial motor vehicle; or (iv) Has been granted a Skill Performance Evaluation (SPE) Certificate pursuant to Section 391.49.

 A person who suffers loss of a foot, leg, hand or arm or 

whose limb impairment in any way interferes with the safe performance of normal tasks associated with operating a commercial motor vehicle is subject to the Skill Performance Evaluation Certification Program pursuant to section 391.49, assuming the person is otherwise qualified.

 With the advancement of technology, medical aids and 

equipment modifications have been developed to compensate for certain disabilities. The SPE Certification Program (formerly the Limb Waiver Program) was designed to allow persons with the loss of a foot or limb or with functional impairment to qualify under the Federal Motor Carrier Safety Regulations (FMCSRs) by use of prosthetic devices or equipment modifications which enable them to safely operate a commercial motor vehicle. Since there are no medical aids equivalent to the original body or limb, certain risks are still present, and thus restrictions may be included on individual SPE certificates when a State Director for the FMCSA determines they are necessary to be consistent with safety and public interest.

 If the driver is found otherwise medically qualified 

(391.41(b)(3) through (13)), the medical examiner must check on the medical certificate that the driver is qualified only if accompanied by a SPE certificate. The driver and the employing motor carrier are subject to appropriate penalty if the driver operates a motor vehicle in interstate or foreign commerce without a curent SPE certificate for his/her physical disability. 

Diabetes§391.41(b)(3)A person is physically qualified to drive a commercial motor vehicle if that person: Has no established medical history or clinical diagnosis of diabetes mellitus currently requiring insulin for control.

 Diabetes mellitus is a disease which, on occasion, can 

result in a loss of consciousness or disorientation in time and space. Individuals who require insulin for control have conditions which can get out of control by the use of too much or too little insulin, or food intake not consistent with the insulin dosage. Incapacitation may occur from symptoms of hyperglycemic or hypoglycemic reactions (drowsiness, semiconsciousness, diabetic coma or insulin shock).

 The administration of insulin is, within itself, a 

complicated process requiring insulin, syringe, needle, alcohol sponge and a sterile technique. Factors related to long-haul commercial motor vehicle operations, such as fatigue, lack of sleep, poor diet, emotional conditions, stress, and concomitant illness, compound the dangers, the FMCSA has consistently held that a diabetic who uses insulin for control does not meet the minimum physical requirements of the FMCSRs.

 Hypoglycemic drugs, taken orally, are sometimes 

prescribed for diabetic individuals to help stimulate natural body production of insulin. If the condition can be controlled by the use of oral medication and diet, then an individual may be qualified under the present rule. CMV drivers who do not meet the Federal diabetes standard may call (202) 366-1790 for an application for a diabetes exemption. (See Conference Report on Diabetic Disorders and Commercial Drivers and Insulin-Using Commercial Motor Vehicle Drivers at: http://www.fmcsa.dot.gov/rulesregs/medreports.htm) Cardiovascular Condition §391.41(b)(4) A person is physically qualified to drive a commercialmotor vehicle if that person: Has no current clinical diagnosis of myocardial infarction, angina pectoris, coronary insufficiency, thrombosis or any other cardiovascular disease of a variety known to be accompanied by syncope, dyspnea, collapse or congestive cardiac failure.

 The term "has no current clinical diagnosis of" is 

specifically designed to encompass: "a clinical diagnosis 

of" (1) a current cardiovascular condition, or (2) a cardiovascular condition which has not fully stabilized regardless of the time limit The term "known to be 
71

accompanied by" is designed to include a clinical diagnosis of a cardiovascular disease (1) which is accompanied by symptoms of syncope, dyspnea, collapse or congestive cardiac failure; and/or (2) which is likely to cause syncope, dyspnea, collapse or congestive cardiac failure.

 It is the intent of the FMCSRs to render unqualified, a 

driver who has a current cardiovascular disease which is accompanied by and/or likely to cause symptoms of syncope, dyspnea, collapse, or congestive cardiac failure. However, the subjective decision of whether the nature and severity of an individual's condition will likely cause symptoms of cardiovascular insufficiency is on an individual basis and qualification rests with the medical examiner and the motor carrier. In those cases where there is an occurrence of cardiovascular insufficiency (myocardial infarction, thrombosis, etc.), it is suggested before a driver is certified that he or she have a normal resting and stress electrocardiogram (ECG), no residual complications and no physical limitations, and is taking no medication likely to interfere with safe driving.

 Coronary artery bypass surgery and pacemaker 

implantation are remedial procedures and thus, not unqualifying. Implantable cardioverter defibrillators are disqualifying due to risk of syncope. Coumadin is a medical treatment which can improve the health and safety of the driver and should not, by its use, medically disqualify the commercial driver. The emphasis should be on the underlying medical condition(s) which require treatment and the general health of the driver. The FMCSA should be contacted at (202) 366-1790 for additional recommendations regarding the physical qualification of drivers on coumadin. (See Cardiovasular Advisory Panel Guidelines for the Medical examination of Commercial Motor Vehicle Drivers at: http://www.fmcsa.dot.gov/rulesregs/medreports.htm)

Respiratory Dysfunction§391.41(b)(5)A person is physically qualified to drive a commercial motor vehicle if that person: Has no established medical history or clinical diagnosis of a respiratory dysfunction likely to interfere with ability to control and drive a commercial motor vehicle safely.

 Since a driver must be alert at all times, any change in 

his or her mental state is in direct conflict with highway safety. Even the slightest impairment in respiratory function under emergency conditions (when greater oxygen supply is necessary for performance) may be detrimental to safe driving.

 There are many conditions that interfere with oxygen 

exchange and may result in incapacitation, including emphysema, chronic asthma, carcinoma, tuberculosis, chronic bronchitis and sleep apnea. If the medical examiner detects a respiratory dysfunction, that in any way is likely to interfere with the driver's ability to safely control and drive a commercial motor vehicle, the driver must be referred to a specialist for further evaluation and therapy. Anticoagulation therapy for deep vein thrombosis and/or pulmonary thromboembolism is not unqualifying once optimum dose is achieved, provided lower extremity venous examinations remain normal and the treating physician gives a favorable recommendation. 

Hypertension§391.41(b)(6)A person is physically qualified to drive a commercial motorvehicle if that person:Has no current clinical diagnosis of high blood pressurelikely to interfere with ability to operate a commercial motorvehicle safely.

 Hypertension alone is unlikely to cause sudden collapse;

however, the likelihood increases when target organdamage, particularly cerebral vascular disease, is present. This regulatory criteria is based on FMCSA'sCardiovascular Advisory Guidelines for the Examination ofCMV Drivers, which used the Sixth Report of the JointNational Committee on Detection, Evaluation, andTreatment of High Blood Pressure (1997).

 Stage 1 hypertension corresponds to a systolic BP of

140-159 mmHg and/or a diastolic BP of 90-99 mmHg. Thedriver with a BP in this range is at low risk forhypertension-related acute incapacitation and may bemedically certified to drive for a one-year period. Certification examinations should be done annuallythereafter and should be at or less than 140/90. If less than160/100, certification may be extended one time for 3months.

 A blood pressure of 160-179 systolic and/or 100-109

diastolic is considered Stage 2 hypertension, and the driveris not necessarily unqualified during evaluation andinstitution of treatment. The driver is given a one timecertification of three months to reduce his or her bloodpressure to less than or equal to 140/90. A blood pressurein this range is an absolute indication for anti-hypertensivedrug therapy. Provided treatment is well tolerated and thedriver demonstrates a BP value of 140/90 or less, he or shemay be certified for one year from date of the initial exam.The driver is certified annually thereafter.

 A blood pressure at or greater than 180 (systolic) and

110 (diastolic) is considered Stage 3, high risk for an acuteBP-related event. The driver may not be qualified, eventemporarily, until reduced to 140/90 or less and treatment iswell tolerated. The driver may be certified for 6 months andbiannually (every 6 months) thereafter if at recheck BP is140/90 or less. 

Annual recertification is recommended if the medical

examiner does not know the severity of hypertension priorto treatment.

 An elevated blood pressure finding should be confirmed

by at least two subsequent measurements on differentdays.

 Treatment includes nonpharmacologic and

pharmacologic modalities as well as counseling to reduceother risk factors. Most antihypertensive medications alsohave side effects, the importance of which must be judgedon an individual basis. Individuals must be alerted to thehazards of these medications while driving. Side effects ofsomnolence or syncope are particulary undesirable incommercial drivers.

 Secondary hypertension is based on the above stages. 

(See Conference on Pulmonary/Respiratory Disordersand Commercial Drivers at:http://www.fmcsa.dot.gov/rulesregs/medreports.htm

Evaluation is warranted if patient is persistently hypertensive

on maximal or near-maximal doses of 2-3 pharmacologic agents. Some causes of secondary hypertension may be amenable to surgical intervention or specific pharmacologic disease.(See Cardiovascular Advisory Panel Guidelines for the Medical Examination of Commercial Motor Vehicle Drivers at:http://www.fmcsa.dot.gov/rulesregs/medreports.htm)

Rheumatic, Arthritic, Orthopedic, Muscular,Neuromuscular or Vascular Disease §391.41(b)(7)

A person is physically qualified to drive a commercial motor vehicle if that person:

Has no established medical history or clinical diagnosis of rheumatic, 

arthritic, orthopedic, muscular, neuromuscular or vascular disease which interferes with the ability to control and operate a commercial motor vehicle safely.

 Certain diseases are known to have acute episodes of transient muscle weakness, poor muscular coordination (ataxia), abnormal sensations (paresthesia), decreased muscular tone (hypotonia), visual disturbances and pain which may be suddenly incapacitating. With each recurring episode, these symptoms may become more pronounced and remain for longer periods of time. Other diseases have more insidious onsets and display symptoms of muscle wasting (atrophy), swelling and paresthesia which may not suddenly incapacitate a person but may restrict his/her movements and eventually interfere with the ability to safely operate a motor vehicle. In many instances these diseases are degenerative in nature or may result in deterioration of the involved area. Once the individual has been diagnosed as having a rheumatic, arthritic, orthopedic, muscular, neuromuscular or vascular disease, then he/she has an established history of that disease. The physician, when examining an individual, should consider the following: (1) the nature and severity of the individual's condition (such as sensory loss or loss of strength); (2) the degree of limitation present (such as range of motion); (3) the likelihood of progressive limitation (not always present initially but may manifest itself over time); and (4) the likelihood of sudden incapacitation. If severe functional impairment exists, the driver does not qualify. In cases where more frequent monitoring is required, a certificate for a shorter period of time may be issued. (See Conference on Neurological Disorders and Commercial Drivers at:http://www.fmcsa.dot.gov/rulesregs/medreports.htm)
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Epilepsy§391.41(b)(8)A person is physically qualified to drive a commercial motor vehicle if that person: Has no established medical history or clinical diagnosis of epilepsy or any other condition which is likely to cause loss of consciousness or any loss of ability to control a motor vehicle.

 Epilepsy is a chronic functional disease characterized by 

seizures or episodes that occur without warning, resulting in loss of voluntary control which may lead to loss of consciousness and/or seizures. Therefore, the following drivers cannot be qualified: (1) a driver who has a medical history of epilepsy; (2) a driver who has a current clinical diagnosis of epilepsy; or (3) a driver who is taking antiseizure medication.

 If an individual has had a sudden episode of a nonepileptic 

seizure or loss of consciousness of unknown cause which did not require antiseizure medication, the decision as to whether that person's condition will likely cause loss of consciousness or loss of ability to control a motor vehicle is made on an individual basis by the medical examiner in consultation with the treating physician. Before certification is considered, it is suggested that a 6 month waiting period elapse from the time of the episode. Following the waiting period, it is suggested that the individual have a complete neurological examination. If the results of the examination are negative and antiseizure medication is not required, then the driver may be qualified.

 In those individual cases where a driver has a seizure or an 

episode of loss of consciousness that resulted from a known medical condition (e.g., drug reaction, high temperature, acute infectious disease, dehydration or acute metabolic disturbance), certification should be deferred until the driver has fully recovered from that condition and has no existing residual complications, and not taking antiseizure medication.

 Drivers with a history of epilepsy/seizures off antiseizure 

medication and seizure-free for 10 years may be qualified to drive a CMV in interstate commerce. Interstate drivers with a history of a single unprovoked seizure may be qualified to drive a CMV in interstate commerce if seizure-free and off antiseizure medication 

for a 5-year period or more. (See Conference on Neurological Disorders and Commercial Drivers at: http://www.fmcsa.dot.gov/rulesregs/medreports.htm)

Mental Disorders §391.41(b)(9)A person is physically qualified to drive a commercial motor vehicle if that person: Has no mental, nervous, organic or functional disease or psychiatric disorder likely to interfere with ability to drive a motor vehicle safely.

 Emotional or adjustment problems contribute directly to an 

individual's level of memory, reasoning, attention, and judgment. These problems often underlie physical disorders. A variety of functional disorders can cause drowsiness, dizziness, confusion, weakness or paralysis that may lead to incoordination, inattention, loss of functional control and susceptibility to accidents while driving. Physical fatigue, headache, impaired coordination, recurring physical ailments and chronic "nagging" pain may be present to such a degree that certification for commercial driving is inadvisable. Somatic and psychosomatic complaints should be thoroughly examined when determining an individual's overall fitness to drive. Disorders of a periodically incapacitating nature, even in the early stages of development, may warrant disqualification.

 Many bus and truck drivers have documented that "nervous 

trouble" related to neurotic, personality, or emotional or adjustment problems is responsible for a significant fraction of their preventable accidents. The degree to which an individual is able to appreciate, evaluate and adequately respond to environmental strain and emotional stress is critical when assessing an individual's mental alertness and flexibility to cope with the stresses of commercial motor vehicle driving.

 When examining the driver, it should be kept in mind that 

individuals who live under chronic emotional upsets may have deeply ingrained maladaptive or erratic behavior patterns. Excessively antagonistic, instinctive, impulsive, openly aggressive, paranoid or severely depressed behavior greatly interfere with the driver's ability to drive safely. Those individuals who are highly susceptible to frequent states of emotional instability (schizophrenia, affective psychoses, paranoia, anxiety or depressive neuroses) may warrant disqualification. Careful consideration should be given to the side effects and interactions of medications in the overall qualification determination. See Psychiatric Conference Report for specific recommendations on the use of medications and potential hazards for driving. (See Conference on Psychiatric Disorders and Commercial Drivers at: http://www.fmcsa.dot.gov/rulesregs/medreports.htm)

Vision§391.41(b)(10)A person is physically qualified to drive a commercial motor vehicle if that person: Has distant visual acuity of at least 20/40 (Snellen) in each eye with or without corrective lenses or visual acuity separately corrected to 20/40 (Snellen) or better with corrective lenses, distant binocular acuity of at least 20/40 (Snellen) in both eyes with or without corrective lenses, field of vision of at least 70 degrees in the horizontal meridian in each eye, and the ability to recognize the colors of traffic signals and devices showing standard red, green, and amber.

 The term "ability to recognize the colors of" is interpreted to 

mean if a person can recognize and distinguish among traffic control signals and devices showing standard red, green and amber, he or she meets the minimum standard, even though he or she may have some type of color perception deficiency. If certain color perception tests are administered, (such as Ishihara, Pseudoisochromatic, Yarn) and doubtful findings are discovered, a controlled test using signal red, green and amber may be employed to determine the driver's ability to recognize these colors.

 Contact lenses are permissible if there is sufficient evidence 

to indicate that the driver has good tolerance and is well adapted to their use. Use of a contact lens in one eye for distance visual acuity and another lens in the other eye for near vision is not acceptable, nor telescopic lenses acceptable for the driving of commercial motor vehicles.

 If an individual meets the criteria by the use of glasses or 

contact lenses, the following statement shall appear on the Medical Examiner's Certificate: "Qualified only if wearing corrective lenses."

 CMV drivers who do not meet the Federal vision standard 

may call (202) 366-1790 for an application for a vision exemption.(See Visual Disorders and Commercial Drivers at: http://www.fmcsa.dot.gov/rulesregs/medreports.htm)Hearing§391.41(b)(11)A person is physically qualified to drive a commercial motor vehicle if that person: First perceives a forced whispered voice in the better ear at not less than 5 feet with or without the use of a hearing aid, or, if tested by use of an audiometric device, does not have an average hearing loss in the better ear greater than 40 decibels at 500 Hz, 1,000 Hz, and 2,000 Hz with or without a hearing aid when the audiometric device is calibrated to American National Standard (formerly ADA Standard) Z24.5-1951.

 Since the prescribed standard under the FMCSRs is the 

American Standards Association (ANSI), it may be necessary to convert the audiometric results from the ISO standard to the ANSI standard. Instructions are included on the Medical Examination report form.

 If an individual meets the criteria by using a hearing aid, the 

driver must wear that hearing aid and have it in operation at all times while driving. Also, the driver must be in possession of a spare power source for the hearing aid.

 For the whispered voice test, the individual should be 

stationed at least 5 feet from the examiner with the ear being tested turned toward the examiner. The other ear is covered. Using the breath which remains after a normal expiration, the examiner whispers words or random numbers such as 66, 18, 
73

23, etc. The examiner should not use only sibilants (s sounding materials). The opposite ear should be tested in the same manner. If the individual fails the whispered voice test, the audiometric test should be administered.

 If an individual meets the criteria by the use of a hearing aid, the 

following statement must appear on the Medical Examiner's Certificate "Qualified only when wearing a hearing aid." (See Hearing Disorders and Commercial Motor Vehicle Drivers at: http://www/fmcsa.dot.gov/rulesregs/medrports.htm)Drug Use§391.41(b)(12)A person is physically qualified to drive a commercial motor vehicle if that person:Does not use a controlled substance identified in 21 CFR 1308.II. Schedule I, an amphetamine, a narcotic, or any other habit-forming drug. Exception: A driver may use such a substance or drug, if the substance or drug is prescribed by a licensed medical practitioner who is familiar with the driver's medical history and assigned duties; and has advised the driver that the prescribed substance or drug will not adversely affect the driver's ability to safely operate a commercial motor vehicle. This exception does not apply to methadone. The intent of the medical certification process is to medically evaluate a driver to ensure that the driver has no medical condition which interferes with the safe performance of driving tasks on a public road. If a driver uses a Schedule I drug or other substance, an amphetamine, a narcotic, or any other habit-forming drug, it may be cause for the driver to be found medically unqualified. Motor carriers are encouraged to obtain a practitioner's written statement about the effects on transportation safety of the use of a particular drug.

 A test for controlled substances is not required as part of this biennial 

certification process. The FMCSA or the driver's employer should be contacted directly for information on controlled substances and alcohol testing under Part 382 of the FMCSRs.

 The term "uses" is designed to encompass instances of prohibited drug 

use determined by a physician through established medical means. This may or may not involve body fluid testing. If body fluid testing takes place, positive test results should be confirmed by a second test of greater specificity. The term "habit-forming" is intended to include any drug or medication generally recognized as capable of becoming habitual, and which may impair the user's ability to operate a commercial motor vehicle safely.

 The driver is medically unqualified for the duration of the prohibited 

drug(s) use and until a second examination shows the driver is free from the prohibited drug(s) use. Recertification may involve a substance abuse evaluation, the successful completion of a drug rehabilitation program, and a negative drug test result. Additionally, given that the certification period is normally two years, the examiner has the option to certify for a period of less than 2 years if this examiner determines more frequent monitoring is required.(See Conference on Neurological Disorders and Commercial Drivers and Conference on Psychiatric Disorders and Commercial Drivers at: http://www.fmcsa.dot.gov/rulesregs/medreports.htm)Alcoholism§391.41(b)(13)A person is physically qualified to drive a commercial motor vehicle if that person:Has no current clinical diagnosis of alcoholism.

 The term "current clinical diagnosis of" is specifically designed to 

encompass a current alcoholic illness or those instances where the individual's physical condition has not fully stabilized, regardless of the time element. If an individual shows signs of having an alcohol-use problem, he or she should be referred to a specialist. After counseling 

and/or treatment, he or she may be considered for certification.
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76

Education and Technical Assistance Program

Diabetes and Vision Exemptions 

(Part 381, Subpart C)

An individual may apply for an exemption from the diabetes, 49 CFR section 391.41(b)(3), and vision standard, 

49 CFR 391.41(b)(10). If you do not currently meet the 

diabetes and/or the vision standard and are unable to 

obtain a medical card, you may be an eligible candidate.

See link for exemption packages: 

http://www.fmcsa.dot.gov/rules-regulations/

topics/medical/exemptions.htm

Skill Performance Evaluation (SPE) 

Certificate Program for Drivers with 

Missing or Impaired Arms, Hands, 

Fingers, Legs or Feet (391.49)

Drivers with physical impairments which affect 

their ability to safely operate CMVs according 

to their medical examiners, or with missing 

limbs (e.g., a hand or finger, an arm, foot or 

leg), are required to obtain SPE certificates.

SPE certificate application packets can be downloaded 

from the below site, or obtained by contacting 

FMCSA’s Service Center (below) which is responsible 

for the territory in which the driver is a legal resident.

New Driver Application Package: http://www.

fmcsa.dot.gov/documents/safetyprograms/

spe-certificate-package.pdf

Renewal Package: http://www.fmcsa.

dot.gov/documents/safetyprograms/

spe-certificate-renew-package.pdf

For questions regarding the SPE certificate application 

packets and/or medical requirements, please contact:

Limited Exemptions (391.61-391.69)

391.61 Drivers who were regularly employed 

before January 1, 1971

391.62 Limited exemptions for intracity zone drivers

391.63 Multiple-employer drivers

391.64 Grandfathering for certain drivers 

participating in vision and diabetes 

waiver study programs

391.65 Drivers furnished by other motor carriers

391.67 Farm vehicle drivers of articulated 

commercial motor vehicles

391.68 Private motor carrier of 

passengers (nonbusiness)

391.69 Private motor carrier of 

passengers (business)

Location Address Territory Included

Eastern 

Service 

Center 

802 Cromwell Park Drive, Suite N 

Glen Burnie, MD 21061

Phone: (443) 703-2240 

CT, DC, DE, MA, MD, ME, NJ, NH, NY, 

PA, PR, RI, VA, VT, WV

Midwestern 

Service 

Center 

19900 Governors Drive, Suite 210

Olympia Fields, IL 60461

Phone: (708) 283-3577 • FAX: (708) 283-3579 

IA, IL, IN, KS, MI, MO, MN, 

NE, OH, WI

Southern 

Service 

Center 

1800 Century Boulevard, N.E., Suite 1700

Atlanta, GA 30345-3220

Phone: (404) 327-7371 • FAX: (404) 327-7359 

AL, AR, FL, GA, KY, LA, MS, 

NC, OK, SC, TN, TX

Western 

Service 

Center 

1800 Century Boulevard, N.E., Suite 1700

Atlanta, GA 30345-3220

Phone: (404) 327-7370 • FAX: (404) 327-7359 

(SPE inquiries for Western States are handled by the 

Southern Service Center) 

American Samoa, AK, AZ, CA, CO, 

Guam, HI, ID, Mariana Islands, 

MT, ND, NM, NV, OR, 

SD, UT, WA, WY
77

A Motor Carrier’s Guide to Improving Highway Safety

Part 391: Qualification of Drivers

Disqualifying Offenses (391.15)

A driver is disqualified from operating a 

commercial motor vehicle (CMV) on public 

highways for the following offenses:

➤ Revocation, suspension, or withdrawal 

of an operator’s license.

➤ Conviction or forfeiture of bond for 

the following criminal offenses while 

driving a commercial motor vehicle:

■ Driving a CMV while under 

the influence of alcohol.

■ Driving a CMV while under the 

influence of a disqualifying drug 

or other controlled substance.

■ Transporting or possessing a disqualifying 

drug or controlled substance.

■ Leaving the scene of an accident 

that involves a CMV.

■ Using a CMV to commit a felony.

■ Using a CMV to violate an 

Out-of-Service Order.

Disqualifying Offense Penalties (391.15)

➤ A first offender is disqualified for one year 

following conviction or forfeiture (6 months 

for possession of a controlled substance).

➤ For a second offense within three years, a 

driver is disqualified for three years.

Additional Requirements

For additional requirements see:

Part 380 – Entry-Level Driver Training and Longer 

Combination Vehicle Driver Training 

(page 11)

Part 382 – Controlled Substance and Alcohol 

Use and Testing (page 15)

Part 383 – Commercial Driver’s License 

Standards (page 21)
78

Education and Technical Assistance Program

NOTES:
79

A Motor Carrier’s Guide to Improving Highway Safety

PART 392

Driving of Motor Vehicles

Applicability (392.2)

Every commercial motor vehicle must be operated 

in accordance with the laws, ordinances, and 

regulations of the jurisdiction in which it is 

being operated. However, if a regulation of the 

Federal Motor Carrier Safety Administration 

imposes a higher standard of care than that law, 

ordinance or regulation, the Federal Motor Carrier 

Safety Regulation must be complied with.

Illness or Fatigue (392.3)

No driver is permitted to operate a motor vehicle 

when their ability and/or alertness is impaired by 

fatigue, illness, or any other cause that makes it 

unsafe to begin (or continue) to drive the vehicle.

Drugs (392.4)

No driver may be on duty and possess, 

be under the influence of, or use:

➤ Any 21 CFR section 1308.11 Schedule I substance

➤ Any amphetamine or formulation of an 

amphetamine (including pep pills and bennies)

➤ Narcotics or derivatives

➤ Any other substance that makes driving unsafe

NOTE: Schedule I can be retrieved at 

http://frwebgate.access.gpo.gov/cgi-bin/get-cfr.cgi

Alcohol (392.5)

A driver is forbidden to consume or be under the 

influence of alcohol within four hours of going on duty, 

while on duty, or while driving. A driver is forbidden to 

possess any alcoholic beverage while on duty, or while 

driving, unless it is a manifested part of the shipment.

Safe Loading (392.9)

No one may drive or require anyone to drive a 

commercial motor vehicle unless the cargo is 

properly distributed and adequately secured.

Operating Authority (392.9a)

A motor vehicle may not be operated 

without the required registration or operated 

beyond the scope of its registration.

Information on the application process for 

obtaining operating authority may be obtained 

at http://www.fmcsa.dot.gov/rules-regulations/

administration/fmcsr/fmcsrguidedetails.

asp?rule_toc=735§ion_toc=735

Who must register for operating authority.

➤ U.S. and Canada-domiciled Motor Carriers

■ All for-hire motor carriers that want to 

operate in interstate transportation of 

regulated property, household goods, and 

passengers, and all brokers and freight 

forwarders of property and household goods

➤ Mexico-domiciled Motor Carriers

■ All carriers of private operations (except 

private motor carriers of passengers)

■ All for-hire carriers that want to operate in 

foreign transportation of property (exempt & 

regulated), household goods and passengers

The web sites below provide information concerning 

the operating authority application process:

http://www.fmcsa.dot.gov/about/other/faq/faqs.asp

http://www.fmcsa.dot.gov/registration-licensing/

online-registration/onlineregdescription.htm

If you do not have access to the internet, 

you can call FMCSA’s toll-free number 

at 1-800-832-5660 for assistance.

Part 392: Driving of Motor Vehicles
Railroad Crossing/Stopping (392.10)

Motor vehicles transporting certain types and 

quantities of hazardous materials, as specified in 49 

CFR section 392.10(a)(2) through (a)(6), and most 

vehicles transporting passengers are forbidden to 

cross railroad tracks without first stopping, listening, 

and looking both ways. Additionally, the driver 

must not shift gears while crossing the track.

Seat Belts (392.16)

A driver must not drive a commercial motor 

vehicle before correctly restraining himself 

or herself with seat belt assembly.

Emergency Signals for Stopped Vehicles 

(392.22(a))

If a vehicle is stopped on a highway or shoulder, the 

driver must activate the vehicle’s hazard warning 

flashers immediately. The driver must leave the 

flashers on until warning devices are activated. The 

flashers must again be used while the warning devices 

are being picked up before the vehicle moves on.

Placement of Warning Devices 

(392.22(b))

The warning devices must be placed as follows 

(except where special rules apply – 

see 49 CFR section 392.22(b)(2)):

➤ One warning device must be placed on the 

traffic side of the vehicle, within ten feet, 

in the direction of approaching traffic.

➤ A second device must be placed facing the 

direction of approaching traffic approximately 

100 feet away and in the center of the lane 

or shoulder where the vehicle is stopped.

➤ The third device must be placed about 100 

feet away from the stopped vehicle, in the 

direction away from approaching traffic.

Radar Detectors (392.71)

Radar detectors shall not be used by a driver 

in a commercial motor vehicle or operate a 

commercial motor vehicle that is equipped 

with or contains a radar detector.

Motor carriers shall not require or permit a 

driver to violate the radar detector provisions.

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PART 393

Parts and Accessories Necessary for Safe Operation

Part 393: Parts and Accessories Necessary for Safe Operation

requirements of 49 CFR Part 393 or of FMVSS No.

108 that were in effect on the date of manufacture.

Retroreflective Sheeting and Reflex 

Reflectors (393.13)

Certain trailers manufactured on or after December 

1, 1993, must have retroreflective sheeting or 

additional reflex reflectors to make them more 

visible to other motorists at night and under other 

conditions of reduced visibility. Trailers manufactured 

before December 1, 1993, must be retrofitted with 

retroreflective sheeting or additional reflectors.

Requirements for Lamps Other Than 

Head Lamps (393.25)

Mounting. All lamps must be permanently and securely 

mounted on a permanent part of the vehicle. The 

exceptions are temporary lamps on motor vehicles 

being transported in driveaway-towaway operations 

and temporary electric lamps on projecting loads.

Temporary lamps must be securely attached.

Stop lamps. All stop lamps on a commercial 

motor vehicle must activate when the 

service brakes are applied.

Required Brake Systems (393.40)

Each commercial motor vehicle must 

meet the applicable service, parking, and 

emergency brake system requirements as 

provided in 49 CFR section 393.40.

Brakes Required on All Wheels (393.42)

Every commercial motor vehicle must be 

equipped with brakes acting on all wheels, 

with the following exceptions:

➤ Trucks and truck tractors with three or more 

axles, manufactured before July 25, 1980, 

are not required to have steering axle brakes.

However, these vehicles must meet the 

requirements of 49 CFR section 393.52.

Applicability (393.1)

49 CFR Part 393 establishes the minimum standards 

for commercial motor vehicles as defined in 49 

CFR section 390.5. Only motor vehicles (as defined 

in section 390.5) and combinations of motor 

vehicles which meet the definition of a commercial 

motor vehicle are subject to the requirements of 

this part. All requirements that refer to motor 

vehicles with a GVWR below 10,001 pounds 

(4,536 kg) are applicable only when the motor 

vehicle or combination of motor vehicles meets 

the definition of a commercial motor vehicle.

Every employer and employee shall comply and be 

knowledgeable of the requirements and specifications 

of 49 CFR Part 393. No employer shall operate a 

commercial motor vehicle, or cause or permit it to be 

operated, unless it is equipped in accordance with the 

requirements and specifications of 49 CFR Part 393.

Additional Equipment and Accessories 

(393.3)

Every commercial motor vehicle must be equipped 

with certain standard equipment. Additional equipment 

or accessories are permitted only if these items do 

not decrease the operational safety of the vehicle.

Lamps Operable (393.9)

All required lamps must be capable 

of being operated at all times.

Lighting Devices and Reflectors 

(393.11)

49 CFR section 393.11 specifies the required color, 

position, and types of lamps and reflectors for 

commercial motor vehicles. All lamps and reflectors 

for commercial motor vehicles manufactured after 

December 25, 1968 must meet the requirements 

of Federal Motor Vehicle Safety Standard 

(FMVSS) No. 108 (49 CFR 571.108) in effect on 

the date of manufacture. Lamps and reflectors on 

commercial motor vehicles manufactured on or 

prior to December 25, 1968 must meet either the 
➤ Vehicles being towed in a driveaway-towaway 

operation are not required to have operative 

brakes provided the combination of vehicles 

meet the requirements of 49 CFR section 

393.52. This exception is not applicable to:

■ Any motor vehicle towed by means of a 

tow-bar when another motor vehicle is 

full-mounted on the towed vehicle; or

■ Any combination of motor vehicles 

utilizing three or more saddle-mounts.

➤ Any semitrailer or pole trailer (laden or 

unladen) with a gross weight of 3,000 pounds 

or less, provided the axle weight of the towed 

vehicle does not exceed 40 percent of the sum 

of the axle weights of the towing vehicle.

➤ Any full trailer or four-wheel pole trailer (laden or 

unladen) with a gross weight of 3,000 pounds or 

less, provided the sum of the axle weights of the 

towed vehicle does not exceed 40 percent of the 

sum of the axle weights of the towing vehicle.

➤ A three-axle dolly on the steering axle 

which is steered by a co-driver.

➤ Loaded housemoving dollies, specialized 

trailers and dollies used to transport industrial 

furnaces, reactors, and similar motor vehicles, 

provided the speed at which the combination 

of vehicles will be operated does not exceed 20 

mph and brakes on the combination of vehicles 

are capable of stopping the combination within 

40 feet from the speed at which the vehicle is 

being operated or 20 mph, whichever is less.

Breakaway and Emergency Braking 

(393.43)

Every truck or truck tractor equipped with air brakes, 

when used to tow other vehicles equipped with air 

brakes, must be capable of activating (manually 

and automatically) the emergency features of the 

trailer brakes. The brakes must apply automatically 

when the towing vehicle air supply pressure is 

between 20 and 45 psi. The manual control must be 

operable by the driver from the driver’s seat, with 

seat belt in use. These requirements do not apply 

to vehicles in driveaway-towaway operations.

Every trailer is required to be equipped with brakes that 

apply automatically if the trailer breaks away from the 

towing vehicle. The brakes must remain in the applied 

position for at least 15 minutes. These requirements do 

not apply to vehicles in driveaway-towaway operations.

Brake Tubing and Hose (393.45)

Safe and reliable operation of a vehicle’s brakes 

depends upon adequate protection of the tubing 

and hoses from mechanical and other damage.

All brake tubing and hoses, brake hose 

assemblies, and brake hose end fittings must 

meet the applicable requirements of FMVSS 

No. 106 (49 CFR section 571.106).

➤ Length and flexibility must accommodate 

all normal motions of the parts to 

which the hose is attached.

➤ Protection against mechanical damage 

must include protection against chafing, 

kinking, and mechanical damage.

➤ Protection from high temperature must include 

protection from or location away from exhaust 

pipes and other sources of high temperatures.

Brake Actuators, Slack Adjusters, 

Linings/Pads, and Drums/Rotors 

(393.47)

Brake components must be constructed, installed 

and maintained to prevent excessive fading and 

grabbing. The means of attachment and physical 

characteristics must provide for safe and reliable 

stopping of the commercial motor vehicle.

The effective length of the slack adjuster on 

each end of an axle must be the same.

Brakes to be Operative (393.48)

All brakes with which a commercial motor vehicle 

is equipped must be operable at all times.

Section 393.48(c) of 49 CFR provides an exception to 

the requirement that brakes be operable at all times.

This exception covers disabled vehicles being towed 

and vehicles towed in a driveaway-towaway operation.

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Part 393: Parts and Accessories Necessary for Safe Operation

brake adjustment indicator that meets the 

requirements of FMVSS No. 121.

Antilock Brake Systems (393.55)

Certain commercial motor vehicles are required 

to be equipped with antilock braking systems 

that meet the requirements of FMVSS No. 105 

(49 CFR 571.105) concerning hydraulic brake 

systems, and FMVSS No. 121 (49 CFR 571.121) 

concerning air brake systems. The rules apply to:

➤ Truck tractors manufactured on 

or after March 1, 1997;

➤ Air-braked single-unit trucks, buses, 

and trailers (including converter dollies) 

manufactured on or after March 1, 1998; and

➤ Hydraulic-braked trucks and buses 

manufactured on or after March 1, 1999.

Windshield Condition (393.60)

A vehicle’s windshield must be free of discoloration and 

cracks in the area extending from the top of the steering 

wheel to within two inches of the top of the windshield.

Fuel Systems (393.65)

Fuel systems used for the operation of commercial 

motor vehicles and of auxiliary equipment installed 

on or used in connection with commercial motor 

vehicles must meet the following requirements.

Each fuel system must be located so that:

➤ No part of the system extends beyond 

the widest part of the vehicle.

➤ No part of a fuel tank is forward of 

the front axle or a power unit.

➤ Fuel lines do not extend between a 

towed vehicle and the towing unit while 

the combination is in motion.

➤ No part of the fuel system of a bus manufactured 

on or after January 1, 1973, is located within 

or above the passenger compartment.

Coupling Devices (393.70 and 393.71)

Sections 393.70 and 393.71 of 49 CFR provide 

requirements for the attachment and location 

of the fifth wheel and requirements for the 

towing of full trailers. In addition, requirements 

for saddle mount operations are provided.

The driveaway-towaway exception in 49 CFR section 

393.48(c) is contingent upon the conditions outlined 

in 49 CFR section 393.42(b)(2). Towed vehicles must 

have brakes as may be necessary to ensure compliance 

with the performance requirements of 49 CFR section 

393.52. A motor vehicle towed by means of a tow-bar 

when any other vehicle is full-mounted on the towed 

vehicle, or any combination of motor vehicles utilizing 

3 or more saddle-mounts, would not be covered under 

the exception found at 49 CFR section 393.48(c).

With regard to the disabled-vehicle provision of 49 

CFR section 393.48(c)(1), the combination vehicle 

would have to meet the applicable performance 

requirements of 49 CFR section 393.52.

Brake Warning Devices (393.51)

Buses, trucks, and truck tractors must be equipped 

with a signal that provides a warning to the driver 

when a failure occurs in the vehicle’s service brake 

system. This signal requirement covers hydraulic brake 

systems, air brake systems, vacuum brake systems, and 

hydraulic brakes applied or assisted by air or vacuum.

The brake warning device rules concerning (1) 

air brakes, (2) vacuum brakes, and (3) hydraulic 

brakes applied or assisted by air or vacuum of 

49 CFR 391.51 do not apply to property carrying 

commercial motor vehicles which have less than 

three axles and (1) were manufactured before July 

1, 1973, and (2) have a manufacturer’s gross vehicle 

weight rating less than 10,001 pounds (4,536 kg).

Automatic Brake Adjusters and Brake 

Adjustment Indicators (393.53)

➤ Each commercial motor vehicle manufactured 

on or after October 20, 1993, and equipped with 

a hydraulic brake system, must be equipped 

with an automatic brake adjustment system that 

meets the requirements of FMVSS No. 105.

➤ Each commercial motor vehicle manufactured 

on or after October 20, 1994, and equipped 

with an air brake system, must be equipped 

with an automatic brake adjustment system that 

meets the requirements of FMVSS No. 121.

➤ Air-braked vehicles manufactured on or after 

October 20, 1994, and equipped with an 

external automatic adjustment mechanism, 

must be equipped with an automatic 
84

refleCTive TaPe for TrailerS

On March 31, 1999, the Federal DOT issued a rule which requires trailers over 10,000 lbs. and 80 

inches wide or more to be retrofitted with reflective tape (Ref. 393.13).

Trailers built on or after December 1, 1993, must already have reflective tape when built; that tape 

must be maintained in the same manner as when the trailer was new.

Trailers built before December 1, 1993, must be retrofitted with tape meeting the same color and 

reflection requirements.

White 12" inverted “L” along the top rear (with modifications for flat-beds and tankers).

Alternating red and white on lower rear and along the sides evenly spaced and covering at least half 

the length of the trailer:

• 14 feet on a 28-foot trailer

• 20 feet on a 40-foot trailer

• 24 feet on a 48-foot trailer

• 261⁄2 feet on a 53-foot trailer

Evenly spaced, at least equal to 1⁄2 the trailer length

Bottom edge between 

15–60 inches from ground

For box trailers, the rear reflective tape must be as shown:

• Full-width across the rear-end protection (“ICC bumper”)

• Full-width across the lower rear cargo area

• Two 12" inverted “L” near the top rear corners

Bottom edge between 

15–60 inches from ground

12 inches
85

For flat-bed trailers, the rear tape must be has shown:

• Full-width across the rear-end protection (“ICC bumper”)

• Full-width across the lower rear cargo area

• Two 12" inverted “L” near the top rear header board

For tanker trailers, the rear tape must be has shown:

• Full-width across the rear-end protection

• Four 12" white strips near the top rear

Trailers must be in compliance by June 1, 2001. 

Trailers with tape colors other than red and white must be retrofitted by June 1, 2009.

Bottom edge between 

15–60 inches from ground

12 inches

Bottom edge between 

15–60 inches from ground
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Education and Technical Assistance Program

➤ A cut exposing the ply or belt material

➤ A tread groove pattern depth of less than 4/32 of 

an inch (front tires) or 2/32 of an inch (other tires)

➤ Regrooved tires on front wheels of trucks or 

truck tractors which have a load carrying capacity 

equal to or greater than 4,920 pounds (2,232 kg)

➤ Regrooved, recapped, or retreaded tires on 

the front wheels of buses are prohibited

Tires (393.75)

Tires used on commercial motor vehicles 

must meet specific safety rules. No tire that 

is in use on a commercial motor vehicle 

may have any of the following defects:

➤ Body ply or belt material exposed 

through the tread or sidewall

➤ Tread or sidewall separation

➤ Audible leak (or flat)
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A Motor Carrier’s Guide to Improving Highway Safety

Sleeper Berths (393.76)

Sleeper berths must meet minimum dimensions. A 

sleeper berth must not be installed on a trailer and 

must be located in or adjacent to the cab. An exit door 

at least 18” high by 36” wide must lead directly into 

the cab. Section 393.76 of 49 CFR contains special 

provisions for sleeper berths installed before 1975.

Sleeper berths must be equipped with adequate sheets 

and blankets, and a mattress and springs or innerspring 

mattress. They must be adequately ventilated, and 

located so as to protect occupants against exhaust 

heat and fumes and fuel leaks. A mandatory 

restraint system must withstand at least 6,000 lbs.

of force applied toward the front of the vehicle.

Exhaust Systems (393.83)

Exhaust systems must meet the following requirements:

➤ The exhaust system and discharge must 

be located where it is not likely to burn or 

damage the electrical wiring, the fuel supply, 

nor any combustible part of the vehicle.

➤ The discharge from the exhaust system 

must not be located immediately below the 

fuel tank or the fuel tank filler pipe.

➤ The exhaust system may not be temporarily 

repaired with patch or wrap material.

➤ The exhaust pipe and mufflers must be 

securely fastened to the vehicle.

➤ The exhaust system may not leak or discharge 

at any point forward of or directly below 

the driver or sleeper compartment.

For trucks and truck tractors, the exhaust system 

must discharge at a location to the rear of the 

cab, or above and near the rear of the cab.

For a bus powered by a gasoline engine, the exhaust 

pipe must discharge at a point no farther forward than 

six inches forward of the rearmost part of the bus.

For a bus powered by diesel or other fuel (not 

gasoline), the exhaust pipe must discharge either:

➤ At a point no farther forward than 15 inches 

forward of the rearmost part of the bus, or

➤ To the rear of all doors or windows designed 

to be open (not including emergency exits).

Rear End Protection (393.86)

Every commercial motor vehicle must be equipped 

with either bumpers or other devices that prevent 

the under ride of another vehicle. Tractors, pole 

trailers, and driveaway-towaway vehicles are 

exempt. Certain trailers manufactured on or 

after January 26, 1998 must have rear impact 

guards that meet FMVSS Nos. 223 & 224.

Seat Belts (393.93)

Commercial motor vehicle must be equipped 

with seats, seat belt assemblies, and seat belt 

anchorages as specified in the FMVSS.

Emergency Equipment (393.95)

Commercial motor vehicles must carry 

the following emergency equipment:

➤ Fire extinguisher (not required for 

driveaway-towaway operations)

➤ Spare fuses

➤ Warning devices for stopped vehicles

Fire Extinguisher (393.95)

Fire extinguishers must be securely mounted and 

readily accessible for use. Each extinguisher must 

have a gauge or other indicator that shows whether 

the extinguisher is fully charged, and a label showing 

its Underwriters’ Laboratories (UL) rating.

The fire extinguisher(s) must meet 

one of the following standards:

➤ One extinguisher with a UL 

rating of 5 B:C or more;

➤ Two extinguishers each with a UL 

rating of 4 B:C or more; or

➤ One extinguisher with a UL rating of 10 

B:C or more, if the vehicle is transporting 

placardable quantities of hazardous material.

Part 393: Parts and Accessories Necessary for Safe Operation
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Education and Technical Assistance Program

Cargo Securement (393.100 – 

393.136)

Each commercial motor vehicle must, when 

transporting cargo on public roads, be loaded 

and equipped, with the cargo secured, in 

accordance with Subpart I of 49 CFR section 

393 to prevent the cargo from leaking, spilling, 

blowing, or falling from the motor vehicle.

Cargo is required to be loaded and secured so 

that it will not shift or fall off the vehicle. The 

cargo securement regulations include minimum 

strength requirements for securement devices and 

requirements for protection against longitudinal and 

lateral movement of the cargo. Rules for securing 

specific types of commodities are included.

The requirements for securing specific types 

of commodities cover logs, dressed lumber or 

similar building products, metal coils, paper rolls, 

concrete pipe, intermodal containers, automobiles, 

light trucks, vans, heavy vehicles, equipment and 

machinery, flattened or crushed vehicles, roll-on/

roll-off or hook lift containers, and large boulders.

Frames (393.201)

The frame or chassis of each commercial motor 

vehicle shall not be cracked, loose, sagging or 

broken. Parts and accessories shall not be welded 

to the frame or chassis of a commercial motor 

vehicle except in accordance with the vehicle 

manufacturer’s recommendations. Any welded 

repair of the frame must also be in accordance with 

the vehicle manufacturer’s recommendations.

Cab and Body Components (393.203)

The cab compartment doors or door parts used 

as an entrance or exit shall not be missing or 

broken. Doors shall not sag so that they cannot 

be properly opened or closed. No door shall be 

wired shut or otherwise secured in the closed 

position so that it cannot be readily opened.

Wheels (393.205)

Wheels and rims shall not be cracked or broken. Stud 

or bolt holes on the wheels shall not be elongated (out 

of round). Nuts or bolts shall not be missing or loose.

Suspension Systems (393.207)

Suspension systems are required to be 

structurally sound and in safe working 

order, including the following:

➤ Axles must be in proper alignment, 

and no positioning part can be cracked, 

broken, loose, or missing.

➤ Adjustable axles must have locking pins in place.

➤ Leaf springs must not be cracked, broken, 

missing, or shifted out of position.

➤ Coil springs must not be cracked or broken.

➤ Torsion bars must not be cracked or broken.

➤ Air suspensions must support the vehicle 

in a level position and must not leak.

➤ Air suspension exhaust controls must not have 

the capability to exhaust air from the suspension 

system of one axle of a two-axle air suspension 

trailer unless the controls are either located 

on the trailer, or the power unit and trailer 

combination are not capable of traveling at a 

speed greater than 10 miles per hour while the 

air is exhausted from the suspension system. This 

paragraph shall not be construed to prohibit.

■ Devices that could exhaust air from 

both axle systems simultaneously; or

■ Lift axles on multi-axle units.

Steering Wheel Systems (393.209)

Steering system must be in proper working 

order, which includes the following:

➤ Steering wheel must be properly secured 

and no cracked or missing spokes.

➤ Steering wheel lash must meet the 

requirements of 49 CFR section 393.209.

➤ Steering column must be securely fastened.

➤ Steering system must not have worn or welded 

universal joints and ball and socket joints; loose 

or missing mounting bolts or cracks in the 

steering gear box or mounting brackets; or a loose 

pitman arm on the steering gear output shaft.

➤ Power steering unit must not have loose or 

broken parts; frayed, cracked, or slipping 

belts; leaks; or insufficient fluid in reservoir.
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A Motor Carrier’s Guide to Improving Highway Safety

PART 395

Hours of Service of Drivers

Part 395: Hours of Service of Drivers

Operators of Property-Carrying 

Commercial Motor Vehicles Not 

Requiring a Commercial Driver’s License 

(CDL). (395.1(E)(2))

A driver is exempt from maintaining the 

driver’s daily log requirements of section 

395.8 if all the following are true:

➤ The driver operates a property-carrying 

commercial motor vehicle (CMV) which 

does not require a CDL for operation.

➤ The driver operates within a 150 air-mile radius 

of the normal work reporting location.

➤ The driver returns to the normal work reporting 

location at the end of each duty tour.

➤ The driver has at least 10 consecutive hours 

off duty separating each on-duty period.

➤ The driver does not exceed a maximum 

of 11 hours driving time following 

10 consecutive hours off duty.

➤ The driver does not exceed a maximum of 

14 hours after coming on duty 5 days a week 

of any period of 7 consecutive days or after 

the 16th hour after coming on duty 2 days a 

week of any period of 7 consecutive days.

➤ The driver does not drive after having been on 

duty for 60 hours in 7 days or 70 hours in 8 days.

➤ The 7 or 8 day period may end with 

the beginning of any off-duty period 

of 34 or more consecutive hours.

➤ The motor carrier that employs the driver 

maintains and retains for a period of six months 

accurate and true time records that show:

■ The total number of hours the 

driver is on duty each day

■ The time the driver reports for duty each day

■ The time the driver is released 

from duty each day

■ The total time for the preceding seven 

days for first-time or intermittent drivers

Applicability (395.1)

The hours of service rules apply to all motor carriers 

and drivers, with exceptions found in paragraphs 

(b) through (o) of 49 CFR section 395.1.

Short-haul provision (395.1(e))

100 Air-Mile Radius Exemption 

(395.1(e)(1))

A driver is exempt from maintaining the 

driver’s daily log requirements of 49 CFR 

section 395.8 if all of the following is true:

➤ The driver operates within a 100 air-mile 

radius of the normal work reporting location.

➤ The driver returns to the work reporting 

location and is released from work 

within 12 consecutive hours.

➤ Each 12 hours on duty are separated by at least 

10 consecutive hours of off duty for propertycarrying drivers or 8 consecutive hours off 

duty for passenger-carrying drivers.

➤ The driver does not exceed a maximum of 11 

hours driving time following 10 consecutive 

hours off duty for property-carrying drivers, or 

10 hours driving time following 8 consecutive 

hours off duty for passenger-carrying drivers.

➤ The motor carrier that employs the driver 

maintains and retains for a period of six months 

accurate and true time records that show:

■ The total number of hours the 

driver is on duty each day

■ The time the driver reports for duty each day

■ The time the driver is released 

from duty each day

■ The total time for the preceding seven 

days for first-time or intermittent drivers
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Education and Technical Assistance Program

Drivers who use the above-described short-haul 

provision are not eligible to use the 100 air-mile 

provision in 49 CFR section 395.1(e), sleeper berth 

provision in 49 CFR section 395.1(g), or the current 

16-hour exception in 49 CFR section 395.1(o).

Sleeper Berth Provision (395.1(G))

CMV drivers using the sleeper berth provision 

must take at least 8 consecutive hours in the sleeper 

berth, plus 2 consecutive hours either in the sleeper 

berth, off duty, or any combination of the two.

Property-Carrying Operation (395.3)

11-hour rule

Drivers are allowed to drive for 11 hours 

following 10 consecutive hours off duty.

14-hour rule

A motor carrier cannot permit or require a driver 

to drive after the 14th hour after coming on duty 

following 10 consecutive hours off duty.

16-hour exception

An exception, commonly called the short-haul 

exception, is available to drivers who normally return 

to their work reporting location. A property-carrying 

CMV driver may extend the 14-hour on-duty period 

by 2 additional hours once every 7 days if he or she:

➤ Has been released from duty at their normal work 

reporting location for the previous 5 duty tours;

➤ Is released from duty at his or her normal work 

reporting location within 16 hours after coming on 

duty following 10 consecutive hours off duty; and

➤ Has not taken this exemption within the previous 

6 days, except following a 34-hour restart 

of a 7/8-day period.

60 and 70-hour rules

A motor carrier must not permit or require 

a driver to drive after a total of:

➤ 60 hours on duty in 7 consecutive days, or

➤ 70 hours on duty in 8 consecutive days, and

➤ An off duty period of 34 or more consecutive 

hours may restart a driver’s 7 or 8 consecutive 

day period as long as the driver has not 

exceeded 60 or 70 hours on duty.

NOTE: If a driver of a property-carrying vehicle 

works more than one job of any kind, that time 

must also be included as On-Duty Time.

Passenger-Carrying Operations (395.5)

10-hour rule

Drivers are allowed to drive for 10 hours 

following 8 consecutive hours off duty.

15-hour rule

A motor carrier cannot permit or require a 

driver to drive after 15 hours are spent on duty 

following 8 consecutive hours off duty.

60 and 70-hour rules

A motor carrier must not permit or require 

a driver to drive after a total of:

➤ 60 hours on duty in 7 consecutive days (carrier 

does not operate CMVs every day of the week).

➤ 70 hours on duty in 8 consecutive days (carrier 

operates CMVs every day of the week).

NOTE: If a driver of a passenger-carrying vehicle 

works more than one job of any kind, that time 

must also be included as On-Duty Time.

Driver’s Record of Duty Status (395.8)

Every driver shall prepare a record of duty status 

(driver’s daily log) in his or her own handwriting 

for each 24-hour period, unless operating under 

the 100 air-mile radius exemption or drivers of 

property-carrying CMVs who do not require a CDL 

for operation and who operate within a 150-air-mile 

radius of their normal work reporting location.

Failure to complete or retain the log, or knowingly 

falsifying logs or other reports, makes the 

driver and/or carrier liable to prosecution.

Every driver must keep his/her activities current 

by showing each change in duty status. The time 

zone used on a driver’s daily log should be the 

time standard of that driver’s home terminal.
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A Motor Carrier’s Guide to Improving Highway Safety

Part 395: Hours of Service of Drivers

Submitting/Retaining Duty Status Log 

(395.8(I)–(K))

The driver must submit the original log sheet to the 

employing carrier within 13 days after completion.

When a motor carrier uses a driver initially or 

intermittently, that carrier must obtain from its 

driver a signed statement giving the total time on 

duty during the immediately preceding 7 days and 

the time at which he or she was last relieved of duty.

Records of duty status must be maintained, with all 

supporting documents, for a minimum of six months.

Driver Off Duty Authorization (395.8)

A driver may log meal breaks as Off Duty 

instead of On Duty not driving with a 

permission letter from the motor carrier if:

➤ The vehicle is parked in a safe and secure 

place that is not obstructing traffic;

➤ The meal break is at least 30 minutes 

but no more than an hour; and

➤ While off duty, the driver is relieved of 

vehicle and cargo responsibility; and

➤ If the driver is free to leave the premises on 

which the vehicle is parked to pursue other 

activities as long as the ability to safely 

operate the vehicle is not impaired as required 

by Part 392, “Driving of Vehicles, of the 

Federal Motor Carrier Safety Regulations.

Drivers Declared Out Of Service 

(395.13)

No driver shall drive after being on duty in 

excess of the maximum periods permitted.

No motor carrier shall require or permit a driver 

who has been declared out of service to operate 

a CMV until the driver may lawfully do so.

Automatic On-Board Recording Devices 

(395.15)

Alternatively, motor carriers may require a driver 

to use an automatic on-board recording device 

to record duty status. The driver must still have 

in his/her possession records of duty status in 

automated or written form, for the previous seven 

consecutive days. All hard copies of the driver’s 

record of duty status must be signed by the driver.
92

HOURS OF SERVICE RECORD 

FOR FIRST TIME OR INTERMITTENT DRIVERS

Instructions: When using a driver for the first time or intermittently, a signed 

statement must be obtained, giving the total time on duty (driving and on 

duty) during the immediate preceding seven days and the time at which 

the driver was last relieved from duty prior to beginning work.

Name (Print) __________________________________________________________________

 First Middle Last

DAY TOTAL TIME ON DUTY

1 _________________

2 _________________

3 _________________

4 _________________

5 _________________

6 _________________

7 _________________

_________________________________________________________

TOTAL _________________________

I hereby certify that the information contained herein is true to the best of my 

knowledge and belief, and that my last period of release from duty was from

______________________________________to______________________________________

(Hour/Date) (Hour/Date)

Signature ____________________________________DATE___________________________
93

LETTER OF OFF-DUTY AUTHORIZATION

This letter authorizes our driver _________________________

to be Off-Duty during meal and other routine stops.

The purpose of the Federal Department of Transportation Hours of Service 

Regulations (Part 395) is to keep tired drivers from operating vehicles. Under 

certain circumstances, however, it appears that enroute stops for meals 

or other routine purposes may serve to lessen a driver’s fatigue.

Therefore, this letter is authorization for you to record your meal or other routine stops 

on your logs as Off-Duty, rather than On-Duty Not Driving as would normally be the 

case. However, this may be done only under all of the following circumstances.

1. Your vehicle must be parked in a safe and secure 

manner so as to prevent obstruction of traffic and 

theft or damage to the vehicle and cargo.

2. The off-duty period must be no less than 30 

minutes and no longer than 60 minutes.

3. During the off-duty period, you are relieved from 

responsibility from your vehicle and cargo.

4. During the off-duty period, you are free to leave 

the premises on which your vehicle is parked and to 

pursue activities of your choosing, as long as your 

ability to safely operate your vehicle is not impaired 

as required by part 392, “Driving of Vehicles”, of 

the Federal Motor Carrier Safety Regulations.

_______________________________________________ ______________________________ Driver Supervisor Date
94

DRIVER’S TIME RECORD

(ONE CALENDAR DAY – 24 HOURS)

____________________________ ____________________________ ____________________________

 (MONTH) (DAY) (YEAR) (TOTAL MILES DRIVING TODAY) VEHICLE NUMBERS – (SHOW EACH UNIT)

I certify these entries are true and correct:

________________________________________________________________ ________________________________________________________________(NAME OF CARRIER OR CARRIERS) (DRIVER’S SIGNATURE IN FULL)________________________________________________________________ ________________________________________________________________(MAIN OFFICE ADDRESS) (NAME OF CO-DRIVER)1: OFF DUTY ______2: SLEEPER

 ______ BERTH

3: DRIVING ______4: ON DUTY

 ______

(NOT DRIVING)

U.S. DEPARTMENT OF TRANSPORTATION REMARKS Pro or Shipping No. _____________________

ORIGINAL – Submit to carrier within 13 daysDUPLICATE – Driver retains possession for eight days

 MID- NIGHT 1 2 3 4 5 6 7 8 9 10 11 NOON 1 2 3 4 5 6 7 8 9 19 11  MID- NIGHT 1 2 3 4 5 6 7 8 9 10 11 NOON 1 2 3 4 5 6 7 8 9 19 11 
95

Summary of HourS Worked and HourS available

This summary page may be used either separately or in conjunction with the Redi Recap section on the face of each 

record of duty status to assist the driver in computing his or her time. Entries should be made each day even though driver 

may not work on a particular day or days. The record of “Total On Duty Hours, under heading PREVIOUS MONTH’S 

REFERENCE representing the last 7 days previous month” right side of this page may be used to assist in computing the 

hours at the beginning of each month. These figures are necessary when using this page only or when recording hours of 

service on each record of duty status.

daTe

Hours 

Worked 

Today

Total Hours 

last 6 days

Total Hours 

last 7 days

eligible 

Hours 

Tomorrow

PreviouS monTH’S referenCe

1

Date Record of Duty 

Status No.

Total On Duty 

Hours 2

3

4

5

6

7

8

9

10 TOTAL

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

27

28

29

30

31
96

driver’S Time reCord

Driver’s Name (print) ___________________ Employee No. _____________ Month ____________ Year ___________

DRIVERS MAY PREPARE THIS REPORT INSTEAD OF “DRIVER’S DAILY LOG” 

IF THE FOLLOWING APPLIES:

• Operates within 100 air-mile radius of headquarters.

• Returns to headquarters and is released from work within 12 consecutive hours.

• At least 8 consecutive hours off duty separate each 12 hours of duty.

INTERMITTENT DRIVERS

Shall complete this form for 7 days 

preceding any day driving is 

performed.

This includes the preceding month.

date Start Time 

“all duty”

end Time 

“all duty”

Total 

Hours

driving 

Hours

Truck 

number Headquarters

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

27

28

29

30

31

To be prepared monthly by each DOT-certified driver unless time record is exclusively kept on Driver’s Daily Log. 

Indicate “days off.” Check box if no driving is performed during this month and the first 7 days of the following month. 

Mail this report to your Division Manger of Administration.
97

A Motor Carrier’s Guide to Improving Highway Safety

PART 396

Inspection, Repair, and Maintenance

Part 396: Inspection, Repair, and Maintenance

then return it to the indicated address. A copy must be 

retained for 12 months from the date of inspection.

Post-Trip Inspection Report (396.11)

Every carrier must require its drivers to prepare a daily 

written post-trip inspection report at the end of each 

driving day. Every driver is responsible for preparing 

such a report for each vehicle driven. This report must 

cover at least the following parts and accessories:

➤ Service brakes (including trailer brake connections)

➤ Parking (hand) brake

➤ Steering mechanism

➤ Lighting devices and reflectors

➤ Tires

➤ Horn

➤ Windshield wipers

➤ Rearview mirrors

➤ Coupling devices

➤ Wheels and rims

➤ Emergency equipment

The report must list any condition that the driver either 

found or had reported to him/her that would affect 

safety of operation or cause a breakdown. If no defect 

or deficiency is reported or found, the report should 

state this. The driver must sign the report in all cases.

Before dispatching the vehicle again, a carrier shall 

ensure that a certification has been made as to any 

defect or deficiency, that they have been corrected, or 

state those deficiencies that do not require immediate 

correction. Carriers must keep the original post-trip 

inspection report and the certification of repairs for 

at least three months from the date of preparation.

Driver Inspection (396.13)

Before starting out, the driver must be satisfied that 

the motor vehicle is in safe operating condition. If the 

last vehicle inspection report notes any deficiencies, 

the driver must review and sign to acknowledge 

that necessary repairs have been completed.

Applicability (396.1)

Every motor carrier, its officers, drivers, 

agents, representatives, and employees directly 

concerned with inspection or maintenance 

of commercial motor vehicles must comply 

and be knowledgeable of these rules.

General Requirements (396.3)

Every carrier shall systematically inspect, 

repair, and maintain all commercial 

motor vehicles under its control.

Recordkeeping Requirements (396.3)

Motor carriers must maintain the following 

information for every vehicle they have 

controlled for 30 days or more:

➤ Identifying information, including 

company number, make, serial number, 

year, and tire size

➤ A schedule of inspections to be performed, 

including type and due date

➤ Inspection, repair, and maintenance records

➤ Records of tests conducted on buses with push-out 

windows, emergency doors, and marking lights

These records must be retained for one year at 

the location where the vehicle is garaged and 

maintained for six months after the vehicle leaves 

the carrier’s control (e.g., sale, trade-in, scrap).

Roadside Inspection Reports (396.9)

Any driver who receives a roadside inspection 

report must deliver it to the motor carrier.

Certification of Roadside Inspection 

Reports (396.9)

An official of the motor carrier is to examine the 

roadside inspection report and ensure that any 

violations or defects noted on the report are corrected.

Within 15 days after the inspection, the carrier must 

sign the completed roadside inspection report to 

certify that all violations have been corrected and 
98

Education and Technical Assistance Program

Periodic Inspection (396.17)

Every commercial vehicle, including each segment of 

a combination vehicle requires periodic inspection that 

must be performed at least once every 12 months. At a 

minimum, inspections must include all items listed in 

the Minimum Periodic Inspection Standards, Appendix 

G to Subchapter B. Carriers may perform required 

annual inspections themselves. The original or a copy 

of the periodic inspection report must be retained by 

the motor carrier for 14 months from the report date.

Documentation (report, sticker, or decal) of the most 

recent periodic inspection must be kept on the vehicle.

Inspector Qualification (396.19)

Motor carriers must ensure that persons performing 

annual inspections are qualified. Inspectors must:

➤ Understand the inspection standards 

of Part 393 and Appendix G;

➤ Be able to identify defective components; and

➤ Have knowledge and proficiency in 

methods, procedures, and tools.

Inspector Training or Experience 

(396.19)

Inspectors may have gained experience or training by:

➤ Completing a State or Federal training 

program, or earning a State or Canadian 

Province qualifying certificate in commercial 

motor vehicle safety inspections.

➤ A combination of other training or 

experience totaling at least a year.

Evidence of Qualifications (396.19)

Motor carriers must retain evidence of an inspector’s 

qualifications until one year after the inspector 

ceases to perform inspections for the carrier.

Equivalent to Periodic Inspection 

(396.23)

The motor carrier may meet periodic 

inspection requirements through:

➤ State or other jurisdiction’s roadside 

inspection program;

➤ Self-inspection by qualified employee; or

➤ Third party inspection by qualified individual.

Qualifications for Brake Inspectors 

(396.25)

The motor carrier is responsible for ensuring 

that all inspections, maintenance, repairs, and 

service to brakes of commercial motor vehicles 

comply with these regulations. The carrier must 

ensure that the employees responsible for brake 

inspection, maintenance, service, or repairs meet 

minimum brake inspector qualifications.

The brake inspector must:

➤ Understand and be able to perform the 

brake service and inspection;

➤ Know the methods, procedures, tools 

and equipment needed; and

➤ Be qualified to perform brake service or 

inspection by training and/or experience.

Qualifying Brake Training or Experience 

(396.25)

Qualifying brake training or experience 

includes successful completion of:

➤ A State, Canadian Province, Federal agency, 

or union training program;

➤ A State-approved training program;

➤ Training that led to attainment of a State or 

Canadian Province qualifying certificate to 

perform assigned brake service or inspection 

tasks, including passage of CDL air brake 

test in the case of a brake inspection; or

➤ One year of brake-related training, 

experience, or combination of both.

Maintaining Evidence of Brake Inspector 

Qualifications (396.25)

Motor carriers must maintain evidence of brake 

inspector qualification at the principal place 

of business or the location where the inspector 

works. Evidence must be retained for the period 

during which the brake inspector is employed 

in that capacity, and for one year thereafter.
99

A Motor Carrier’s Guide to Improving Highway Safety

Forms to Use

Shown on following pages and 

available at Web address as shown:

100 . . . . . . . . . . .Inspection Items: (combined)

Differences in the Levels of Inspection:

http://www.fmcsa.dot.gov/documents/

forms/part_396form4.pdf

101 . . . . . . . . . . .Annual Vehicle Inspection Report:

http://www.fmcsa.dot.gov/

forms/print/irm.htm

102 . . . . . . . . . . .Drivers Vehicle Inspection Report:

http://www.fmcsa.dot.gov/documents/

forms/sec396_form1.pdf

103 . . . . . . . . . . .Vehicle Service Status Report:

http://www.fmcsa.dot.gov/documents/

forms/sec396_form2.pdf

104, 105 . .North American 

Standard Inspection Procedure:

http://www.fmcsa.dot.gov/documents/

forms/sec396_form3.pdf

106 . . . . . . . . . . .Inspection, Repair and Maintenance 

Record:

http://www.fmcsa.dot.gov/documents/

forms/sec396_form5.pdf

107 . . . . . . . . . . .Inspector Qualifications:

http://www.fmcsa.dot.gov/documents/

forms/sec396_form7.pdf

108 . . . . . . . . . . .Brake Inspectors Qualifications:

http://www.fmcsa.dot.gov/documents/

forms/sec396_form8.pdf

109 . . . . . . . . . . .Bus Emergency Exits Inspection:

http://www.fmcsa.dot.gov/documents/

forms/sec396_form9.pdf

110 . . . . . . . . . . .On Guard:

http://www.fmcsa.dot.gov/documents/

forms/sec396_form10.pdf

Part 396: Inspection, Repair, and Maintenance
100

Differences in the LeveLs of inspection

Inspection Items Level I Level II* Level III Level IV Level V**

1. Driver’s License 4 4 4

2. Medical examiner’s certificate and waiver (if applicable) 4 4 4

3. Alcohol and drugs 4 4 4

4. Driver’s log (hours-of-service and duty status) 4 4 4

5. Seatbelt system 4 4 4 4

6. Periodic inspection documentation 4 4 4 4

7. Brake system 4 4 4

8. Coupling devices 4 4 4

9. Exhaust system 4 4 4

10. Frame 4 4 4

11. Fuel system 4 4 4

12. Brake, head, tail lamps, turn signals, and lamps on projecting loads 4 4 4

13. Safe loading of cargo 4 4 4

14. Steering mechanism 4 4 4

15. Suspension 4 4 4

16. Tires 4 4 4

17. Wheels, rims and hubs 4 4 4

18. Van and open-top trailer bodies 4 4 4

19. Windshield wipers 4 4 4

20. Emergency exits (for buses) 4 4 4

21. Hazardous materials requirements (if applicable) 4 4 4 4

22. One-time special inspection of a particular item 4

CVSA decal issued for “Pass” inspection 

(no violations/defects found in items 7-20) 4 4

Notes:

 * Level II inspections only include those items that can be inspected without physically getting under the vehicle

 ** Level V inspections are conducted without a driver present
101

Annual Vehicle Inspection Report

Vehicle History Record

Report 

Number FLEET UNIT NUMBER

DATE

MOTOR CARRIER OPERATOR INSPECTOR’S NAME (PRINT OR TYPE)

ADDRESS THIS INSPECTOR MEETS THE QUALIFICATION REQUIREMENTS

 IN SECTION 396.19.

 o YES

CITY, STATE, ZIP CODE VEHICLE IDENTIFICATION (3) AND COMPLETE o LIC. PLATE NO. 

 o VIN o OTHER

VEHICLE TYPE o TRACTOR o TRAILER o TRUCK

 o (OTHER)

INSPECTION AGENCY/LOCATION (OPTIONAL)

VEHICLE COMPONENTS INSPECTED

ITEM OK NEEDS 

REPAIR

REPAIRED 

DATE

1. BRAKE SYSTEM

a. Service Brakes

b. Parking Brake System

c. Brake Drums or Rotors

d. Brake Hose

e. Brake Tubing

f. Low Pressure Warning Device

g. Tractor Protection Valve

h. Air Compressor

i. Electric Brakes

j. Hydraulic Brakes

k. Vacuum Systems

2. COUPLING DEVICES

a. Fifth Wheels

b. Pintle Hooks

c. Drawbar/Towbar Eye

d. Drawbar/Towbar Tongue

e. Safety Devices

f. Saddle-Mounts

3. EXHAUST SYSTEM

a. Any exhaust system determined to be leaking ot a point 

forward of or directly below the driver/sleeper compartment.

b. A bus exhaust system leaking or discharging to the 

atmosphere in violation of standards (1), (2), or (3).

c. No part of the exhaust system of any motor vehicle 

shall be so located as would be likely to result in burning, 

charring, or damaging the electrical wiring, the fuel 

supply, or any combustible part of the motor vehicle.

4. FUEL SYSTEM

a. Visible leak

b. Fuel tank filler cap missing

c. Fuel tank securely attached

5. LIGHTING DEVICES

All lighting devices and reflectors required by Section 

393 shall be operable.

6. SAFE LOADING

a. Part(s) of vehicle or condition of loading such that the 

spare tire or any part of the load or dunnage can fall 

onto the roadway.

b. Protection against shifting cargo

ITEM OK NEEDS 

REPAIR

REPAIRED 

DATE

7. STEERING MECHANISM

a. Steering Wheel Free Play

b. Steering Column

c. Front axle beam and ALL steering components other 

than steering column

d. Steering Gear Box

e. Pitman Arm

f. Power Steering

g. Ball and Socket Joints

h. Tie Rods and Drag Links

i. Nuts

j. Steering System

8. SUSPENSION

a. Any U-bolt(s), spring hanger(s), or other axle 

positioning part(s) cracked, broken, loose or missing 

resulting in shifting of an axle from its normal position.

b. Spring Assembly

c. Torque, Radius, or Tracking Components

9. FRAME

a. Frame Members

b. Tire and Wheel Clearance

c. Adjustable Axle Assemblies (Sliding Subframes)

10. TIRES

a. Tires on any steering axle of a power unit.

b. All other tires.

11. WHEELS AND RIMS

a. Lock or Side Ring

b. Wheels and Rims

c. Fasteners

d. Welds

12. WINDSHIELD GLAZING

Requirements and exceptions as stated pertaining to any 

crack, discoloration or vision reducing matter (reference 

393.60 for exceptions).

13. WINDSHIELD WIPERS

Any power unit that has an inoperative wiper, or missing 

or damaged parts that render it ineffective.

List any other condition which may prevent safe operation 

of this vehicle.

______________________________________________

______________________________________________

Instructions: Mark column entries to verify inspection: X OK, X NEEDS REPAIR, NA IF ITEMS DO NOT APPLY, REPAIRED DATE.

CERTIFICATION: THIS VEHICLE HAS PASSED ALL THE INPECTION ITEMS FOR THE ANNUAL VEHICLE INSPECTION REPORT IN ACCORDANCE WITH 49 CFR 396.
102

Driver’s Vehicle Inspection Report

Check ANY Defective Item and Give Details under “Remarks.”

DATE: ____________________

TRuCk/TRACTOR NO. _________________

Air Compressor

Air Lines

Battery

Brake Accessories

Brakes

Carburetor

Clutch

Defroster

Drive Line

Engine

Fifth Wheel

Front Axle

Fuel Tanks

Heater

❏

❏

❏

❏

❏

❏

❏

❏

❏

❏

❏

❏

❏

❏

Horn

Lights 

 Head – Stop 

 Tail – Dash 

 Turn Indicators

Mirrors

Muffler

Oil Pressure

On-Board Recorder

Radiator

Rear End

Reflectors

Safety Equipment 

 Fire Extinguisher 

 Flags – Flares – Fuses 

 Spare Bulbs & Fuses 

 Spare Seal Beam

❏

❏

❏

❏

❏

❏

❏

❏

❏

❏

Springs

Starter

Steering

Tachograph

Tires

Transmission

Wheels

Windows

Windshield Wipers

Other

❏

❏

❏

❏

❏

❏

❏

❏

❏

❏

TRAILER(S) NO (S). ____________________

Brake Connections

Brakes

Coupling Chains

Coupling (king) Pin

Doors

❏

❏

❏

❏

❏

Hitch

Landing Gear

Lights – All

Roof

Springs

❏

❏

❏

❏

❏

Tarpaulin

Tires

Wheels

Other

❏

❏

❏

❏

Remarks: ________________________________________________________________________

________________________________________________________________________________

________________________________________________________________________________

________________________________________________________________________________

________________________________________________________________________________

________________________________________________________________________________

________________________________________________________________________________

Condition of the above vehicle is satisfactory

Driver’s Signature _________________________________________________________________

Above Defects Corrected

Above Defects Need NOT Be Corrected For Safe Operation Of Vehicle

Mechanic’s Signature ______________________________________ Date ___________________

Driver’s Signature _________________________________________ Date ___________________

❏

❏

❏
103

Vehicle Service Due Status Report

VEHICLE IDENTIFICATION

 ___________________________________________________ ____________________________________________________

MAKE SERIAL NUMBER

 ___________________________________________________ ____________________________________________________

YEAR TIRE SIZE

 ___________________________________________________ ____________________________________________________

COMPANY NUMBER/OTHER I.D. OWNER, IF LEASED

DATE OF 

INSPECTION

TYPE OF 

INSPECTION

MILEAGE 

AT TIME OF 

INSPECTION

DATE NEXT 

INSPECTION 

DUE

MILEAGE 

TYPE OF 

INSPECTION 

DUE

INSPECTION 

DUE
104

NORTH AMERICAN STANDARD

INSPECTION PROCEDURE

 1. PREPARE THE VEHICLE AND DRIVER

Instruct the driver to remain at the controls, and turn the engine off. (Allow cool 

down time for turbo-charged engines.) 

Place chock blocks in position beginning on the driver’s side, one in front, 

and one behind the driver axle tires or 

between the axles, and advise the driver 

that the wheels have been chocked.

Have the driver place the transmission in neutral and release all brakes.

Advise the driver in the use of hand 

signals. (Lamps and brakes.) 

2. CHECK DRIVER’S REQUIREMENTS

• DRIVER LICENSE (391.11) 

Check for expiration date, 

birth date, status check.

• MEDICAL CERTIFICATE (391.41) 

Check for expiration date, corrective lenses, hearing aid, signatures. Canadian driver license 

services as medical certificate.

• MEDICAL WAIVER (if applicable) 

(391.49) 

Check for expiration date, and 

make sure form is completed. Note 

the stated physical limitations.

• RECORD OF DuTY STATuS (395.8) 

(395.3) 

updated to last change of duty status, 

today’s date, legible handwriting, past 

7 days recorded, mileage, driving time, 

on duty time, vehicle numbers, carrier 

name, signature. 

“Remarks” section may include locations of duty status change, unusual 

circumstances that delay the trip, and 

shipping document numbers or the 

name of the shipper. Check for written 

authorization for interactive electronic 

recording devices, if applicable.

• DRIVER VEHICLE INSPECTION 

REPORT (396.11) 

Check for I.D. number of vehicle(s) 

inspected, record of defects 

found (if any), and signatures.

• SHIPPING PAPERS/BILL OF LADING 

Check for listings of hazardous 

materials indicated by the first entry, an “X” in the H.M. column, or a 

contrasting color. Papers must be 

within arm’s reach and visible.

• SEAT BELT (392.16) 

Check for condition and usage

• ALCOHOL AND DRuGS (392.4) (392.5) 

Check for violations

3. CHECK FOR PRESENCE OF 

HAZARDOUS MATERIALS

• PLACARDS 

Check for the presence of placards, but 

use caution even if none are posted.

• LEAkS, SPILLS, uNSECuRE CARGO 

When hazardous materials are present, be ESPECIALLY careful with 

leaks, spills, or unsecure cargo.

• MARkINGS 

Cargo tanks and portable tanks 

will display markings on an orange 

panel or placard. They indicate the 

I.D. number of the hazardous materials. There are exceptions to this rule.

• LABELS 

When containers are visible, labels 

will identify the hazardous materials. 

There are exceptions to this rule.

 4. INSIDE CAB

• STEERING LASH 

Measure amount of steering lash and 

compare with Out-of-Service Criteria.

• STEERING COLuMN 

Check for unsecure attachment.

 5. FRONT OF TRACTOR

• HEAD LAMPS, TuRN SIGNALS, 

EMERGENCY FLASHERS (393.25) 

Check for improper color and operation.

• WINDSHIELD WIPERS (393.78) 

Check for improper operation. Two 

wipers are required unless one can 

clean the driver’s field of vision.

• WINDSHIELD (393.60) 

Check for cracks or other damage. Check 

for decals or stickers in field of vision.

 6. STEERING AXLE

INFORM THE DRIVER THAT YOU ARE 

GOING UNDER THE VEHICLE, AND TO 

LISTEN FOR YOUR INSTRUCTIONS.

• STEERING SYSTEM (BOTH SIDES) 

(393.209) Check for loose, worn, 

bent, damaged or missing parts. 

Instruct the driver to rock the steering 

wheel, and check key components: 

front axle beam, gear box, pitman 

arm, drag link, tie rod, tie rod ends.

• FRONT SuSPENSION (BOTH SIDES) 

(393.207) 

Check for indications of misaligned, 

shifted, or cracked springs, loosened 

shackles, missing bolts, springhangers unsecure at frame, and cracked 

or loose u-bolts. Also, check for 

unsecure axle positioning parts 

and signs of axle misalignment.

• FRONT BRAkES (BOTH SIDES) 

(393.48) 

Check for missing, nonfunctioning, 

loose, contaminated, or cracked parts 

on the brake system, such as brake 

drum, shoes, rotors, pads, linings, brake 

chamber, chamber mounting push rods, 

slack adjusters. 

Check for “S” cam flip over. Be alert for 

audible air leaks around brake components and lines. 

With the brakes released, mark the 

brake chamber push rod at a point 

where the push rod exits the brake 

chamber. Mark the push rods on 

both sides at this time; all push rods 

will be measured in ITEM 10.

• FRONT AXLE 

Check for cracks, welds, and obvious 

misalignment.

• FRAME and FRAME ASSEMBLY 

Check for cracks, or any defect that 

may lead to the collapse of the frame.

 7. LEFT FRONT SIDE OF TRACTOR 

(393.205)

• LEFT FRONT WHEEL & RIM 

Check for cracks, unseated locking 

rings, broken or missing lugs, studs or 

clamps. Bent or cracked rims, “bleeding” rust stains, loose or damaged 

lug nuts and elongated stud holes.

• LEFT FRONT TIRE (393.75) 

Check for improper inflation, serious 

cuts, bulges. 

Check tread wear and measure major 

tread groove depth. 

Inspect sidewall for defects. 

Check for exposed fabric or cord. 

Radial and bias tires should not 

be mixed on the steering axle.

 8. LEFT SADDLE TANK AREA

• LEFT FuEL TANk(S) (393.65) 

Check for unsecure mounting, leaks, or 

other damage. Verify that the fuel crossover line is secure. Check for unsecure 

cap(s). 

Check ground below tank for 

signs of leaking fuel.

• TRACTOR FRAME (393.201) 

Check frame rails and cross members on 

the tractor just behind the cab, looking 

for cracks, bends, or excessive corrosion.

• EXHAuST SYSTEM (393.83) 

Check for unsecure mounting, leaks 

(under the cab), exhaust contacted by 

fuel or air lines or electrical wires.

 9. TRAILER FRONT

• AIR & ELECTRICAL LINES (393.28) 

Lines between tractor and trailer should 

be suspended and free of tangles and 

crimps. They should have sufficient slack 

to allow the vehicle to turn. Inspect line 

connections for proper seating. 

Listen for audible air leaks.

• FRONT END PROTECTION (393.106) 

Check for height requirements. 

(Note exceptions.)

 10. LEFT REAR TRACTOR AREA (393.205)

• WHEELS, RIMS & TIRES 

Inspect as described in ITEM 7. 

Check inside tire of dual for inflation and 

general condition. 

Tires should be evenly matched (same 
105

circumference) on dual wheels. 

Without placing yourself between 

the tires on tandem axles, check 

for debris between the tires.

• LOWER FIFTH WHEEL (393.70) 

Check for unsecure mounting to the 

frame or any missing or damaged parts. 

Check for any visible space between the 

upper and lower fifth wheel plates. 

Verify that the locking jaws are 

around the shank and not the head 

of the kingpin. Verify that the release lever is sealed properly, and 

that the safety latch is engaged.

• uPPER FIFTH WHEEL (393.70) 

Check for any damage to the weight 

bearing plate and its supports on the 

trailer. Check kingpin condition.

• SLIDING FIFTH WHEEL 

Check for proper engagement of locking 

mechanism (teeth fully engaged on rail). 

Check for worn or missing parts, making sure that the position does not 

allow the tractor frame rails to contact the landing gear during turns.

INFORM THE DRIVER THAT YOU 

ARE GOING UNDER THE VEHICLE. 

ENTER THE UNDERCARRIAGE 

IN VIEW OF THE DRIVER.

• SuSPENSION (BOTH SIDES) (393.207) 

Inspect as described in ITEM 6. 

Check for deflated or leading air 

suspension systems.

• BRAkES (BOTH SIDES) (393.48) 

Inspect brakes as described 

in ITEM 6. With brakes released, mark the push rods.

11. LEFT SIDE OF TRAILER

• FRAME AND BODY (393.20, 393.203) 

Check for cracks and any indication 

leading to collapse of the frame.

• CARGO SECuREMENT (393.100) 

Check for improper blocking or bracing, and unsecure chains or straps. 

Verify end gates are secured in stake 

pockets. Check tarp or canvas.

• WHEELS, RIMS, & TIRES (393.205) 

Inspect as described in ITEM 7.

• SLIDING TANDEM (393.70) 

Check for misalignment and position. 

Look for damaged, worn, or missing 

parts. Check locking mechanism; teeth of 

locking mechanism must fully mesh with 

those of the rail secured to the frame.

INFORM THE DRIVER THAT YOU 

ARE GOING UNDER THE VEHICLE. 

ENTER THE UNDERCARRIAGE 

IN VIEW OF THE DRIVER.

• SuSPENSION (BOTH SIDES) (393.207) 

Inspect as described in ITEM 6

• BRAkES (BOTH SIDES) (393.48) 

Inspect as described in ITEM 6. With 

brakes released, mark push rods.

12. REAR OF TRAILER

• TAIL, STOP & TuRN LAMPS & 

EMERGENCY FLASHERS (393.11) 

Check for improper color and operation.

• CARGO SECuREMENT (393.100) 

Inspect as described in ITEM 11. Also 

check tailboard security. Verify end 

gates are secured in stake pockets, 

and rear doors are closed. Check 

both sides of trailer to insure protection of cargo from shifting or falling.

13. RIGHT SIDE OF TRAILER

• CHECk ALL ITEMS AS ON LEFT SIDE.

 14. RIGHT REAR TRACTOR AREA

• CHECk ALL ITEMS AS ON LEFT SIDE.

 15. RIGHT SADDLE TANK AREA

• CHECk ALL ITEMS AS ON LEFT SIDE.

 16. RIGHT FRONT SIDE OF TRACTOR

• CHECk ALL ITEMS AS ON LEFT SIDE.

 17. BRAKE ADJUSTMENT CHECK

INFORM THE DRIVER THAT YOU 

ARE GOING UNDER THE VEHICLE. 

ENTER THE UNDERCARRIAGE 

IN VIEW OF THE DRIVER.

• MEASuRE PuSH ROD TRAVEL (ALL 

BRAkES) (393.48) 

While the brakes are applied, move 

around the vehicle and measure the 

distance of push rod travel at each 

chamber. 

Write down each push rod measurement, and compare them to the Out-ofService Criteria for the appropriate size 

and type of brake chamber. Again, listen 

for leaks as you move around the vehicle.

 18. FIFTH WHEEL MOVEMENT CHECK 

(393.70)

• uSE CAuTION 

If conducted improperly, this method of 

checking for fifth wheel movement can 

result in serious damage to the vehicle. 

use caution and instruct the driver 

carefully.

• PREPARE THE VEHICLE AND DRIVER 

Have the driver put the vehicle in gear, 

release the service brakes, and apply the 

trailer brakes. Remove the wheel chocks 

and have the driver start the vehicle. 

Carefully explain the procedure to the 

driver. Tell the driver to GENTLY rock 

the tractor as you watch the fifth wheel.

• CONDuCT THE PROCEDuRE 

As the tractor rocks, watch for movement between the mounting components 

and frame, pivot pin and bracket, and 

the upper and lower fifth wheel halves.

 19. AIR LOSS RATE (393.50)

• WHEN TO CONDuCT THE TEST 

If you heard an air leak at any point 

in the inspection, you should now 

check the vehicle’s air loss rate.

• CONDuCT THE PROCEDuRE 

Have the driver run the engine at idle, 

then apply and hold the service brake. 

Observe the air reservoir pressure 

gauge on the dash. Have driver pump 

the pressure down to 80 psi. 

Compressors do not activate until 

system pressure drops below a certain 

level. At about 80 lbs most compressors 

should be operating. 

Air pressure should be maintained 

or increase. A drop in pressure indicates 

a serious air leak in the brake system, 

and the vehicle should be placed out 

of service.

 20. LOW AIR PRESSURE WARNING DEVICE 

(393.51)

• TEST THE WARNING DEVICE 

Instruct the driver to pump the air down 

until the low air pressure warning device 

activates. 

Observe the gauges on the dash. 

The low air pressure warning must 

activate at a minimum of 1/2 the 

compressor governor cut out pressure, approximately 55 psi.

 21. TRACTOR PROTECTION VALVE

This procedure will test both the 

tractor protection valve and the 

trailer emergency brakes.

• CONDuCT THE TEST 

Instruct the driver to release the 

emergency brakes by pushing in the 

dash valves. 

Break the supply emergency line at 

the hose couplers between the tractor and the trailer. When the line is 

disconnected, a blast of air will be 

noticed. At this point, the emergency 

brakes on the trailer should set up.

• OBSERVE THE DASH GAuGE 

Air will leak from the tractor side of the 

line until the pressure in the tractor’s 

system drops to the 20-45 psi range. 

At that point, the air loss should stop, 

isolating the tractor air system. A loss 

of air in the tractor system below the 

20-45 psi range indicates a malfunctioning tractor protection valve. If the 

trailer brakes do not set up when the 

line is disconnected, there is a problem 

with the trailer emergency brakes.

 22. COMPLETE THE INSPECTION

• COMPLETE PAPER WORk 

Complete inspection forms and 

other paperwork, as required.

• CONCLuDE WITH THE DRIVER 

Explain any violations or warnings 

to the driver. Take appropriate enforcement action, if necessary.

• APPLY C.V.S.A. DECAL 

Apply a C.V.S.A. decal on 

all vehicles that qualify.
106

Inspection, Repair & Maintenance Record

VEHICLE IDENTIFICATION

 ___________________________________________________ ____________________________________________________

MAKE SERIAL NUMBER

 ___________________________________________________ ____________________________________________________

YEAR TIRE SIZE

 ___________________________________________________ ____________________________________________________

COMPANY NUMBER/OTHER I.D. OWNER, IF LEASED

DATE OPERATION PERFORMED, INSPECTION AND/OR REPAIR
107
108
109

VEHICLE IDENTIFICATION

 ___________________________________________________ ____________________________________________________

MAKE SERIAL NUMBER

 ___________________________________________________ ____________________________________________________

YEAR TIRE SIZE

 ___________________________________________________ ____________________________________________________

COMPANY NUMBER/OTHER I.D. OWNER, IF LEASED

OPERATION Dates – Inspection Due Every 90 Days

CHECK PUSHOUT WINDOWSEMERGENCY DOORSEMERGENCY DOOR LIGHTS

Bus 

Emergency 

Exits 

Inspection
110

WITHIN AN INCH 

OF YOUR LIFE

IF BRAKE SLACK EXCEEDS ONE 

INCH, YOU COULD BE DRIVING A 

“KILLER TRUCK.”

THIS IS THE MOST IMPORTANT INCH 

OF YOUR LIFE.

BRAKES SHOULD BE CHECKED 

BEFORE EACH TRIP AND MORE 

FREQUENTLY IN HILLY AREAS. 

On Guard

TRUCKERS! Poorly adjusted brakes could cost you time and money 

with out-of-service violations, jeopardize your safety and that of others due 

to impaired stopping ability, and even cost you your life. The only way to be 

sure that your vehicle’s brakes are properly adjusted is to physically check 

each wheel on a regular schedule. It is dif cult for you to sense, simply 

from pedal feel, that your brakes are out of adjustment. Under normal 

braking conditions, your brakes may respond satisfactorily, but under a hard 

or panic stop you may  nd that you are unable to stop in time.

HOW TO CHECK

Before checking or making adjustments, be sure that your vehicle is parked 

on a level surface with the wheels blocked, spring brakes released, and the 

engine shut off. The following measurements are for Type 30 air chamber 

brakes only. For other types, check with your mechanic, supervisor, or 

manufacturer.

One person method: (1) Pull the chamber pushrod to its limit by hand 

or by prying with a short pry bar. (2) Measure from the clevis pin to the 

chamber face at both full retraction and at full extension. The difference 

between these measurements is the pushrod travel or slack. One-half inch is 

correct, and the MAXIMUM ALLOWABLE TRAVEL IS ONE INCH (oneperson method).

Two-person method: Make the same measurements described in the 

one-person method, but with brakes fully applied and with brakes released. 

Because of the considerable stretching and bending of various parts when 

using the two-person method, the MAXIMUM ALLOWABLE TRAVEL IS 

TWO INCHES for Type 30 air chamber brakes.

HOW TO ADJUST

Brake adjustment, or “taking up the slack,” is done by  rst making sure 

the brakes are released, then turning the adjusting bolt on the slack adjuster 

arm: (1) Depress the spring locking sleeve with a wrench. (2) Tighten the 

bolt until solid resistance is met. This indicates that the brake linings are 

touching the drum.

NOTE: Most adjusting bolts require a normal clockwise turn to 

“set up” the brakes, but some require a counter-clockwise 

turn. Be alert for any outward movement of the chamber 

pushrod and slack adjuster arm while the adjustment bolt 

is being turned. This movement means you are turning in 

the wrong direction.

(3) Restore running clearance by backing off the adjustment between onequarter and one-half a turn. Re-check the pushrod travel. Proper adjustment 

leaves one-half an inch. (4) Check each brake drum or rotor for excessive 

heat soon after the brakes have been adjusted. An extra-hot brake drum 

means that you have adjusted the brakes too tightly.

For both this type and other types of brake systems, always check with the 

manufacturer for proper maintenance and adjustment procedures. If you are 

not comfortable with these procedures, ask your mechanic or supervisor.
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Overview: Transportation Of Hazardous Materials

In regards to commercial or governmental activities, 

Special Agents of the Department of Transportation 

can not be denied reasonable access to those areas 

that fall within the official scope of their duties.

The Secretary has delegated this authority to the 

Federal Aviation Administration, (FAA); Federal 

Motor Carrier Safety Administration, (FMCSA); 

Federal Railway Administration, (FRA); Pipeline and 

Hazardous Materials Safety Administration (PHMSA); 

and the United States Coast Guard, (USCG).

The hazardous materials regulations are 

constantly changing. These changes may 

be the result of changes to the international 

regulations, Congressional, mandates, and/

or advances in technology. The challenge facing 

shippers and transporters is to keep current.

The last few years has witnessed significant 

changes to the regulations for the Transportation 

of hazardous materials. These changes were first 

introduced under Docket HM-181. Docket HM-181 

provided for a phased transition of the hazardous 

materials regulations which would to the maximum 

extent possible, be compatible with international 

standards, in order to facilitate foreign trade and 

maintain the competitiveness of U.S. goods.

Since October 1, 1997, applicability of the 

hazardous materials regulations was extended to 

all intrastate shipments of hazardous materials 

by highway as published in the final rule, Docket 

HM-200 dated January 8, 1997. This final 

rule also provided exceptions for “materials of 

trade,” “agricultural operations” and certain 

nonspecification packaging used in commerce.

The SECRETARY of the Department Of 

Transportation receives the authority to regulate 

the transportation of hazardous materials from the 

Hazardous Materials Act (HMTA), as amended and 

codified in 49 U.S.C. 5101 et seq. The Secretary is 

authorized to issue regulations to implement the 

requirements of 49 U.S.C. The Pipeline and Hazardous 

Materials Safety Administration (PHMSA) is delegated 

the responsibility to write the hazardous materials 

regulations, which are contained in 49 CFR Parts 

100-180. In order to accomplish responsibilities 

under the HMTA, the Secretary “...may authorize 

any officer, employee, or agent to enter upon, inspect, 

and examine, at reasonable times and in a reasonable 

manner, the records and properties of persons to the 

extent such records and properties relate to (1) The 

manufacture, fabrication, marking, maintenance, 

reconditioning, repair, testing, or distribution of 

packages or containers for use by any “person” 

in the transportation of hazardous materials in 

commerce; or (2) the transportation or shipment by 

any “person” of hazardous materials in “commerce.”

Section 2

OVERVIEW

Transportation Of Hazardous Materials
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Education and Technical Assistance Program

The Government Printing Office has made the 

Federal Registers and 49 CFR available on the 

internet. The website for the Federal Registers 

is http://www.gpoaccess.gov/fr/index.html.

The website address for 49 CFR is http://www.

gpoaccess.gov/cfr/index.html. Clarifications of the 

requirements contained in the Federal Hazardous 

Materials Regulations and the Motor Carrier Safety 

Regulations may be found at http://hazmat.dot.

gov and http://www.fmcsa.dot.gov, respectively.

Who do the regulations apply to?

No person shall offer or accept a Hazardous 

Material for transportation in commerce unless 

that person is registered as a hazmat shipper or 

carrier as required by 49 CFR section 107, subpart 

G, and the hazardous material is properly classed, 

described, packaged, marked, labeled, and in 

condition for transport as required or authorized 

by the Federal Hazardous Materials Transportation 

Regulations (HMR). The hazardous materials 

regulations apply to all persons operating in 

intrastate, interstate, and foreign commerce.

Who is a person under these 

regulations? – §171.8

A person means an individual, corporation, company, 

association, firm, partnership, society, joint stock 

company; a government or Indian tribe or authority 

of a government offering a hazardous material 

for transportation in commerce, or transporting a 

hazardous material to support a commercial enterprise.

What is a Hazardous Material? 

– Definition §171.8

Hazardous material means a substance or material 

that the Secretary of Transportation has determined 

is capable of posing an unreasonable risk to health, 

safety, and property when transported in commerce, 

and has been designated as hazardous by federal 

hazardous materials law. The term includes hazardous 

substances, hazardous wastes, marine pollutants, 

elevated temperature materials, materials designated as 

hazardous in the hazardous materials table in 49 CFR 

172. 101, and materials that meet the defining criteria 

for hazard classes and divisions in 49 CFR section 173.

Who do the Hazardous Materials 

Regulations apply to?

The Federal Hazardous Materials Transportation 

Regulations (HMR) apply to persons that transport 

hazardous materials, or perform pre-transportation 

functions to assure the safe transportation of 

hazmat, including persons who ship, offer, 

cause or are responsible for hazardous materials 

transported in commerce. The HMR also apply 

to persons who manufacture, maintain, mark, 

or certify hazardous materials packages.

The following activities require adherence to HMR:

1. Determining the hazard class 

of a hazardous material.

2. Selecting a hazardous materials packaging.

3. Filling a hazardous materials packaging, 

including bulk packaging.

4. Transloading hazmat at intermodal transfer 

facilities from one bulk packaging to another.

5. Securing the closure on a filled, partially, 

filled, or residue containing package.

6. Marking a package to indicate it 

contains hazardous material.

7. Labeling a package to indicate it 

contains hazardous material.

8. Preparing a shipping paper.

9. Providing and maintaining emergency 

response information.

10. Reviewing a shipping paper to verify 

compliance with the HMR.

11. For importers of hazardous materials, providing 

the shipper with timely and complete information 

on the requirements of the HMR that will 

apply to that shipment in the United States.

12. Certifying that a hazardous material in 

condition for transport in conformance 

with the requirements of the HMR.
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13. Loading, blocking, and bracing a hazmat package 

in a freight container or transport vehicle.

14. Segregating a hazardous materials 

package in a freight container or transport 

vehicle from incompatible cargo.

15. Selecting, providing, or affixing placards for 

a transport vehicle or freight container to 

indicate it contains hazardous materials.

What is a Pre-Transportation Function?

These Pre-Transportation functions are activities 

regulated by the HMR because they are actions that 

prepare hazardous materials for transportation.

Transportation in Commerce begins when a carrier 

takes possession of the hazmat for the purpose 

of transporting it and continues until the hazmat 

package arrives at its intended location. For private 

carriers, transportation in commerce begins when 

the driver takes possession of the hazardous material 

for the purpose of transport, and continues until the 

driver relinquishes possession of the package at its 

destination. Transportation in Commerce includes:

1. Movement of hazmat by highway, 

railroad, aircraft, or vessel.

2. Loading incidental to movement, including 

the loading of packaged hazardous materials 

into a transport vehicle, blocking, bracing 

and securing a package in the vehicle, and 

segregating the hazardous materials from 

incompatible materials in the transport unit.

For bulk packages like cargo tanks or portable 

tanks, loading incidental to movement is filling 

the bulk packaging with the hazmat for the 

purpose of transporting it when performed by 

the carrier or in the presence of the carrier.

3. Unloading incidental to movement, is 

removing packaged or containerized 

hazmat from a transport vehicle, or for 

bulk packaging, emptying the cargo tank 

or other packaging after the packaging has 

been delivered to the consignee, and prior to 

the carrier leaving the delivery location.

4. Storage incidental to movement is the temporary 

storage of hazmat between the time the carrier 

takes possession and its delivery to the location 

indicated on the shipping paper or package 

marking. An example is hazmat packages 

dropped at a freight terminal by original driver 

or carrier, to be picked up by another driver 

or carrier for delivery to the consignee.

What functions or activities are not 

subject to the Hazardous Materials 

Regulations? – (49 CFR 171.1) 

All aspects of Transportation in Commerce are 

regulated activities. The following items do not fall into 

the definition of hazardous materials in commerce:

1. Storage of hazmat containers, vehicles or 

packages at a shipper or offeror facility prior 

to a carrier taking possession of the hazardous 

materials for transportation in commerce.

2. Unloading of transport vehicles or bulk 

packages by the consignee after the departure 

of the carrier from the consignee location.

For private carriers, unloading of the hazmat 

after the driver leaves the delivery area.

3. Storage of the container, vehicle, or package 

containing the hazardous material after 

delivery by the carrier to the destination 

listed on the shipping document.

4. Motor vehicle movements of hazardous materials 

exclusively within the contiguous facility 

boundary where public access is limited, except 

for movements that cross a public road.

5. Transport of hazmat by motor vehicles 

operated by a government agency.

6. Transportation of hazmat by an individual for noncommercial purposes in a private motor vehicle.

7. Any shipment subject to the U.S.

Post Office laws or regulations.
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Education and Technical Assistance Program

require the transport vehicle to be placarded, you must 

be registered with the U.S. DOT. Limited exceptions 

from the registration requirements are available for 

farmers and operations by government agencies.

Registration can be done on-line at: 

http://hazmat.dot.gov/regs/register/register.htm 

or by calling (617) 494-2545.

Hazmat security plans (49 CFR 

172.800 through 172.804)

The U.S. DOT Pipeline and Hazardous Material 

Administration issued a final rule on March 25, 

2003, that establishes new requirements aimed 

at enhancing the security of hazardous materials 

transportation. This new rule requires some 

hazmat offerors and transporters to develop and 

implement security plans. It requires all hazmat 

employers to provide security training to their 

employees as part of their regular hazmat training.

This rule creates a new Subpart I, Security Plans, 

in Part 172 of the regulations. This new regulation 

requires persons subject to the security plan 

requirements to perform an assessment of the risks 

associated with the materials they ship or carry. 49 

CFR 172.800 requires each person who offers or 

transports certain categories of hazardous materials 

to develop and adhere to a security plan that conforms 

to the new requirements of Subpart I. Hazmat 

Security Plans must be developed and in effect.

Who has to Register as a 

Hazardous Materials Shipper 

or Carrier with U.S. DOT?

Any person who offers or transports hazardous materials 

in one of the following categories must annually register 

with the U.S. DOT as a shipper or carrier:

1. Any quantity of a Class 7 highway route 

controlled radioactive material.

2. More than 25 kg of 1.1, 1.2, or 1.3 explosives.

3. More than 1 liter per package of materials 

extremely toxic by inhalation that meet the 

criteria of a “hazard zone A” material.

4. Shipments of hazardous materials in bulk packages having a capacity equal to or greater than 3,500 

gallons (13,248 liters) for liquids or gases, or more 

than 13.24 cubic meters (468 cubic feet) for solids.

5. A shipment in non-bulk packagings of 5,000 

pounds (2,268 kg) gross weight or more on 

one class of hazmat for which placarding 

of the transport unit would be required.

6. A quantity of hazardous material that 

would require placarding under the 

provisions of Subpart F of Part 172.

If one time a year, you ship, offer, or transport a type, 

form, or quantity of hazardous materials that would 
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Overview: Transportation Of Hazardous Materials

Security plans must include: 

➤ An assessment of possible security risks 

for shipments of covered materials;

➤ Appropriate measures to address 

these security risks;

➤ Personnel security, including measures taken to 

confirm background information provided by 

employees hired for positions that have access to 

hazardous materials covered by the security plan;

➤ Unauthorized access procedures, including 

measures to address the risk that unauthorized 

persons could gain access to facilities 

or vehicles used to transport hazardous 

materials covered by this rule; and

➤ En Route security, including assessment 

by the shipper and carrier of security risks 

associated with hazmat transportation from 

origin to final destination, including temporary 

storage incident to transportation.

The security plan must be in writing and retained 

as long as it remains in effect. Copies of the plan, 

or portions thereof, must be available to employees 

responsible for implementing the plan, in a manner 

consistent with security clearances and a demonstrated 

need to know. The U.S. DOT has published a 

security template on its website at http://hazmat.

dot.gov/riskmgmt/rmsef/rmsef.htm that can be 

used to identify points in the transportation process 

where security measures can be enhanced.

Hazmat security training (49 

CFR 172.704 (a)(4))

The hazardous materials transportation regulations 

have been revised to include the new requirements 

for security awareness training and in-depth security 

training. Many hazardous materials transported in 

commerce may potentially be used as weapons of 

mass destruction or weapons of convenience, and it is 

critical that training for persons that ship or transport 

hazardous materials include a security component.

Security awareness training

At the next scheduled recurrent hazmat training, 

each hazmat employee must receive training that 

provides awareness of security risks associated with 

hazmat transport, and methods designed to enhance 

transportation security. Training must include a 

component covering how to recognize and respond to 

a security threat. New hazmat employees must receive 

security training within 90 days of employment.

Hazmat employers are strongly encouraged to 

provide security awareness training to employees 

on an accelerated schedule whenever possible.

In-depth security training

All hazmat employees of a person required to 

have a security plan by Part 172, Subpart I, must 

be trained concerning the security plan and its 

implementation. This training must include:

➤ Company Security Objectives

➤ Specific Security Procedures

➤ Employee Responsibilities

➤ Actions in case of a Security Breach

➤ Organizational Security Structure

Security training conducted to comply with the 

requirements of other federal or international 

agencies may be used to satisfy this DOT 

requirement to the extent it complies with the training 

components required in 49 CFR 172.704 (a).

The U.S. DOT Office of Hazardous Materials Safety 

has prepared a Hazmat Transportation Security 

Awareness Training Module, which is available from 

them at no cost. You can order it from their Web site at 

http://hazmat.dot.gov or by calling (202) 366-4900, or 

(800) 467-4922 ext. 3.

Are there penalties for failing 

to comply with the Hazardous 

Materials Regulations?

The Federal Motor Carrier Safety Administration, 

its State Government partners, and the other Modal 

Agencies have established enforcement programs to 

prioritize their inspection of activities of shippers and 

transporters of hazardous materials. These include 

investigations of complaints, compliance reviews, 

roadside inspections, and spill and incident reports.

n the event that an inspection of your hazmat operations 

disclose violations of the HMR, you may be subject to 

civil and/or criminal penalties. Civil penalties of not 

more than $50,000 and not less than $270 per day and 

per violation may be assessed. Criminal penalties of 

not more than $105,000 and not less than $270 per day 
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Education and Technical Assistance Program

and per violation may be assessed. A list of violations 

and guidelines for civil penalties can be found in 

Appendix A to Subpart D in Part 107 of the HMR.

This Motor Carrier Fact Sheet is intended 

as a resource. It is not intended to explain all 

requirements of Federal law. The actual regulations 

in 49 CFR (Code of Federal Regulations) are 

recommended as a resource. For additional 

assistance, contact the Federal Motor Carrier 

Safety Administration at (800) 832-5660.

Agricultural Product

An agricultural product means a hazardous material, 

other than a hazardous waste, whose end use directly 

supports the production of an agricultural commodity 

including, but not limited to a fertilizer, pesticide, 

soil amendment or fuel. An agricultural product is 

limited to a material in Class 3, 8, or 9, Division 

2.1, 2.2, 5.1, or 6.1, or an ORM-D material.

Commerce

The term commerce means trade, traffic, commerce, or 

transportation in the jurisdiction of the United States:

(A) between a place in a State and any 

place outside of such State; or 

(B) which affects trade, traffic, commerce, or 

transportation described in subparagraph 

(A). 49 U.S.C. 5101 et seq.

Government NOT engaged in commerce

(1) The Government service or activity benefits 

the community as a whole and is available 

to the public at little or no direct expense.

(2) The service or activity is undertaken 

for the purpose of public service 

rather than for monetary gain.

(3) Government is the principal provider of activity.

(4) Government is particularly suited to provide 

the service or perform the activity.

(5) The activity is supported through 

general tax revenues.
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A Motor Carrier’s Guide to Improving Highway Safety

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Government IS engaged in commerce

(1) When it engages in activities contrary to 

the previously mentioned circumstances.

(2) When the government “offers” 

material into commerce.

Contractors

Any person who, under contract with any department, 

agency, or instrumentality of the executive, legislative, 

or judicial branch of the Federal Government, 

transports, or causes to be transported or shipped, 

a hazardous material or manufactures, fabricates, 

marks, maintains, reconditions, repairs, or tests a 

package or container which is represented, marked, 

certified, or sold by such person as qualified for 

use in transportation of hazardous materials shall 

be subject to and comply with all provisions of 

the Federal Hazardous Material Transportation 

Law, or the regulations issued thereunder.

Hazmat Employee

A person who is employed by a hazmat employer 

and who in the course of employment directly 

affects hazardous materials transportation safety.

This term includes an owner-operator of a motor 

vehicle which transports hazardous materials in 

commerce. This term includes an individual, including 

a self-employed individual, employed by a hazmat 

employer who, in the course of employment:

(1) Loads, unloads, or handles hazardous materials;

 (2) Manufactures, tests, reconditions, or repairs, 

modifies, marks, or otherwise represents 

containers, drums, or packages as qualified for 

use in the transportation of hazardous materials;

(3) Prepares hazardous materials for transportation;

(4) Is responsible for safety of transporting 

hazardous materials; or

(5) Operates a vehicle used to transport 

hazardous materials.

Hazmat Employer

A person who uses one or more of its employees in 

connection with; transporting hazardous materials 

in commerce; causing hazardous materials to be 

transported or shipped in commerce; or representing, 

marking, certifying, selling, offering, manufacturing, 

reconditioning, testing, repairing, or modifying 

containers, drums, or packaging as qualified in 

the transportation of hazardous materials. This 

term includes an owner-operator of a motor vehicle 

which transports hazardous materials in commerce.

This term includes any department, agency, or 

instrumentality of the United States, a State, a 

political subdivision of a State, or an Indian tribe 

engaged in the first sentence of this definition.

Materials of Trade

Materials of Trade means a hazardous material, other 

than a hazardous waste, that is carried on a motor 

vehicle—(1) For the purpose of protecting the health 

and safety of the vehicle operator or passengers; (2) 

For the purpose of supporting the operation of a motor 

vehicle (including its auxiliary equipment); or (3) By 

a private motor carrier (including vehicles operated 

by a rail carrier) in direct support of a principal 

business other than transportation by a motor vehicle.

Person

Person means an individual, corporation, company, 

association, firm, partnership, society, joint stock 

company; or a government, Indian tribe, or authority of 

a government or tribe offering a hazardous material for 

transportation in commerce or transporting a hazardous 

material to support a commercial enterprise. This term 

does not include the United States Postal Service or for 

purposes of 49 U.S.C. 5123 and 5124, a Department, 

agency, or instrumentality of the government.

Offeror

Any person who performs, attempts to perform or, 

under the circumstances involved, is contractually or 

otherwise responsible to perform, any of the functions 

assigned to the offeror or shipper by the HMR is 

legally responsible under the HMR for their proper 

performance. Performance or attempted performance 

of any offeror or shipper function may be evidence 

of responsibility under the HMR for performance 

of other offeror or shipper functions. No shipper 
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Commercial driver’s license

The commercial driver’s license (CDL) regulations 

apply to drivers of motor vehicles used in commerce to 

transport hazardous materials in a quantity requiring 

the vehicle to be placarded. The CDL regulations 

do not apply to active duty military drivers, but 

do apply to government civilian employees.

Safety ratings

Motor carriers transporting hazardous materials in 

quantities requiring placards are prohibited from 

operating commercial motor vehicles beginning on 

the 46th day after receiving a proposed unsatisfactory 

rating. Federal agencies can not use a motor carrier 

to transport hazardous materials requiring placards 

if the motor carrier has an unsatisfactory rating.

Safety Ratings and Carrier Profiles are public 

information and may be obtained on the internet 

on a system called SAFER (Safety and Fitness 

Electronic Record) at http://www.safersys.org/.

commercial act, such as a sale or transfer of ownership, 

is necessarily determinative of that responsibility.

NOTE: In actuality there may be one or more 

offerors, jointly and severally responsible for 

compliance with the HMR, in any transportation 

scenario depending upon the details of the scenario.

Shipper

The word “shipper” is not specifically defined in the 

HMR (49 CFR Parts 170-179), due primarily to the 

fact that it is not possible for the Department to account 

for the numerous commercial arrangements that may 

exist under that concept, although the word “shipper” 

does appear, it is used in an ordinary layman’s 

manner rather than a specific, technical term of art.

Consequently, responsibilities generally are placed on 

“offerors” for performance of the functions associated 

with “offering” hazardous materials for transportation 

(e.g., see the general duty and applicability provisions 

in 49 CFR section 171.1, 171.2, 172.3, and 173.1).

Transports

The term transports or transportation means 

any movement of property by any mode, and any 

loading, unloading, or storage incident thereto.

Transportation in commerce 

on a public highway

Transportation on (across or along) roads outside of 

Government properties generally is transportation 

in commerce. If a road is used by members of the 

general public (including dependents of Government 

employees) without their having to gain access 

through a controlled access point, transportation on 

(across or along) a road on Government properties is 

in commerce. On the other hand if access to a road 

is controlled at all times through the use of gates and 

guards, transportation on that road is not in commerce.

The Commercial Motor Vehicle Safety Act of 1986 

required DOT to establish Federal standards for 

States to test and license truck and bus drivers, 

establish uniform penalty provisions, and establish 

a data system containing data on drivers.
119

A Motor Carrier’s Guide to Improving Highway Safety

Definitions

Commercial motor vehicle means any selfpropelled or towed motor vehicle used on a 

highway in interstate commerce to transport 

passengers or property when the vehicle:

➤ Has a gross vehicle weight rating or gross 

combination weight rating, or gross vehicle 

weight, or gross combination weight of 10,001 

pounds (4,536 kg) or more, whichever is greater; 

➤ Is designed or used to transport more than 8 

passengers, including the driver, for compensation; 

➤ Is designed or used to transport more than 15 

passengers, including the driver, and is not used 

to transport passengers for compensation; or

➤ 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 1, subchapter C.

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.

PASSENGER CARRIER OPERATIONS

For-hire Motor Carriers of Passengers

For-hire motor carriers of passengers provide 

transportation of passengers for compensation.

Examples of for-hire transportation of passengers 

include intercity bus service, charter bus service, canoe 

rental company bus service, and hotel bus service.

Three factors must be present before a motor carrier 

of passengers is classified as a for-hire carrier:

➤ The motor carrier provides interstate transportation 

of passengers for a commercial purpose;

➤ The motor carrier is compensated, 

either directly or indirectly, for the 

transportation service provided; and

➤ The transportation service is generally 

available to the public at large.

The chart below summarizes the applicability 

of the Federal Motor Carrier Safety Regulations 

(FMCSRs) to for-hire motor carriers of passengers.

Section 3 

Motor Carriers 

of Passengers 

Motor Carriers of Passengers

PART REGULATORY TOPIC APPLICABLE

380 Special Training 

Requirements Partial

382

Controlled Substances 

and Alcohol Use 

and Testing

Yes

383 Commercial 

Driver’s License Yes

387 Financial Responsibility 

(Insurance/Surety) Yes

390 General Applicability 

and Definitions Yes

391 Qualification of Drivers Partial

392 Driving of Commercial 

Motor Vehicles Yes

393 Parts and Accessories Yes

395 Hours of Service 

of Drivers Yes

396 Inspection, Repair, 

and Maintenance Yes
120

Education and Technical Assistance Program

Private Motor Carriers of 

Passengers (PMCPs)

Private motor carriers of passengers (PMCPs) became 

subject to the FMCSRs on January 1, 1995. They are 

separated into two groups -- business or non-business.

Private Motor Carriers of 

Passengers (PMCPs): Business

Business PMCPs provide private transportation 

of passengers in the furtherance of a commercial 

purpose. Examples include companies that use buses 

to transport their own employees and professional 

musicians who use buses for concert tours.

Commercial businesses that provide transportation 

to the general public are not business PMCPs.

The chart below summarizes the applicability of the 

Federal Motor Carrier Safety Regulations (FMCSRs) to 

business private motor carriers of passengers (PMCPs).

Business PMCPs are not subject to:

➤ Minimum levels of financial responsibility

➤ Road test requirements of Part 391 if they 

meet the requirements of 391.69

Private Motor Carriers of Passengers 

(PMCPs): Non-business 

Non-business PMCPs provide private transportation 

of passengers that is not in the furtherance of a 

commercial purpose. Examples of non-business 

PMCPs include churches, private schools, civic 

organization, scout groups, and other organizations 

that may purchase or lease buses for the private 

transportation of their respective groups.

The chart below summarizes the applicability 

of the FMCSRs to non-business private 

motor carriers of passengers.

Non-business PMCPs are not subject to:

➤ Minimum levels of financial responsibility

➤ Subpart C of Part 391

➤ Subpart D of Part 391

➤ Subpart F of Part 391

➤ Most paperwork and recordkeeping 

requirements of Parts 390, 391, 395, and 396

PART REGULATORY TOPIC APPLICABLE

380 Special Training 

Requirements Partial

382

Controlled Substances 

and Alcohol Use 

and Testing

Yes

383 Commercial 

Driver’s License Yes

387 Financial Responsibility 

(Insurance/Surety) Yes

390 General Applicability 

and Definitions Yes

391 Qualification of Drivers Partial

392 Driving of Commercial 

Motor Vehicles Yes

393 Parts and Accessories Yes

395 Hours of Service 

of Drivers Yes

396 Inspection, Repair, 

and Maintenance Yes

PART REGULATORY TOPIC APPLICABLE

380 Special Training 

Requirements Partial

382

Controlled Substances 

and Alcohol Use 

and Testing

Yes

383 Commercial 

Driver’s License Yes

387 Financial Responsibility 

(Insurance/Surety) Yes

390 General Applicability 

and Definitions Yes

391 Qualification of Drivers Partial

392 Driving of Commercial 

Motor Vehicles Yes

393 Parts and Accessories Yes

395 Hours of Service 

of Drivers Partial

396 Inspection, Repair, 

and Maintenance Partial
121

A Motor Carrier’s Guide to Improving Highway Safety

Q1: Are PMCPs required to register 

and mark their vehicles as required 

by 49 CFR section 390.21?

A1: Yes. All PMCPs must register with 

the FMCSA as required by 49 

CFR section 390.19 and mark their 

vehicles according to 390.21 with 

their name and U.S. DOT number.

Q2: Are non-business PMCP drivers 

required to be medically examined?

A2: No. Section 391.68 (a)(4) specifically states 

that much of sections 391.41 and 391.45, 

which require a driver to be medically 

examined and to have a medical examiner’s 

certificate on his/her person, do not apply 

to non-business PMCPs. However, nonbusiness PMCP drivers are subject to the 

minimum physical qualification standards 

found in section 391.41(b)(1)-(13).

Non-business PMCPs should become 

familiar with the minimum physical 

qualification standards found in 

section 391.41 and the driver waiver 

conditions of section 391.49.

Non-business PMCP drivers may be 

placed out-of-service during terminal, 

en route, or destination inspections if 

they are required by section 391.41 to 

have a waiver and do not possess one.

Q3: Are non-business PMCP drivers subject to 

the driver’s hours of service regulations?

A3: Yes. However, they are not required to 

prepare or maintain records of duty status.

Non-business PMCP driver’s hours of 

service will be evaluated by enforcement 

officers during terminal, en route, and 

destination inspections based on evidence 

available at the inspection location.

It is recognized that some individuals 

who volunteer to drive for non-business 

PMCPs may also drive for other motor 

carriers and in that capacity are required 

to maintain a record of duty status. All 

on-duty time performed for a non-business 

PMCP must be recorded on the records 

of duty status submitted to that driver’s 

regularly employing motor carrier.

Q4: Are non-business PMCPs required 

to have their vehicles inspected?

A4: Yes. Section 396.17 requires that 

commercial motor vehicles be 

inspected at least once annually. The 

inspection must be completed by a 

qualified inspector and must include all 

components identified in Appendix G 

of the FMCSRs. Documentation of this 

inspection must be kept on the vehicle.

Frequently Asked Questions Regarding the 

Applicability of the FMCSRs to PMCPs.

Motor Carriers of Passengers
122

Education and Technical Assistance Program

School Bus Transportation

The chart below summarizes the applicability of the FMCSRs to school bus transportation.

School Bus Transportation School to Home/ 

Home to School Extracurricular School Activities

Public School Transporting Students Not Subject Not Subject

Private School Transporting Pre-primary, 

Primary, and Secondary Students Not Subject Subject as Non-business PMCPs

Private School Transporting 

Post-Secondary Students

Subject as Nonbusiness PMCPs Subject as Non-business PMCPs

“For-hire” Contractors Transporting 

Pre-primary, Primary, and 

Secondary Students

Not Subject Subject as “For-hire” Carriers

“For-hire” Contractors Transporting 

Post-secondary Students

Subject as “Forhire” Carriers Subject as “For-hire” Carriers

Small Passenger Carriers APPLICABILITY OF MINIMUM 

FINANCIAL RESPONSIBILITY ON 

PASSENGER CARRIER OPERATIONS

Regulations covering the minimum levels of 

financial responsibility (insurance) are found in 

49 CFR Part 387, subpart B . These regulations are 

only applicable to for-hire carriers transporting 

passengers in interstate commerce .

For-hire Motor Carriers of Passengers

The chart below summarizes the applicability of 

the minimum levels of financial responsibility 

regulations to for-hire passenger carriers .

Vehicle

For-hire 

Passenger 

Carriers

Business 

PMCPs

Nonbusiness 

PMCPs

Vehicle with 

a Seating 

Capacity of 

16 or More

$5,000,000 

insurance 

required

Not 

Subject

Not 

Subject

Vehicle with 

a Seating 

Capacity of 

15 or Less

$1,500,000 

insurance 

required

Not 

Subject

Not 

Subject
123

A Motor Carrier’s Guide to Improving Highway Safety

School Bus Transportation

The chart below summarizes the applicability of the minimum levels of 

financial responsibility regulations for school bus transportation.

“For-hire” 

Contractors

School to Home/

Home to School

Extracurricular 

School Activities 

Organized, 

Sponsored, and 

Paid by the School

Extracurricular 

School Activities Organized 

and Paid by an 

Independent Group 

(e.g., Athletic Boosters Club)

“For-hire” 

Contractors 

Transporting Preprimary, Primary, 

and Secondary 

Students, and 

Accompanying 

Teachers

Not Subject Not Subject

Bus seating capacity of 

16 or more: $5,000,000 

insurance required

Bus seating capacity of 

15 or less: $1,500,00 

insurance required

“For-hire” 

Contractors 

Transporting 

Post-secondary 

Students

Bus seating 

capacity of 16 or 

more: $5,000,000 

insurance required

Bus seating 

capacity of 15 or 

less: $1,500,00 

insurance required

Bus seating 

capacity of 16 or 

more: $5,000,000 

insurance required

Bus seating 

capacity of 15 or 

less: $1,500,00 

insurance required

Bus seating capacity of 

16 or more: $5,000,000 

insurance required

Bus seating capacity of 

15 or less: $1,500,00 

insurance required

Minimum financial responsibility 

regulations do not apply to:

➤ A motor vehicle transporting only school 

children and teachers to and from school;

➤ A motor vehicle providing taxicab service, 

having a seating capacity of less than 7 

passengers, and not operating on a regular 

route or between specified points; 

➤ A motor vehicle carrying less than 16 

individuals in a single daily round trip 

to commute to and from work; and

➤ A motor vehicle operated by a motor carrier 

under contract providing transportation 

of pre-primary, primary, and secondary 

students for extracurricular trips organized, 

sponsored, and paid by a school district.

Motor Carriers of Passengers
124

Education and Technical Assistance Program

NOTES:
125

A Motor Carrier’s Guide to Improving Highway Safety

Section 4 

Accident 

Countermeasures

and the Accident Countermeasures cases are not 

rating sheets nor orders from above to be followed 

exactly. They are guidelines and discussion tools 

to help carriers and drivers look at their unique 

operations and practices with an eye to identifying 

opportunities to make safety improvements.

Determining preventability

No two accidents or carriers are exactly alike and 

the FMCSA recognizes that not all accidents are 

preventable. Some types of accidents, however, can be 

prevented by drivers, while others require changes in 

motor carrier practices and policies or equipment. The 

new FMCSA method for determining preventability is 

based on examination of the facts in accident records.

Cases and countermeasures

The countermeasures cases in this file actually 

occurred. They are true success stories that 

show how relatively modest improvements led 

to significant reductions in accident rates.

Background

As part of the ongoing FMCSA safety management 

effort to reduce the number of vehicle accidents 

on highways, assistance by safety specialists 

in accident analysis and countermeasures 

planning is now an integral part of compliance 

reviews conducted by the FMCSA. Accident 

countermeasures are examples of defensive strategies 

designed to reduce preventable accidents.

Purpose

This section is designed to provide motor carriers 

and drivers with an introduction to the concepts of 

preventability analysis and accident countermeasures.

The material suggests practical measures that can be 

taken now to prevent accidents, though its main intent 

goes further. The core of the presentation is a series of 

case histories of successful countermeasures. These are 

true stories of industry successes in promoting highway 

safety. The case histories are presented, together with a 

guide called Determining Preventability of Accidents, 

to help readers analyze accidents and create strategies 

to keep similar accidents from happening in the future.

The FMCSA intends to stimulate thinking and 

discussion about accident prevention within the 

motor carrier industry. The preventability guide 

Accident Countermeasures
126

Education and Technical Assistance Program

Contents and attachments 

This section contains A Guide to Determining 

Preventability of Accidents and Accident 

Countermeasures: Success Stories. Attachments 

include an Accident Register form and a chart, 

Revenue Necessary to Pay for Accident Losses.

You are welcome to reproduce and distribute 

any of the materials in this booklet.

A Guide to Determining 

Preventability of Accidents

The heart of accident analysis is the determination 

of preventability, based on the facts furnished in the 

motor carrier’s recordable accident register, and from 

various other sources. These sources of information 

must be evaluated in light of all available facts that 

are pertinent to the cause of the accident. Digging 

out these facts from the information on these reports 

can be difficult in practice due to the limited data 

contained in some reports. But the information can 

be obtained in many instances by a detailed analysis 

and reconstruction of the accident sequence.

Each accident must be judged individually. Certain 

types will generally fall in the non-preventable 

category, and certain others, in the absence of 

extenuating circumstances and conditions, fall in 

the preventable category. The types of accidents 

listed below do not cover every accident that may 

occur, but they are intended to provide general 

guidance to assist in determining preventability.

Non-Preventable Accidents

Struck in Rear by Other Vehicle

Non-Preventable if:

➤ Driver’s vehicle was legally and properly parked

➤ Driver was proceeding in his/her own lane 

of traffic at a safe and lawful speed 

➤ Driver was stopped in traffic due to 

existing conditions or was stopped in 

compliance with traffic sign or signal or 

the directions of a police officer or other 

person legitimately controlling traffic 

➤ Driver was in proper lane waiting to make turn 

➤ Struck while parked

Non-preventable if:

➤ Driver was properly parked in a location 

where parking was permitted:

➤ Vehicle was stopped, parked, or left standing in 

accordance with Sections 392.21 and 392.22 of 

the Federal Motor Carrier Safety Regulations 

Preventable Accidents

Accidents at Intersections

Preventable if:

➤ Driver failed to control speed so that he/she 

could stop within available sight distance

➤ Driver failed to check cross-traffic and wait 

for it to clear before entering intersection 

➤ Driver pulled out from side street in 

the face of oncoming traffic 

➤ Driver collided with person, vehicle, or 

object while making right or left turn 

➤ Driver collided with vehicle making 

turn in front of him/her 

Striking Other Vehicle in Rear

Preventable if:

➤ Driver failed to maintain safe following distance 

and have his/her vehicle under control

➤ Driver failed to keep track of traffic 

conditions and did not slow down 

➤ Driver failed to ascertain whether vehicle 

ahead was moving slowly, stopped, 

or slowing down for any reason 

➤ Driver misjudged rate of overtaking 

➤ Driver came too close before pulling out to pass 

➤ Driver failed to wait for vehicle ahead to 

move into the clear before starting up 

➤ Driver failed to leave sufficient room for 

passing vehicle to get safely back in line 
127

A Motor Carrier’s Guide to Improving Highway Safety

Sideswipe and Head-on Collisions

Preventable if:

➤ Driver was not entirely in his/her 

proper lane of travel

➤ Driver did not pull to right and slow down 

or stop for vehicle encroaching on his/her 

lane of travel when such action could have 

been taken without additional danger

Struck in Rear by Other Vehicle

Preventable if:

➤ Driver was passing slower traffic near an 

intersection and had to make sudden stop

➤ Driver made sudden stop to park, load, or unload 

➤ Vehicle was improperly parked 

➤ Driver rolled back into vehicle behind 

them while starting on grade 

Squeeze Plays and Shutouts

Preventable if:

➤ Driver failed to yield right-of-way 

when necessary to avoid accident

Backing Accidents

Preventable if:

➤ Driver backed up when backing could have been 

avoided by better planning of his/her route

➤ Driver backed into traffic stream when 

such backing could have been avoided 

➤ Driver failed to get out of cab and check 

proposed path of backward travel 

➤ Driver depended solely on mirrors when 

it was practicable to look back 

➤ Driver failed to get out of cab periodically and 

recheck conditions when backing a long distance 

➤ Driver failed to check behind vehicle parked at 

curb before attempting to leave parking space 

➤ Driver relied solely on a guide to help him/her back 

➤ Driver backed from blind side when he/she 

could have made a sight-side approach

Accident Involving Rail 

Operated Vehicles

Preventable if:

➤ Driver attempted to cross tracks 

directly ahead of train or streetcar

➤ Driver ran into side of train or streetcar 

➤ Driver stopped or parked on or too close to tracks

Accidents While Passing

Preventable if:

➤ Driver passed where view of road ahead 

was obstructed by hill, curve, vegetation, 

traffic, adverse weather conditions, etc.

➤ Driver attempted to pass in the face 

of closely approaching traffic 

➤ Driver failed to warn driver of vehicle being passed 

➤ Driver failed to signal change of lanes 

➤ Driver pulled out in front of other 

traffic overtaking from rear 

➤ Driver cut in too short while returning to right lane

Accidents While Being Passed

Preventable if:

➤ Driver failed to stay in his own lane and hold 

speed or reduce it to permit safe passing

Accidents While Entering Traffic Stream

Preventable if:

➤ Driver failed to signal when pulling out from curb

➤ Driver failed to check traffic before 

pulling out from curb 

➤ Driver failed to look back to check traffic 

if he/she was in position where mirrors 

did not show traffic conditions 

➤ Driver attempted to pull out in a manner that 

forced other vehicle(s) to change speed or direction 

➤ Driver failed to make full stop before entering 

from side street, alley, or driveway 

➤ Driver failed to make full stop 

before crossing sidewalk 

➤ Driver failed to yield right of way 

to approaching traffic

Accident Countermeasures
128

Education and Technical Assistance Program

Pedestrian Accidents

Preventable if:

➤ Driver did not reduce speed in area 

of heavy pedestrian traffic

➤ Driver was not prepared to stop 

➤ Driver failed to yield right of way to pedestrian 

Mechanical Defects Accidents

Preventable if:

➤ Defect was of a type that driver should 

have detected in making pre-trip or 

enroute inspection of vehicle

➤ Defect was of a type that driver should have 

detected during the normal operation of the vehicle 

➤ Defect was caused by driver’s abusive 

handling of the vehicle 

➤ Defect was known to driver, but ignored 

➤ Driver was instructed to operate with known defect

All Types of Accidents

Preventable if:

➤ Driver was not operating at a speed suitable for the 

existing conditions of road, weather, and traffic

➤ Driver failed to control speed so that he/she 

could stop within assured clear distance 

➤ Driver misjudged available clearance 

➤ Driver failed to yield right-of-way to avoid accident 

➤ Driver failed to accurately observe 

existing conditions 

➤ Driver was in violation of company operating 

rules or special instructions, the regulations 

of any Federal or State regulatory agency, or 

any applicable traffic laws or ordinances.
129

A Motor Carrier’s Guide to Improving Highway Safety

Accident Countermeasures

COUNTERMEASURE:

 The Safety Specialist discussed the findings 

with management and recommended 

the carrier’s vehicles be rerouted until 

the construction was complete.

(Countermeasures Manual Case No.

A11-Planning Schedules, Loads and Routes) 

The carrier realized that it could not 

continue with the increased level of accidents for another six months and 

agreed with the recommendation. Although the new route was approximately 

30 miles more each way, the benefit of reducing accidents outweighed this.

CASE # 1.

An Oregon-based carrier transporting 

wood chips from the coast to the Eugene 

area began to have an unusual number 

of accidents. An analysis by the Safety 

Specialist revealed that the majority of 

the accidents occurred on a three-mile 

stretch of the route being used. This 

two-lane road was narrow, winding, and 

frequented by tourists in summer; and 

plagued with fog, ice, and snow in winter.

Further investigation revealed that for 

the past eight months construction had 

been underway along the three-mile 

stretch - about the same time the accidents 

had been happening. The highway 

department indicated that construction 

would continue for another six months.

COUNTERMEASURE:

The Safety Specialist reminds the carrier that a commercial 

motor vehicle which has a seat belt assembly installed 

at the driver’s seat shall not be driven unless the driver 

has properly restrained himself/herself with the seat belt 

assembly. Failure to do so could result in a citation.

(Countermeasures Manual Case No. A8-Company Driver Manuals) 

The carrier agreed and, in addition, instructed guards at 

each terminal gate to check drivers before leaving to ensure 

they were complying with the company’s policy. This simple 

solution, which had been overlooked by everyone, turned 

out to be the key in reducing this type of injury to zero.

CASE # 2. 

An Illinois-based produce hauler 

was experiencing a high number of 

driver injuries resulting in a large 

number of workman compensation 

claims. A Safety Specialist’s review 

of the accidents revealed that drivers 

were wrenching their necks inside 

their cabovers (vs. conventional 

cabs) when passing over bumps in 

the road. The drivers were being 

thrown unexpectedly out of their 

seats and into the windshield 

or ceiling of their tractors. The 

cabovers were identified as being 

the primary source of these 

incidents - the driver’s seat is 

located directly over the front 

wheels and provides little resistance 

or cushion to reduce the impact of 

bumps in the road to the driver.

Accident Countermeasures: 

Success Stories 

References in parentheses are to cases in the 

Commercial Vehicle Preventable Accident Manual 

(Countermeasures Manual).
130

Education and Technical Assistance Program

COUNTERMEASURE:

The Safety Specialist discussed the situation with management 

and recommended that the carrier change the time its 

drivers were being dispatched. The carrier agreed with the 

recommendation and immediately began to dispatch drivers 

an hour earlier or an hour later in order to avoid driving over 

the hill at sunset. This change eliminated the accidents.

CASE # 4.

A Utah-based carrier, which 

conducts the majority of its 

business west of the Mississippi 

River, was experiencing a 

high number of accidents.

After discussion with some drivers 

and management officials, an 

analysis by the Safety Specialist 

revealed that a high number of 

accidents occurred during the 

same time of day on a threeto-five mile section of a certain 

interstate, heading west. Apparently, 

drivers were being blinded as 

they came over the crest of a 

very large hill at sunset.

COUNTERMEASURE:

The Safety Specialist recommended to the carrier that it 

should begin holding safety meetings sometime in April and 

provide each driver with a one-page handout in the period 

prior to the start of these meetings to keep them alert.

(Countermeasures Manual Case No.

A7-Fleet Safety Program and Supervision) 

This simple solution turned out to be the key in reducing 

these accidents to zero. When the Safety Director was 

asked why he had never noticed this problem, he replied 

“This was right there in front of me, but I just never had 

the time to sit down and look at it in this manner!”

CASE # 3.

An Indiana-based school bus 

contractor was experiencing a high 

number of accidents caused by 

driver inattention. After examining 

all of the carrier’s accidents, the 

Safety Specialist determined 

that they all were occurring 

during the month of June. The 

Safety Specialist also came to the 

conclusion that no specific driver 

or vehicle was responsible for 

the accidents. It seemed that the 

drivers, in general, were becoming 

inattentive because summer was 

near and they were anticipating 

the end of the school year. Further 

analysis revealed that the Safety 

Director held two safety meetings 

a year with the drivers, one in 

September and another in February.
131

A Motor Carrier’s Guide to Improving Highway Safety

Accident Countermeasures

COUNTERMEASURE:

 The Safety Specialist recommended the installation of brake 

and turn signal lights at the top of the carrier’s trailers.

(Countermeasures Manual Case No. B6-Turning Left and Right)

(Countermeasures Manual Case No.

C10-Vehicle lighting and Conspicuity) 

This reduced accidents almost immediately.

CASE # 5.

During a review of a large Indianabased household goods carrier that 

operates over 5,000 tractor-trailers, 

a Safety Specialist discovered that 

the carrier was experiencing a high 

number of rear-end collisions. Some 

of these accidents caused damage to 

the extent that they were reportable 

to the DOT. Most, however, were 

of a lesser amount but still added 

to the carrier’s cost of operation.

COUNTERMEASURE:

The Safety Specialist discussed the findings with 

the carrier and recommended the installation of 

turn signals at a higher level on trailers.

(Countermeasures Manual Case No. B6-Turning Left and Right) 

(Countermeasures Manual Case No.

C10-Vehicle Lighting and Conspicuity) 

The carrier agreed and also applied signs to the back of each 

trailer, on the right side, warning of wide turns. Accidents 

dropped dramatically over a very short period of time.

CASE # 6.

During a review of a Washingtonbased grocery company, operating 

over 100 tractor trailers primarily 

in urban areas, the Safety Specialist 

discovered an accident pattern - an 

inordinate number of right turn 

accidents. Some of the accidents 

caused damage to the extent that 

they were reportable to DOT.

Most, however, caused damages 

in a lesser amount but still added 

to the carrier’s cost of operation.

COUNTERMEASURE:

 The Safety Specialist recommended the carrier 

require drivers to attend a safety meeting.

(Countermeasures Manual Case No.

A7-Fleet Safety Program and Supervision)

(Countermeasures Manual Case No. A9-Driver Training Aids) 

To promote attendance, the carrier scheduled ten Saturday 

meetings in various locations and required all drivers to attend one. Drivers 

were paid to attend the meetings and coffee and doughnuts were provided.

The safety meeting consisted of approximately four hours of training on the 

Federal Motor Carrier Safety Regulations, driving in adverse conditions, 

and other general safety information. Within a short period of time, the 

company records indicated a 60 percent reduction in accidents.

CASE # 7.

During a recent review, a 

Washington-based carrier that 

operates over 2,400 tractor trailers 

west of the Mississippi River was 

found to have a high number of 

loss-of-control accidents during 

adverse driving conditions.
132

Education and Technical Assistance Program

COUNTERMEASURE:

The Safety Specialist recommended that the carrier 

implement a safe driver recognition/incentive program 

and a driver training program geared to avoiding accident 

situations and to driving in adverse weather conditions.

(Countermeasures Manual Case No.

A3-Safe Driving Recognition)

(Countermeasures Manual Case No.

A4-Driver Safety Infractions)

(Countermeasures Manual Case No. A7-Fleet Safety Program and Supervision)

(Countermeasures Manual Case No. B11-Driving in Adverse Conditions)

The carrier agreed with the recommendations, and now holds quarterly safety meetings 

with 95 percent driver participation. Any driver who attended the previous meeting 

and was accident free during the quarter receives a $150 U.S. Savings Bond. The 

carrier also, implemented a driver training program and classroom instruction on 

accident situations and driving in adverse weather conditions. After the carrier took this 

proactive stance, its accident rate improved from 0.88 to 0.37 over 12 months.

CASE # 9.

A Missouri-based farm commodity 

and hazardous material transporter was 

experiencing a high number of accidents.

Examination of all its accidents revealed 

that they occurred during bad weather 

and that the majority of them were caused 

by drivers who were not paying attention 

to the road conditions (that is, they were 

driving too fast for the weather).

COUNTERMEASURE:

 The Safety Specialist recommended that each 

driver attend a safety meeting, and that a safety 

notice be distributed to all drivers requiring them 

to assist each other during backing maneuvers.

(Countermeasures Manual Case No.

A7-Fleet Safety Program and Supervision)

(Countermeasures Manual Case No.

A9-Driving Training Aid) 

(Countermeasures Manual Case No.

B3-Start-Up/Back-Up)

The carrier agreed with the suggestion and required every driver to attend a safety meeting (meetings 

were held on several Saturdays to allow attendance by all). Drivers were paid overtime and coffee 

and donuts were furnished. The meeting contained about four hours of training on proper procedures 

for backing. In addition, a safety notice was distributed in driver’s paychecks instructing them 

to assist each other during backing maneuvers. Backing accidents dropped quickly, and because 

of increased driver awareness, there was a reduction in other types of accidents as well.

CASE # 8.

An Oregon-based produce hauler, generally running 

from Portland to Los Angeles was having a very 

high number of backing accidents. Considering 

the areas in which they were required to load and 

unload, the carrier had not found the number of 

accidents unusual. An analysis by the Safety Specialist 

revealed that the carrier was using qualified but 

relatively inexperienced drivers in sleeper teams.

They were paid for load/unload time whether they 

actually had to do the work or not. Although most 

of the backing accidents involved damage costing 

less than $1,000, one dock worker had been crushed 

between a trailer and the dock, which emphasized 

the danger inherent in backing accidents.
133

A Motor Carrier’s Guide to Improving Highway Safety

Accident Countermeasures

COUNTERMEASURE:

After further discussion among management officials, the carrier 

developed a program that was based on the three accident types 

that were occurring most frequently. Each accident type was 

assigned a different color dot sticker: red, blue, and yellow.

The number one accident situation (right turns) was assigned 

a red dot sticker. The number two accident situation (backing) 

was assigned a blue dot sticker The number three accident 

(right lane change) was assigned a yellow dot sticker. The dots 

were placed on the right side mirror of the motor carrier’s 

vehicle as a safety reminder to drivers who had accidents.

The carrier also placed a large red sticker halfway back on the 

side of trailers to aid drivers when making right turns. If a driver 

could not see the colored sticker in the right side mirror, then 

he/she had not pulled far enough out to execute the turn.

After implementing the program, the carrier began 

to see accident numbers starting to decrease considerably.

After a few months, however, the carrier became lax in seeing that the dots 

remained affixed. Accident rates started to rise again. The Safety Director states 

that the carrier now makes sure that when a unit comes through the shop, the 

safety dots are checked and replaced if needed. Other carriers could easily copy 

this program to meet their own company’s most frequent accident situations.

CASE # 11.

An Illinois-based carrier that 

operates over 200 tractor trailers 

was experiencing a high number 

of accidents. An analysis by the 

carrier’s Safety Director revealed 

that the majority of these accidents 

fell into three main categories.

The carrier was experiencing: 

➤ too many right turn accidents 

➤ too many backing accidents 

➤ too many right lane 

change accidents

COUNTERMEASURE:

After further discussion with management officials, 

the Safety Specialist recommended that the carrier 

change the time the drivers were being paid. The 

carrier agreed with the recommendation and began 

paying the drivers at the end of the day. The change 

forced drivers to cash their paychecks after work 

while off-duty, and eliminated the accidents.

CASE # 10.

A city-based carrier that operates over 30 delivery 

trucks was experiencing a high number of accidents.

An analysis by the Safety Specialist revealed that 

a majority of accidents occurred within a two to 

three block area downtown every Thursday between 

nine and ten in the morning. The analysis also 

revealed that drivers were paid every Thursday 

morning, and that a number of banks are located 

within the problem area. Apparently, after they 

were paid in the morning, drivers would stop at 

the banks while on-duty to cash their paychecks.

Driving in this highly congested area during 

rush hour placed both the driver and vehicle in 

extremely unfavorable conditions. Cashing the 

checks during the morning rush hour traffic 

was placing both the driver and vehicle in the 

worst possible place at the busiest time of the 

day and led to the high number of accidents.
134

Education and Technical Assistance Program

COUNTERMEASURE:

According to researchers here and in Europe, 

use of front and rear running lights during 

daylight hours would save lives and prevent 

injuries, since many crashes are caused by 

poor visibility. These running lights can be:

➤ special additional lights; 

➤ reduced-intensity headlights for daytime use; or 

➤ high-intensity parking lights.

In Finland, researchers found that, during a sixyear period, the use of daytime running lights in 

winter reduced daytime crashes by 21 percent. In 

Sweden, results were similar: crashes decreased by 

11 percent. Finland, Sweden, and Denmark now 

require all drivers to use daytime running lights.

In 1989, Canada passed legislation requiring that 

all new cars, trucks, vans, and buses be equipped 

with front lights that turn on whenever the engine 

is running. According to James White of Transport 

Canada, about 20 percent of all drivers voluntarily 

use running lights in the daytime. By 1994, he said, 

enough new vehicles will be on the road to bring 

the total to two in five vehicles with lights on in the 

daytime.

Of course, all of these countries are in the north 

where it can be relatively dark much of the day in the 

winter. What about here in the United States? Some 

States already require the use of headlights just after 

sunrise, before sunset, or whenever visibility is poor.

New York recently passed a law requiring the use of 

low-beam headlights whenever it rains, snows, sleets, 

or hails. Any time one has windshield wipers on in 

New York, headlights must be switched on or the 

driver risks being ticketed for an equipment violation 

(a $100 fine).

In one study, the Insurance Institute of Highway 

Safety (a research organization supported in part by 

the insurance industry) equipped 2,000 trucks and 

vans with automatic daytime running lights for a 

year. Crashes decreased by 13 percent in bad weather 

and 7 percent at other times - less than the reduction 

shown in several European studies but enough to lend 

support to the use of daytime running lights.

A government study completed in April 1990 showed 

that, in light levels equivalent to early morning 

or twilight, drivers were able to see vehicles with 

running lights sooner than those with no lights. The 

lights improved visibility and provided drivers going 

55 miles per hour with about three extra seconds to 

brake or take other action to prevent a crash. Several 

car makers, including General Motors, Chrysler, 

Ford, and Volvo, voiced support for daytime running 

lights as a way to decrease highway deaths and 

injuries. General Motors has filed a petition with the 

National Highway Traffic Safety Administration for 

clearance to install daytime running lights.

Daytime running lights won’t affect gas mileage by 

much: for every $10 spent on gas, they would cost an 

extra nickel (0.5 percent, according to a study by the 

Canadian government). Some people may object that 

these daytime lights can be blinding for other drivers, 

especially when reflected in rearview mirrors and 

for older drivers. One government study indicated 

that glare in the rearview mirror during daytime 

could be a problem, though the age of the driver 

was not a significant factor. The right intensity for 

running lights under different conditions “should be 

considered” in recommending lamp design, the study 

concluded.

Meanwhile, it makes good safety sense to 

switch on low-beam headlights in adverse 

weather conditions, at daybreak, dusk, and 

on dark and overcast winter afternoons.

CASE # 12.

Motor carriers in California and Tennessee have 

recently experienced accidents involving the 

driver’s inability to see other vehicles because of 

poor visibility (specifically, in fog or dust storms).

Forms to Use

Shown on following pages and 

available at Web address as shown:

135 . . . . . . . . . . .Accident Register: 

http://www.fmcsa.dot.gov/

documents/forms/form_1.pdf

136 . . . . . . . . . . .Revenue Necessary 

To Pay For Accident Losses: 

http://www.fmcsa.dot.gov/documents/

forms/revenue_necessary.pdf
135
136

REVENUE NECESSARY TO PAY FOR ACCIDENT LOSSES

This table shows the dollars of revenue required to pay for different amounts of costs for accidents.

REVENUE REQUIRED TO COVER LOSSES

Accident costs consist of any /or all of the following:

• Vehicle Damage

• Loss of Revenue

• Administrative Costs

• Police Reports

• Cargo Damage

• Possible Effects on Cost of Insurance

• Possible Effect on Cost of Workmen’s Compensation Insurance

• Towing

• Storage of Damaged Vehicle

• Damage to Customer Relationships

• Legal Fees

• Customer’s Loss of Revenue Directly Attributable to Accident

YEARLY 

ACCIDENT 

COSTS

VS. PROFIT MARGIN

1% 2% 3% 4% 5%

$1,000 $100,000 $50,000 $33,000 $25,000 $20,000

5,000 500,000 250,000 167,000 125,000 100,000

10,000 1,000,000 500,000 333,000 250,000 200,000

25,000 2,500,000 1,250,000 833,000 625,000 500,000

50,000 5,000,000 2,500,000 1,667,000 1,250,000 1,000,000

100,000 10,000,000 5,000,000 3,333,000 2,500,000 2,000,000

150,000 15,000,000 7,500,000 5,000,000 3,750,000 3,000,000

200,000 20,000,000 10,000,000 6,666,000 5,000,000 4,000,000

It is necessary for a motor carrier to generate an additional $1,250,000 of revenue to pay the 

cost of a $25,000 accident, assuming an average profit of 2%. The amount of revenue required 

to pay for losses will vary with the profit margin (as shown in chart below).
137

A Motor Carrier’s Guide to Improving Highway Safety

PART 1420

Motor Carrier Financial and Operation Statistics

The Bureau of Transportation Statistics’ Motor Carrier 

Financial and Operating Statistics (F&OS) Program 

collects annual and quarterly data from motor carriers 

of property and passengers that meet the applicability 

requirements listed in the table below. The program 

collects balance sheet and income statement data along 

with information on tonnage, mileage, employees, 

transportation equipment, and other related items, 

but there are no explicit safety data items. The Motor 

Carrier F&OS forms are not currently a part of the 

FMCSA compliance review process. The F&OS data 

are used by the U.S. Department of Transportation, 

other government agencies, trucking associations, 

insurance companies, consultants, law firms, academia, 

trade publications, and others. Under 49 CFR 1420.10, 

unless otherwise provided by law, “the data contained 

in the report[s]...shall be made publicly available.”

Applicability

Any motor carrier of property, household goods, 

or passengers engaged in interstate, intrastate, and/

or foreign operations and with annual revenues of 

$3 million dollars or more must file annual and/or 

quarterly reports with the Bureau of Transportation 

Statistics, as required by 49 CFR 1420.

Requirements

As listed under 49 CFR 1420.

Exceptions

Motor Carriers that:

➤ are below the Class I or Class II revenue 

thresholds (see the worksheet for 

calculating carrier classification);

➤ are a private motor carrier; 

➤ are outside DOT jurisdiction; 

➤ do not hold DOT or ICC operating 

authority or have leased their operating 

authority to another carrier; 

➤ are in bankruptcy; or 

➤ have received an exemption from filing 

(see 49 CFR 1420.8 and 1420.9).

Please contact the Office of Motor Carrier 

Information, Bureau of Transportation Statistics 

at 202-366-2984 or 202-366-4023 for additional 

information about the Motor Carrier Financial 

and Operating Statistics Program.

Forms to Use

Shown on following pages and 

available at Web address as shown:

138-145 . . .Annual Report: 

http://www.fmcsa.dot.gov/forms/

reporting/InformationForFilers/

FormM_FMCSA_11_19_04.htm

146, 147 . .QFR: Class I - Motor Carriers of Property 

and Household Goods - Quarterly Report:

http://www.fmcsa.dot.gov/forms/

reporting/InformationForFilers/

FormQFR_FMCSA_11_19_04.htm

148, 149 . .MP-1: Quarterly and Annual Report - 

Motor Carriers of Passengers: 

http://www.fmcsa.dot.gov/forms/

reporting/InformationForFilers/

FormMP1_FMCSA_11_19_04.htm

150 . . . . . . . . . . .Online Registration Options: 

https://li-public.fmcsa.dot.gov/LIVIEW/

PKG_REGISTRATION.prc_option

Part 1420: Motor Carrier Financial and Operation Statistics

Type of 

Motor 

Carrier

Adjusted 

Annual 

Operating 

Revenue

Report(s) Due Date

Class I, 

Property

$10 million 

or greater

Form M, annual March 31

Form QFR, 

quarterly

30 days after 

the end of 

each quarter

Class II, 

Property

$3 - $10 

million Form M, annual March 31

Class I, 

Passenger

$5 million 

or greater

Form MP-1, 

annual and 

quarterly

March 31st 

and 30 days 

after the 

end of each 

quarter
138
139
140
141
142
143
144
145
146

U.S. Department of Transportation

Bureau of Transportation Statistics Class I — Motor Carriers of 

OMB No. 2139-0002: Approval Expires 5/31/2003 FORM QFR (3-25-99)

MOTOR CARRIER NO.

Name of Company

Trade or Doing Business As:

Street Address

ytiC etatS .oN enohpeleTedoC PIZ (Include Area code)

U.S. DOT NO.

( )

CONTACT (for purposes of this report)

eman tcatnoC eltiT .oN enohpeleT (Include Area code)

( )

MAILING ADDRESS (if different from above)

Mailing Address

ytiC etatS edoC PIZ

Name

MC number 

(if any)

U.S. DOT number 

(if any)

Parent

Affiliates

AFFILIATED 

COMPANIES:

QUARTER – Mark (X) ONE

1 2 3 4

IDENTIFICATION

Property and Household Goods

2002 

Quarterly Report
147

FORM M-1 (3-25-99)

c/o VISTRONIX, INC.

1970 CHAIN BRIDGE ROAD SUITE 1200

Operating Revenues

Operating Expenses

Net Income (Loss) Calculation

Operating Statistics (all carriers)

1. Freight operating revenue – intercity . . . . . . . . . . . . . . .

2. Household goods carrier operating revenue . . . . . . . . . .

3. Other operating revenue . . . . . . . . . . . . . . . . . . . . . . .

5. Freight operating expenses . . . . . . . . . . . . . . . . . . . . .

6. Household goods carrier operating expenses . . . . . . . .

7. Total Operating Expenses (Sum of lines 5 and 6) . . . . .

8. Net Operating Income (Loss) (Line 4 minus line 7) . . .

9. Net Non-Operating Income (Loss). . . . . . . . . . . . . .

10. Interest expenses - show as a positive number . . . . . . .

11. Ordinary income (loss) before taxes 

(Sum of lines 8 and 9 minus line 10) . . . . . . . . . . . . . . .

12. Total provision for income taxes, extraordinary items, 

effect of accounting changes, and other items . . . . . . .

13. Net Income (Loss) (Line 11 minus line 12) . . . . . . . . . .

14. Miles – intercity: highway . . . . . . . . . . . . . . . . . . . . . . .

15. Miles – intercity: rail, water, and air . . . . . . . . . . . . . . . .

16. Tons – intercity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

17. Total freight bills (shipments and/or loads) – intercity . . .

4. Total Operating Revenue (Sum of lines 1 through 3) . .

Certification – I hereby certify that this report was prepared by me or under my supervision, that I have examined

it, and that the items herein reported on the basis of my knowledge are correctly shown.

Name

Title

Signature

Date

$

$

$

$

$

$

$

$

$

$

$

$

$

Return the

completed

form to:

Phone:

Fax:

Email:

Web site:

(202) 366-4383

(703) 749-8480

mcs@bts.gov

www.bts.gov/mcs

— GENERAL INSTRUCTIONS —

• Use Generally Accepted Accounting Principles (GAAP)

• Report dollar values in whole dollars.

• Respond to each item. Use "0," "none," or "not

applicable" as appropriate.

• Explain any unusual items, such as large

differences between figures reported in the current

report and those for the preceding report.

• Use parentheses to indicate negative numbers.

MCLEAN, VA 22102

BUREAU OF TRANSPORTATION STATISTICS

U.S. DEPARTMENT OF TRANSPORTATION

OFFICE OF MOTOR CARRIER INFORMATION
148
149
150

Registration Options

Welcome to the online site for making sure that your Motor Carrier operation (truck and passenger carrier) 

is properly registered with the Federal Motor Carrier Safety Administration. Whether you need to register 

with us or make an update to an existing record, this site will help you get the job done.

All electronic transactions will require a valid credit card (American Express, Discover, Master Card, Visa.)

New or Additional Registration

m

I think I need to register with the FMCSA to get a uSDOT number, Operating Authority (MC/FF/

MX number), or CT number (Cargo Tank Facility).

(If you’re not sure, select this option, then “Continue” and the system will let you know).

Continue Filling Out Registration

m

use your registration tracking number and Personal Identifier (PIN) to continue filling in your 

registration (one of the following forms: MCS-150, MCS-150A, MCS-150B, OP-1, OP-1(P), OP1(FF), CT Registration, or update Operating Authority (MC/FF/MX number)).

m use your registration tracking number and Personal Identifier (PIN) to continue filling in your Form 

OP-2 application (commercial zone, Mexico domiciled).

Existing Registration Updates

m I need to update my uSDOT number registration information or file my biennial update.

m I need to update my MCS-150B / HM Safety Permit.

I was registered with the FMCSA and now want to restart my business by:

m a. Reapplying for a uSDOT number after revocation

m b. Requesting that my Operating Authority (MC/FF/MX number) be reinstated

m I want to update my Cargo Tank Facility registration statement information.

I want to notify the FMCSA that I am no longer in business

m Inactivate my uSDOT number

Other

m I want to request a copy of a document.

The following Existing Registration update transactions cannot be made using this system:

Operating Authority (MC/FF/MX number) Name changes

Operating Authority (MC/FF/MX number) Address changes

Operating Authority (MC/FF/MX number) Transfers

Operating Authority (MC/FF/MX number) Voluntary Revocations

Please contact FMCSA http://www.safersys.org/POCs.aspx if you need additional information or help.

•

•

•

•

Continue

fMcsA

Federal Motor Carrier

Safety Administration
151

A Motor Carrier’s Guide to Improving Highway Safety

Provisional certificate of registration means the 

registration under 49 CFR section 368.6 that the 

FMCSA grants to a Mexico-domiciled motor carrier 

to provide interstate transportation of property within 

the United States solely within the municipalities along 

the United States-Mexico border and the commercial 

zones of such municipalities. It is provisional because 

it will be revoked if the registrant does not demonstrate 

that it is exercising basic safety management 

controls during the safety monitoring period.

Provisional operating authority means the registration 

under 49 CFR section 365.507 that the FMCSA 

grants to a Mexico-domiciled motor carrier to 

provide interstate transportation within the United 

States beyond the municipalities along the United 

States-Mexico border and the commercial zones 

of such municipalities. It is provisional because it 

will be revoked if the registrant is not assigned a 

satisfactory safety rating following a compliance review 

conducted during the safety monitoring period.

Process for Obtaining a Certificate of 

Registration

This process applies to Mexico-domiciled motor 

carriers who wish to register to operate only in the 

municipalities in the United States on the U.S./

Mexico border or within the commercial zones of such 

municipalities. It also applies to Mexico-domiciled 

motor carriers that currently hold a Certificate of 

Registration from the former Interstate Commerce 

Commission, the Federal Highway Administration, 

the Office of Motor Carrier Safety or the FMCSA.

The process for obtaining a 

Certificate of Registration is 

comprised of three sub-processes:

➤ The application process

➤ The safety audit

➤ The performance monitoring

Application Process

The application process represents the first phase in a 

carrier’s efforts to obtain a Certificate of Registration 

to operate within the border commercial zones. To 

successfully complete the application process, a carrier 

must correctly complete and file the OP-2 application 

package, accompanied by an application fee.

An OP-2 Application package can be obtained by:

➤ Calling FMCSA’s information line at (800) 

832-5660 to have an application mailed

➤ Visiting the FMCSA web site at 

www.fmcsa.dot.gov/registration-licensing/

print-forms/print-forms.htm

Completing the Application

➤ The application package is printed in English and 

Spanish, but the carrier’s response must be written 

in English. It is very important that the carrier 

provides all required information and completes 

the application in its entirety before mailing it back.

Applications with missing information or fees will 

be returned to the carrier. Information provided on 

the application will be checked against a variety 

of U.S. and Mexican databases to ensure that the 

carrier is eligible for a Certificate of Registration.

Certificate For Mexico-Domiciled Carriers 

To Operate In the U.S. Commercial Zones 

Mexico-Domiciled Motor Carrier Operations within 

U.S. Municipalities and Commercial Zones on the U.S./

Mexico Border

Certificate For Mexico-Domiciled Carriers
152

Education and Technical Assistance Program

Filing the Application:

➤ Motor Carrier Identification Report 

(MCS-150) – A completed and signed Form 

MCS-150. The MCS-150 provides basic 

information about the carrier’s operation necessary 

to maintain FMCSA’s carrier census database.

➤ Designation of Agents for Process (Form BOC3) – A carrier must provide a signed and dated 

Form BOC-3, Designation of Agents for Service 

of Process, or use a process service agent who 

will electronically file the BOC-3 within 90 

days. The BOC-3 form must show the street 

addresses for the person(s) designated as the 

agent(s) for serving notices of enforcement action.

A process agent must be designated in each 

state in which the applicant may operate. The 

applicant may not begin operations unless the 

Form BOC-3 has been filed with the FMCSA.

➤ Filing Fee – Except for those carriers that 

have already paid the fee, a filing fee of $300 

for each type of registration requested (e.g.

contract, common or household goods) payable 

in U.S. dollars on a U.S. bank to the FMCSA 

by means of check, money order, or credit 

card must accompany the application.

The completed application, 

fee, and above mentioned 

documents should be sent to:

Federal Motor Carrier Safety Administration

MC-RIO

1200 New Jersey Avenue, SE

Washington, DC 20590

Proof of Insurance

The applicant does not have to submit evidence 

of insurance with the application. However, 

if the applicant is issued a Certificate of 

Registration, the following must be on each 

of its vehicles when crossing the border:

➤ A current DOT Form MCS-90

➤ Evidence of Insurance: The evidence of 

insurance must show either trip insurance 

coverage (24 hours or more coverage), 

or evidence of continuing insurance
153

A Motor Carrier’s Guide to Improving Highway Safety

Approval 

Applicants that have fully met the requirements for 

completing their OP-2 applications will be notified 

in writing by FMCSA that their application has 

been approved. The Carrier will also receive:

➤ A provisional certificate of Registration 

that allows the carrier to operate in the 

commercial zones for a period of 18 months

➤ A U.S. DOT number

Operating with a Provisional 

Certificate of Registration

FMCSA has implemented a safety monitoring 

system to help determine whether Mexicodomiciled carriers conducting operations between 

points in Mexico and the border commercial 

zones comply with the applicable safety 

regulations and conduct safe operations. The 

safety audit and performance monitoring are the 

primary components of safety monitoring.

Safety Audit

All Mexico-domiciled carriers seeking a permanent 

Certificate of Registration to operate in the border 

commercial zones must undergo and pass an 

FMCSA-conducted safety audit. The safety audit 

consists of a review of the carrier’s safety data, a 

review of requested motor carrier documents, and 

an interview session with the motor carrier’s safety 

official by a trained safety auditor. The following 

steps describe this aspect of the application process.

Preparing for the Safety Audit

Mexico-domiciled carriers seeking a permanent 

Certificate of Registration to operate in the border 

commercial zones must receive and pass an FMCSA 

Safety Audit within the 18-month provisional period.

FMCSA recommends that a Mexico-domiciled carrier 

obtain FMCSA’s Educational and Technical Assistance 

package on the internet at: http://www.fmcsa.dot.gov/

safety-security/eta/index.htm (English) or www.fmcsa.

dot.gov/espanol/english/eta_index.htm (Spanish).

Certificate For Mexico-Domiciled Carriers
154

Education and Technical Assistance Program

Objective of Safety Audit

The objective of the safety audit is to both educate the 

carrier on compliance with the FMCSRs and HMRs 

and to determine areas where the carrier might be 

deficient in terms of compliance. The safety auditor 

will use a series of questions regarding the carrier’s 

safety management practices and safety performance 

to ensure that all applicable acute and critical areas 

of the FMCSRs and HMRs are addressed. Areas 

covered include the qualification of drivers, driving 

a motor vehicle, hours of service, inspection, repair, 

and maintenance, transporting and marking hazardous 

materials, controlled substance and alcohol use and 

testing, commercial driver’s license standards, and 

financial responsibility. At the end of the audit, the 

carrier will receive a report listing any deficiencies that 

may have been found along with recommendations 

for correcting those deficiencies. FMCSA will notify 

the carrier of the results of the audit (Pass or Fail) 

within 45 days after completion of the audit.

Passing the Audit

If the safety audit reveals that the carrier is in 

compliance with the FMCSRs and has basic safety 

management controls in place that are functioning 

adequately, the carrier will receive a passing 

score. The Mexico-domiciled carrier’s provisional 

Certificate of Registration will remain in place and 

its performance will be closely monitored by the 

FMCSA until the end of the 18-month period.

Failing the Audit

If a carrier fails the audit due to severe safety problems, 

the lack of adequate safety management controls, and/

or non-compliance with the FMCSRs, FMCSA will 

notify the carrier that it will suspend its registration 

effective 15 days after the service date of the notice 

unless the carrier demonstrates, within 10 days, 

that the safety audit contained material error. If the 

carrier fails to show a material error in the safety 

audit, FMCSA will then issue an Order suspending 

the carrier’s provisional Certificate of Registration 

and notify the carrier that unless it presents evidence 

of necessary corrective action within 30 days from 

the service date of the Order, the carrier’s provisional 

Certificate of Registration would be revoked.

Safety Monitoring System for 

Mexico-Domiciled Carriers

Safety Monitoring System (385.103)

➤ Each Mexico-domiciled carrier operating 

in the United States will be subject to an 

oversight program to monitor its compliance 

with applicable Federal Motor Carrier Safety 

Regulations (FMCSRs), Federal Motor 

Vehicle Safety Standards (FMVSSs), and 

Hazardous Materials Regulations (HMRs).

➤ Each Mexico-domiciled carrier granted 

provisional operating authority must have on 

every commercial motor vehicle it operates 

in the United States a current decal attesting 

to a satisfactory inspection by a Commercial 

Vehicle Safety Alliance (CVSA) inspector.

➤ The FMCSA will conduct a safety audit 

on a Mexico-domiciled carrier within 18 

months after the FMCSA issues the carrier 

a provisional Certificate of Registration.

➤ The FMCSA will conduct a compliance 

review on a Mexico-domiciled carrier within 

18 months after the FMCSA issues the 

carrier provisional operating authority.

Each Mexico-domiciled carrier that receives 

provisional operating authority or a provisional 

Certificate of Registration will be subject to intensified 

monitoring through frequent roadside inspections.

Roadside Performance Monitoring

During the 18-month period following issuance of a 

provisional Certificate of Registration or provisional 

Operating Authority, the FMCSA will track and 

assess the safety performance of Mexico-domiciled 

carriers on U.S. highways through a comprehensive 

roadside performance monitoring system. The 

major aspects of that system are presented below.
155

A Motor Carrier’s Guide to Improving Highway Safety

Certificate For Mexico-Domiciled Carriers

Expedited Action (385.105)

A Mexico-domiciled motor carrier committing 

any 49 CFR section 385.105 violations identified 

through roadside inspections or by any other means, 

may be subjected to an expedited safety audit or 

compliance review, or may be required to submit a 

written response demonstrating corrective action:

➤ Using drivers not possessing, or operating 

without a valid Commercial Driver’s License 

(CDL) or Licencia Federal de Conductor (LF);

➤ Operating vehicles that have been placed outof-service (OOS) for Commercial Vehicle 

Safety Alliance (CVSA) OOS violations 

without making the required repairs; 

➤ Involvement in, due to carrier act or 

omission, a hazardous materials (HM) 

incident within the U.S. involving highway 

route controlled quantity of certain HM; 

➤ Involvement in, due to carrier act or 

omission, two or more hazardous 

materials incidents within the U.S.; 

➤ Using a driver who tests positive for 

drugs or alcohol or who refuses to submit 

to required drug or alcohol tests; 

➤ Operating within the U.S. a motor vehicle that 

is not insured as required by 49 CFR Part 387; 

➤ Having a driver or vehicle OOS rate of at 

least 50% based upon three inspections 

within a consecutive 90-day period.

Failure to respond to an agency demand for a written 

response demonstrating corrective action within 30 

days will result in the suspension of the carrier’s 

provisional operating authority or provisional 

Certificate of Registration until the required showing 

of corrective action is submitted to the FMCSA.

A satisfactory response to a written demand 

for corrective action does not excuse a carrier 

from the requirement that it undergo a safety 

audit or compliance review, as appropriate, 

during the provisional registration period.

Operating With a Permanent 

Operating Authority or a Permanent 

Certificate of Registration

Mexico-domiciled carriers that demonstrate 

acceptable levels of safety performance and pass 

the safety audit will be notified that their operating 

authority or Certificate of Registration has become 

permanent at the end of the 18-month provisional 

period. Once Mexico-domiciled carriers have 

been issued their operating authority or permanent 

Certificates of Registration, they will be subject 

to the same safety requirements and operational 

procedures applied to U.S. and Canadian carriers.
156

Education and Technical Assistance Program

NOTES:

FMCSA-ESO-08-003 December 2009