DOT 49 CFR PART 365-2010 RULES GOVERNING APPLICATIONS FOR OPERATING AUTHORITY.pdf

1、41 Federal Motor Carrier Safety Administration, DOT 365.101 updated direct labor, including current governmental overhead, operations overhead and office general and admin-istrative costs. (4) Publication costs shall be ad-justed on the basis of known changes in the costs applicable to publication o

2、f material in the FEDERAL REGISTER or FMCSA Register. (This rounding procedures excludes copying, printing and search fees.) (e) Rounding of updated fees. Updated fees shall be rounded in the following manner: (1) Fees between $1 and $30 will be rounded to the nearest $1; (2) Fees between $30 and $1

3、00 will be rounded to the nearest $10; (3) Fees between $100 and $999 will be rounded to the nearest $50; and (4) Fees above $1,000 will be rounded to the nearest $100. PART 365RULES GOVERNING AP-PLICATIONS FOR OPERATING AUTHORITY Subpart AHow To Apply for Operating Authority Sec. 365.101 Applicatio

4、ns governed by these rules. 365.103 Modified procedure. 365.105 Starting the application process: Form OP1. 365.107 Types of applications. 365.109 FMCSA review of the application. 365.111 Appeals to rejections of the applica-tion. 365.113 Changing the request for authority or filing supplementary ev

5、idence after the application is filed. 365.115 After publication in the FMCSA Register. 365.117 Obtaining a copy of the application. 365.119 Opposed applications. 365.121 Filing a reply statement. 365.123 Applicant withdrawal. Subpart BHow To Oppose Requests for Authority 365.201 Definitions. 365.20

6、3 Time for filing. 365.205 Contents of the protest. 365.207 Withdrawal. Subpart CGeneral Rules Governing the Application Process 365.301 Applicable rules. 365.303 Contacting another party. 365.305 Serving copies of pleadings. 365.307 Replies to motions. 365.309 FAX filings. Subpart DTransfer of Oper

7、ating Rights Under 49 U.S.C. 10926 365.401 Scope of rules. 365.403 Definitions. 365.405 Applications. 365.407 Notice. 365.409 FMCSA action and criteria for ap-proval. 365.411 Responsive pleadings. 365.413 Procedures for changing the name or business form of a motor carrier, freight forwarder, or pro

8、perty broker. Subpart ESpecial Rules for Certain Mexico-Domiciled Carriers 365.501 Scope of rules. 365.503 Application. 365.505 Re-registration and fee waiver for certain applicants. 365.507 FMCSA action on the application. 365.509 Requirement to notify FMCSA of change in applicant information. 365.

9、511 Requirement for CVSA inspection of vehicles during first three consecutive years of permanent operating authority. APPENDIX A TO SUBPART EEXPLANATION OF PRE-AUTHORIZATION SAFETY AUDIT EVAL-UATION CRITERIA FOR MEXICO-DOMICILED MOTOR CARRIERS AUTHORITY: 5 U.S.C. 553 and 559; 16 U.S.C. 1456; 49 U.S

10、.C. 13101, 13301, 1390113906, 14708, 31138, and 31144; 49 CFR 1.73. EFFECTIVE DATE NOTE: At 75 FR 35328, June 22, 2010, the authority citation to part 365 was revised, effective March 21, 2011. For the convenience of the user, the revised text is set forth as follows: AUTHORITY: 5 U.S.C. 553 and 559

11、; 49 U.S.C. 13101, 13301, 1390113906, 14708, 31138, and 31144; 49 CFR 1.73. SOURCE: 59 FR 63728, Dec. 9, 1994, unless otherwise noted. Redesignated at 61 FR 54707, Oct. 21, 1996. EDITORIAL NOTE: Nomenclature changes to part 365 appear at 66 FR 49870, Oct. 1, 2001. Subpart AHow To Apply for Operating

12、 Authority 365.101 Applications governed by these rules. These rules govern the handling of applications for operating authority of the following type: (a) Applications for certificates and permits to operate as a motor common VerDate Mar2010 08:20 Dec 16, 2010 Jkt 220216 PO 00000 Frm 00051 Fmt 8010

13、 Sfmt 8010 Y:SGML220216.XXX 220216jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-42 49 CFR Ch. III (10110 Edition) 365.103 or contract carrier of property or pas-sengers. (b) Applications for permits to oper-ate as

14、a freight forwarder. (c) Reserved (d) Applications for licenses to oper-ate as a broker of motor vehicle trans-portation. (e) Applications for certificates under 49 U.S.C. 13902(b)(3) to operate as a motor carrier of passengers in intra-state commerce over regular routes if such intrastate transport

15、ation is to be provided on a route over which the car-rier provides interstate transportation of passengers. (f) Reserved (g) Applications for temporary motor carrier authority. (h) Applications for Mexico-domiciled motor carriers to operate in foreign commerce as common, contract or pri-vate motor

16、carriers of property (includ-ing exempt items) between Mexico and all points in the United States. Under NAFTA Annex I, page I-U-20, a Mexico- domiciled motor carrier may not pro-vide point-to-point transportation services, including express delivery services, within the United States for goods othe

17、r than international cargo. (i) Applications for non-North Amer-ica-domiciled motor carriers to operate in foreign commerce as for-hire motor carriers of property and passengers within the United States. 59 FR 63728, Dec. 9, 1994, as amended at 60 FR 63981, Dec. 13, 1995; 62 FR 49940, Sept. 24, 1997

18、; 67 FR 12714, Mar. 19, 2002; 67 FR 61820, Oct. 2, 2002; 73 FR 76488, Dec. 16, 2008; 74 FR 2901, Jan. 16, 2009 365.103 Modified procedure. The FMCSA will handle licensing ap-plication proceedings using the modi-fied procedure, if possible. The appli-cant and protestants send statements made under oa

19、th (verified statements) to each other and to the FMCSA. There are no personal appearances or formal hearings. 365.105 Starting the application proc-ess: Form OP1. (a) Each applicant must file the ap-propriate form in the OP1 series. Form OP1 must be filed when request-ing authority to operate as a

20、motor property carrier, a broker of general freight, or a broker of household goods; Form OP1(P) must be filed when re-questing authority to operate as a motor passenger carrier; Form OP 1(FF) must be filed when requesting authority to operate as a freight for-warder; Form OP1(MX) must be filed by a

21、 Mexico-domiciled motor property, including household goods, carrier, or a motor passenger carrier requesting au-thority to operate within the United States; and effective December 16, 2009. Form OP1(NNA) must be filed by a non-North America-domiciled motor property, including household goods, carri

22、er or a motor passenger carrier re-questing authority to operate within the United States. A separate filing fee in the amount set forth at 49 CFR 360.3(f)(1) is required for each type of authority sought. (b) Obtain forms at a FMCSA Divi-sion Office in each State or at one of the FMCSA Service Cent

23、ers. Addresses and phone numbers for the Division Of-fices and Service Centers can be found at: http:/www.fmcsa.dot.gov/aboutus/ fieldoffices. The forms and information about filing procedures can be downloaded at: http:/ www.fmcsa.dot.gov/factsfigs/formspubs; and from the do-it-yourself website at:

24、 http:/www.diy.dot.gov. 66 FR 49870, Oct. 1, 2001, as amended at 67 FR 12714, Mar. 19, 2002; 67 FR 61820, Oct. 2, 2002; 73 FR 76488, Dec. 16, 2008 365.107 Types of applications. (a) Fitness applications. Motor prop-erty applications and certain types of motor passenger applications require only the

25、finding that the applicant is fit, willing and able to perform the in-volved operations and to comply with all applicable statutory and regulatory provisions. These applications can be opposed only on the grounds that appli-cant is not fit e.g., is not in compli-ance with applicable financial respon

26、si-bility and safety fitness requirements. These applications are: (1) Motor common and contract car-rier of property (except household goods) , Mexican motor property car-riers that perform private carriage and transport exempt items, and motor contract carrier of passengers trans-portation. VerDat

27、e Mar2010 08:20 Dec 16, 2010 Jkt 220216 PO 00000 Frm 00052 Fmt 8010 Sfmt 8010 Y:SGML220216.XXX 220216jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-43 Federal Motor Carrier Safety Administration, DOT 365.109 (2) Mot

28、or carrier brokerage of gen-eral commodities (except household goods). (3) Certain types of motor passenger applications as described in Form OP 1 (P). (b) Motor passenger public interest applications as described in Form OP 1 (P). (c) Intrastate motor passenger appli-cations under 49 U.S.C. 13902(b

29、)(3) as described in Form OP1, Schedule B. (d) Motor common carrier of house-hold goods applications, including Mexican carrier applicants. These ap-plications require a finding that: (1) The applicant is fit, willing, and able to provide the involved transpor-tation and to comply with all applica-b

30、le statutory and regulatory provi-sions; and (2) The service proposed will serve a useful public purpose, responsive to a public demand or need. (e) Motor contract carrier of house-hold goods, household goods property broker, and freight forwarder applica-tions. These applications require a finding

31、that: (1) The applicant is fit, willing, and able to provide the involved transpor-tation and to comply with all applica-ble statutory and regulatory provi-sions; and (2) The transportation to be provided will be consistent with the public in-terest and the national transportation policy of 49 U.S.C

32、. 13101. (f) Temporary authority (TA) for motor and water carriers. These appli-cations require a finding that there is or soon will be an immediate transpor-tation need that cannot be met by ex-isting carrier service. (g) In view of the expedited time frames established in this part for processing

33、requests for permanent au-thority, applications for TA will be en-tertained only in exceptional cir-cumstances (i.e., natural disasters or national emergencies) when evidence of immediate service need can be specifi-cally documented in a narrative sup-plement appended to Form OP1 for motor property

34、carriers, Form OP1MX for Mexican property carriers and, Form OP1(P) for motor passenger car-riers. 59 FR 63728, Dec. 9, 1994, as amended at 60 FR 63981, Dec. 13, 1995; 62 FR 49940, Sept. 24, 1997; 67 FR 61820, Oct. 2, 2002 365.109 FMCSA review of the appli-cation. (a) FMCSA staff will review the ap-

35、plication for correctness, complete-ness, and adequacy of the evidence (the prima facie case). (1) Minor errors will be corrected without notification to the applicant. (2) Materially incomplete applica-tions will be rejected. Applications that are in substantial compliance with these rules may be a

36、ccepted. (3) All motor carrier applications will be reviewed for consistency with the FMCSAs operational safety fitness policy. Applicants with Unsatisfac-tory safety fitness ratings from DOT will have their applications rejected. (4) FMCSA staff will review com-pleted applications that conform with

37、 the FMCSAs safety fitness policy and that are accompanied by evidence of adequate financial responsibility. (5) Financial responsibility is indi-cated by filing within 20 days from the date an application notice is published in the FMCSA Register: (i) Form BMC91 or 91X or BMC 82 sur-ety bondBodily

38、injury and property damage (motor property and passenger carriers; household goods freight for-warders that provide pickup or delivery service directly or by using a local de-livery service under their control). (ii) Form BMC84Surety bond or Form BMC85trust fund agreement (property brokers of genera

39、l commod-ities and household goods). (iii) Form BMC34 or BMC 83 surety bondCargo liability (motor property common carriers and household goods freight forwarders). (6) Applicants also must submit Form BOC3designation of legal proc-ess agentswithin 20 days from the date an application notice is publi

40、shed in the FMCSA Register. (7) Applicants seeking to conduct op-erations for which tariffs are required may not commence such operations until tariffs are in effect. (8) All applications must be com-pleted in English. VerDate Mar2010 08:20 Dec 16, 2010 Jkt 220216 PO 00000 Frm 00053 Fmt 8010 Sfmt 80

41、10 Y:SGML220216.XXX 220216jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-44 49 CFR Ch. III (10110 Edition) 365.111 (b) A summary of the application will be published as a preliminary grant of authority in the FMCSA

42、Register to give notice to the public in case anyone wishes to oppose the application. 59 FR 63728, Dec. 9, 1994, as amended at 60 FR 63981, Dec. 13, 1995; 67 FR 61820, Oct. 2, 2002 EFFECTIVE DATE NOTE: At 75 FR 35328, June 22, 2010, 365.109 was amended by revising paragraph (a)(5)(iii), effective M

43、arch 21, 2011. For the convenience of the user, the revised text is set forth as follows: 365.109 FMCSA review of the application. (a) * * * (5) * * * (iii) Form BMC 34 or BMC 83 surety bond Cargo liability (household goods motor car-riers and household goods freight for-warders). * * * * * 365.111

44、Appeals to rejections of the application. (a) An applicant has the right to ap-peal rejection of the application. The appeal must be filed at the FMCSA within 10 days of the date of the letter of rejection. (b) If the appeal is successful and the filing is found to be proper, the appli-cation shall

45、be deemed to have been properly filed as of the decision date of the appeal. 365.113 Changing the request for au-thority or filing supplementary evi-dence after the application is filed. (a) Once the application is filed, the applicant may supplement evidence only with approval of the FMCSA. (b) Ame

46、ndments to the application generally are not permitted, but in ap-propriate instances may be entertained at the discretion of the FMCSA. 365.115 After publication in the FMCSA Register. (a) Interested persons have 10 days from the date of FMCSA Register publi-cation to file protests. See Subpart B o

47、f this part. (b) If no one opposes the application, the grant published in the FMCSA Reg-ister will become effective by issuance of a certificate, permit, or license. 365.117 Obtaining a copy of the ap-plication. After publication, interested persons may request a copy of the application by contacti

48、ng the FMCSA-designated contract agent (as identified in the FMCSA Register). 365.119 Opposed applications. If the application is opposed, oppos-ing parties are required to send a copy of their protest to the applicant. 365.121 Filing a reply statement. (a) If the application is opposed, ap-plicant

49、may file a reply statement. This statement is due within 20 days after FMCSA Register publication. (b) The reply statement may not con-tain new evidence. It shall only rebut or further explain matters previously raised. (c) The reply statement need not be notarized or verified. Applicant under-stands that the oath in the application form applies to all evidence submitted in the application. Separate lega