Attachment E: Title 49 CFR part 396, “Inspection, Repair, and Maintenance”

[Code of Federal Regulations]

[Title 49, Volume 5]

[Revised as of October 1, 2005]

From the U.S. Government Printing Office via GPO Access

[CITE: 49CFR396]

[Page 463-469]

TITLE 49--TRANSPORTATION

DEPARTMENT OF TRANSPORTATION

PART 396_INSPECTION, REPAIR, AND MAINTENANCE--Table of Contents

Sec.

396.1 Scope.

396.3 Inspection, repair, and maintenance.

396.5 Lubrication.

396.7 Unsafe operations forbidden.

396.9 Inspection of motor vehicles in operation.

396.11 Driver vehicle inspection report(s).

396.13 Driver inspection.

396.15 Driveaway-towaway operations and inspections.

396.17 Periodic inspection.

396.19 Inspector qualifications.

396.21 Periodic inspection recordkeeping requirements.

396.23 Equivalent to periodic inspection.

396.25 Qualifications of brake inspectors.

Authority: 49 U.S.C. 31133, 31136, and 31502; and 49 CFR 1.73.

Source: 44 FR 38526, July 2, 1979, unless otherwise noted.

Editorial Note: Nomenclature changes to part 396 appear at 66 FR

49874, Oct. 1, 2001.

Sec. 396.1 Scope.

General--Every motor carrier, its officers, drivers, agents,

representatives, and employees directly concerned with the inspection or

maintenance of motor vehicles shall comply and be conversant with the

rules of this part.

[44 FR 38526, July 2, 1979, as amended at 53 FR 18058, May 19, 1988]

Sec. 396.3 Inspection, repair, and maintenance.

(a) General. Every motor carrier shall systematically inspect,

repair, and

[[Page 464]]

maintain, or cause to be systematically inspected, repaired, and

maintained, all motor vehicles subject to its control.

(1) Parts and accessories shall be in safe and proper operating

condition at all times. These include those specified in part 393 of

this subchapter and any additional parts and accessories which may

affect safety of operation, including but not limited to, frame and

frame assemblies, suspension systems, axles and attaching parts, wheels

and rims, and steering systems.

(2) Pushout windows, emergency doors, and emergency door marking

lights in buses shall be inspected at least every 90 days.

(b) Required records--For vehicles controlled for 30 consecutive

days or more, except for a private motor carrier of passengers

(nonbusiness), the motor carriers shall maintain, or cause to be

maintained, the following record for each vehicle:

(1) An identification of the vehicle including company number, if so

marked, make, serial number, year, and tire size. In addition, if the

motor vehicle is not owned by the motor carrier, the record shall

identify the name of the person furnishing the vehicle;

(2) A means to indicate the nature and due date of the various

inspection and maintenance operations to be performed;

(3) A record of inspection, repairs, and maintenance indicating

their date and nature; and

(4) A record of tests conducted on pushout windows, emergency doors,

and emergency door marking lights on buses.

(c) Record retention. The records required by this section shall be

retained where the vehicle is either housed or maintained for a period

of 1 year and for 6 months after the motor vehicle leaves the motor

carrier's control.

[44 FR 38526, July 2, 1979, as amended at 48 FR 55868, Dec. 16, 1983; 53

FR 18058, May 19, 1988; 59 FR 8753, Feb. 23, 1994; 59 FR 60324, Nov. 23,

1994]

Sec. 396.5 Lubrication.

Every motor carrier shall ensure that each motor vehicle subject to

its control is--

(a) Properly lubricated; and

(b) Free of oil and grease leaks.

Sec. 396.7 Unsafe operations forbidden.

(a) General. A motor vehicle shall not be operated in such a

condition as to likely cause an accident or a breakdown of the vehicle.

(b) Exemption. Any motor vehicle discovered to be in an unsafe

condition while being operated on the highway may be continued in

operation only to the nearest place where repairs can safely be

effected. Such operation shall be conducted only if it is less hazardous

to the public than to permit the vehicle to remain on the highway.

Sec. 396.9 Inspection of motor vehicles in operation.

(a) Personnel authorized to perform inspections. Every special agent

of the FMCSA (as defined in appendix B to this subchapter) is authorized

to enter upon and perform inspections of motor carrier's vehicles in

operation.

(b) Prescribed inspection report. The Driver Vehicle Examination

Report shall be used to record results of motor vehicle inspections

conducted by authorized FMCSA personnel.

(c) Motor vehicles declared ``out of service.'' (1) Authorized

personnel shall declare and mark ``out of service'' any motor vehicle

which by reason of its mechanical condition or loading would likely

cause an accident or a breakdown. An ``Out of Service Vehicle'' sticker

shall be used to mark vehicles ``out of service.''

(2) No motor carrier shall require or permit any person to operate

nor shall any person operate any motor vehicle declared and marked ``out

of service'' until all repairs required by the ``out of service notice''

have been satisfactorily completed. The term ``operate'' as used in this

section shall include towing the vehicle, except that vehicles marked

``out of service'' may be towed away by means of a vehicle using a crane

or hoist. A vehicle combination consisting of an emergency towing

vehicle and an ``out of service'' vehicle shall not be operated unless

such combination meets the performance requirements of this subchapter

except for those conditions noted on the Driver Equipment Compliance

Check.

[[Page 465]]

(3) No person shall remove the ``Out of Service Vehicle'' sticker

from any motor vehicle prior to completion of all repairs required by

the ``out of service notice''.

(d) Motor carrier disposition. (1) The driver of any motor vehicle

receiving an inspection report shall deliver it to the motor carrier

operating the vehicle upon his/her arrival at the next terminal or

facility. If the driver is not scheduled to arrive at a terminal or

facility of the motor carrier operating the vehicle within 24 hours, the

driver shall immediately mail the report to the motor carrier.

(2) Motor carriers shall examine the report. Violations or defects

noted thereon shall be corrected.

(3) Within 15 days following the date of the inspection, the motor

carrier shall--

(i) Certify that all violations noted have been corrected by

completing the ``Signature of Carrier Official, Title, and Date Signed''

portions of the form; and

(ii) Return the completed roadside inspection form to the issuing

agency at the address indicated on the form and retain a copy at the

motor carrier's principal place of business or where the vehicle is

housed for 12 months from the date of the inspection.

(49 U.S.C. 3102; 49 CFR 1.48(b))

[44 FR 38526, July 2, 1979, as amended at 49 FR 38290, Sept. 28, 1984;

57 FR 40964, Sept. 8, 1992; 68 FR 56208, Sept. 30, 2003]

Sec. 396.11 Driver vehicle inspection report(s).

(a) Report required. Every motor carrier shall require its drivers

to report, and every driver shall prepare a report in writing at the

completion of each day's work on each vehicle operated and the report

shall 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

--Rear vision mirrors

--Coupling devices

--Wheels and rims

--Emergency equipment

(b) Report content. The report shall identify the vehicle and list

any defect or deficiency discovered by or reported to the driver which

would affect the safety of operation of the vehicle or result in its

mechanical breakdown. If no defect or deficiency is discovered by or

reported to the driver, the report shall so indicate. In all instances,

the driver shall sign the report. On two-driver operations, only one

driver needs to sign the driver vehicle inspection report, provided both

drivers agree as to the defects or deficiencies identified. If a driver

operates more than one vehicle during the day, a report shall be

prepared for each vehicle operated.

(c) Corrective action. Prior to requiring or permitting a driver to

operate a vehicle, every motor carrier or its agent shall repair any

defect or deficiency listed on the driver vehicle inspection report

which would be likely to affect the safety of operation of the vehicle.

(1) Every motor carrier or its agent shall certify on the original

driver vehicle inspection report which lists any defect or deficiency

that the defect or deficiency has been repaired or that repair is

unnecessary before the vehicle is operated again.

(2) Every motor carrier shall maintain the original driver vehicle

inspection report, the certification of repairs, and the certification

of the driver's review for three months from the date the written report

was prepared.

(d) Exceptions. The rules in this section shall not apply to a

private motor carrier of passengers (nonbusiness), a driveaway-towaway

operation, or any motor carrier operating only one commercial motor

vehicle.

[44 FR 38526, July 2, 1979, as amended at 45 FR 46425, July 10, 1980; 53

FR 18058, May 19, 1988; 59 FR 8753, Feb. 23, 1994; 63 FR 33279, June 18,

1998]

Sec. 396.13 Driver inspection.

Before driving a motor vehicle, the driver shall:

(a) Be satisfied that the motor vehicle is in safe operating

condition;

(b) Review the last driver vehicle inspection report; and

[[Page 466]]

(c) Sign the report, only if defects or deficiencies were noted by

the driver who prepared the report, to acknowledge that the driver has

reviewed it and that there is a certification that the required repairs

have been performed. The signature requirement does not apply to listed

defects on a towed unit which is no longer part of the vehicle

combination.

[44 FR 76526, Dec. 27, 1979, as amended at 48 FR 55868, Dec. 16, 1983;

63 FR 33280, June 18, 1998]

Sec. 396.15 Driveaway-towaway operations and inspections.

(a) General. Effective December 7, 1989, every motor carrier, with

respect to motor vehicles engaged in driveaway-towaway operations, shall

comply with the requirements of this part. Exception: Maintenance

records required by Sec. 396.3, the vehicle inspection report required

by Sec. 396.11, and the periodic inspection required by Sec. 396.17 of

this part shall not be required for any vehicle which is part of the

shipment being delivered.

(b) Pre-trip inspection. Before the beginning of any driveaway-

towaway operation of motor vehicles in combination, the motor carrier

shall make a careful inspection and test to ascertain that:

(1) The towbar or saddle-mount connections are properly secured to

the towed and towing vehicle;

(2) They function adequately without cramping or binding of any of

the parts; and

(3) The towed motor vehicle follows substantially in the path of the

towing vehicle without whipping or swerving.

(c) Post-trip inspection. Motor carriers shall maintain practices to

ensure that following completion of any trip in driveaway-towaway

operation of motor vehicles in combination, and before they are used

again, the towbars and saddle-mounts are disassembled and inspected for

worn, bent, cracked, broken, or missing parts. Before reuse, suitable

repair or replacement shall be made of any defective parts and the

devices shall be properly reassembled.

[44 FR 38526, July 2, 1979, as amended at 53 FR 49410, Dec. 7, 1988; 53

FR 49968, Dec. 12, 1988]

Sec. 396.17 Periodic inspection.

(a) Every commercial motor vehicle shall be inspected as required by

this section. The inspection shall include, at a minimum, the parts and

accessories set forth in appendix G of this subchapter.

Note: The term commercial motor vehicle includes each vehicle in a

combination vehicle. For example, for a tractor semitrailer, fulltrailer

combination, the tractor, semitrailer, and the fulltrailer (including

the converter dolly if so equipped) shall each be inspected.

(b) Except as provided in Sec. 396.23, a motor carrier shall

inspect or cause to be inspected all motor vehicles subject to its

control.

(c) A motor carrier shall not use a commercial motor vehicle unless

each component identified in appendix G has passed an inspection in

accordance with the terms of this section at least once during the

preceding 12 months and documentation of such inspection is on the

vehicle. The documentation may be:

(1) The inspection report prepared in accordance with paragraph

396.21(a), or

(2) Other forms of documentation, based on the inspection report

(e.g., sticker or decal), which contains the following information:

(i) The date of inspection;

(ii) Name and address of the motor carrier or other entity where the

inspection report is maintained;

(iii) Information uniquely identifying the vehicle inspected if not

clearly marked on the motor vehicle; and

(iv) A certification that the vehicle has passed an inspection in

accordance with Sec. 396.17.

(d) A motor carrier may perform the required annual inspection for

vehicles under the carrier's control which are not subject to an

inspection under Sec. 396.23(b)(1).

(e) In lieu of the self inspection provided for in paragraph (d) of

this section, a motor carrier may choose to have a commercial garage,

fleet leasing company, truck stop, or other similar commercial business

perform the inspection as its agent, provided that business operates and

maintains facilities appropriate for commercial vehicle inspections and

it employs qualified inspectors, as required by Sec. 396.19.

[[Page 467]]

(f) Vehicles passing roadside or periodic inspections performed

under the auspices of any State government or equivalent jurisdiction or

the FMCSA, meeting the minimum standards contained in appendix G of this

subchapter, will be considered to have met the requirements of an annual

inspection for a period of 12 months commencing from the last day of the

month in which the inspection was performed, except as provided in Sec.

396.23(b)(1).

(g) It shall be the responsibility of the motor carrier to ensure

that all parts and accessories not meeting the minimum standards set

forth in appendix G to this subchapter are repaired promptly.

(h) Failure to perform properly the annual inspection set forth in

this section shall cause the motor carrier to be subject to the penalty

provisions provided by 49 U.S.C. 521(b).

[53 FR 49410, Dec. 7, 1988; 53 FR 49968, Dec. 12, 1988, as amended at 54

FR 50725, Dec. 8, 1989]

Sec. 396.19 Inspector qualifications.

(a) It shall be the motor carrier's responsibility to ensure that

the individual(s) performing an annual inspection under Sec. 396.17 (d)

or (e) is qualified as follows:

(1) Understands the inspection criteria set forth in 49 CFR part 393

and appendix G of this subchapter and can identify defective components;

(2) Is knowledgeable of and has mastered the methods, procedures,

tools and equipment used when performing an inspection; and

(3) Is capable of performing an inspection by reason of experience,

training, or both as follows:

(i) Successfully completed a State or Federal-sponsored training

program or has a certificate from a State or Canadian Province which

qualifies the person to perform commercial motor vehicle safety

inspections, or

(ii) Have a combination of training and/or experience totaling at

least 1 year. Such training and/or experience may consist of:

(A) Participation in a truck manufacturer-sponsored training program

or similar commercial training program designed to train students in

truck operation and maintenance;

(B) Experience as a mechanic or inspector in a motor carrier

maintenance program;

(C) Experience as a mechanic or inspector in truck maintenance at a

commercial garage, fleet leasing company, or similar facility; or

(D) Experience as a commercial vehicle inspector for a State,

Provincial or Federal Government.

(b) Evidence of that individual's qualifications under this section

shall be retained by the motor carrier for the period during which that

individual is performing annual motor vehicle inpspections for the motor

carrier, and for one year thereafter. However, motor carriers do not

have to maintain documentation of inspector qualifications for those

inspections performed either as part of a State periodic inspection

program or at the roadside as part of a random roadside inspection

program.

[53 FR 49410, Dec. 7, 1988; 53 FR 49968, Dec. 12, 1988]

Sec. 396.21 Periodic inspection recordkeeping requirements.

(a) The qualified inspector performing the inspection shall prepare

a report which:

(1) Identifies the individual performing the inspection;

(2) Identifies the motor carrier operating the vehicle;

(3) Identifies the date of the inspection;

(4) Identifies the vehicle inspected;

(5) Identifies the vehicle components inspected and describes the

results of the inspection, including the identification of those

components not meeting the minimum standards set forth in appendix G to

this subchapter; and

(6) Certifies the accuracy and completeness of the inspection as

complying with all the requirements of this section.

(b)(1) The original or a copy of the inspection report shall be

retained by the motor carrier or other entity who is responsible for the

inspection for a period of fourteen months from the date of the

inspection report. The original or a copy of the inspection report shall

be retained where the vehicle is either housed or maintained.

[[Page 468]]

(2) The original or a copy of the inspection report shall be

available for inspection upon demand of an authorized Federal, State or

local official.

(3) Exception. Where the motor carrier operating the commercial

motor vehicles did not perform the commercial motor vehicle's last

annual inspection, the motor carrier shall be responsible for obtaining

the original or a copy of the last annual inspection report upon demand

of an authorized Federal, State, or local official.

[54 FR 50725, Dec. 8, 1989]

Sec. 396.23 Equivalent to periodic inspection.

(a) The motor carrier may meet the requirements of Sec. 396.17

through a State or other jurisdiction's roadside inspection program. The

inspection must have been performed during the preceding 12 months. In

using the roadside inspection, the motor carrier would need to retain a

copy of an annual inspection report showing that the inspection was

performed in accordance with the minimum periodic inspection standards

set forth in appendix G to this subchapter. When accepting such an

inspection report, the motor carrier must ensure that the report

complies with the requirements of Sec. 396.21(a).

(b)(1) If a commercial motor vehicle is subject to a mandatory State

inspection program which is determined by the Administrator to be as

effective as Sec. 396.17, the motor carrier shall meet the requirement

of Sec. 396.17 through that State's inspection program. Commercial

motor vehicle inspections may be conducted by State personnel, at State

authorized commercial facilities, or by the motor carrier under the

auspices of a State authorized self-inspection program.

(2) Should the FMCSA determine that a State inspection program, in

whole or in part, is not as effective as Sec. 396.17, the motor carrier

must ensure that the periodic inspection required by Sec. 396.17 is

performed on all commercial motor vehicles under its control in a manner

specified in Sec. 396.17.

[53 FR 49410, Dec. 7, 1988; 53 FR 49968, Dec. 12, 1988, as amended at 60

FR 38749, July 28, 1995]

Sec. 396.25 Qualifications of brake inspectors.

(a) The motor carrier shall ensure that all inspections,

maintenance, repairs or service to the brakes of its commercial motor

vehicles, are performed in compliance with the requirements of this

section.

(b) For purposes of this section, brake inspector means any employee

of a motor carrier who is responsible for ensuring all brake

inspections, maintenance, service, or repairs to any commercial motor

vehicle, subject to the motor carrier's control, meet the applicable

Federal standards.

(c) No motor carrier shall require or permit any employee who does

not meet the minimum brake inspector qualifications of Sec. 396.25(d)

to be responsible for the inspection, maintenance, service or repairs of

any brakes on its commercial motor vehicles.

(d) The motor carrier shall ensure that each brake inspector is

qualified as follows:

(1) Understands the brake service or inspection task to be

accomplished and can perform that task; and

(2) Is knowledgeable of and has mastered the methods, procedures,

tools and equipment used when performing an assigned brake service or

inspection task; and

(3) Is capable of performing the assigned brake service or

inspection by reason of experience, training or both as follows:

(i) Has successfully completed an apprenticeship program sponsored

by a State, a Canadian Province, a Federal agency or a labor union, or a

training program approved by a State, Provincial or Federal agency, or

has a certificate from a State or Canadian Province which qualifies the

person to perform the assigned brake service or inspection task

(including passage of Commercial Driver's License air brake tests in the

case of a brake inspection); or

(ii) Has brake-related training or experience or a combination

thereof totaling at least one year. Such training or experience may

consist of:

(A) Participation in a training program sponsored by a brake or

vehicle manufacturer or similar commercial

[[Page 469]]

training program designed to train students in brake maintenance or

inspection similar to the assigned brake service or inspection tasks; or

(B) Experience performing brake maintenance or inspection similar to

the assigned brake service or inspection task in a motor carrier

maintenance program; or

(C) Experience performing brake maintenance or inspection similar to

the assigned brake service or inspection task at a commercial garage,

fleet leasing company, or similar facility.

(e) No motor carrier shall employ any person as a brake inspector

unless the evidence of the inspector's qualifications, required under

this section is maintained by the motor carrier at its principal place

of business, or at the location at which the brake inspector is

employed. The evidence must be maintained for the period during which

the brake inspector is employed in that capacity and for one year

thereafter. However, motor carriers do not have to maintain evidence of

qualifications to inspect air brake systems for such inspections

performed by persons who have passed the air brake knowledge and skills

test for a Commercial Driver's License.

[56 FR 491, Jan. 7, 1991]