Waiver and Exemption Requirements

Forms and Documents

Document Name	Status
30-day FR for Waiver and Exemption Requirements.pdf Supplementary Document	2021-12-21
60-day FR for Waiver and Exemption Requirements.pdf Supplementary Document	2021-12-21
Attachment B - Final Rule, Waivers, Exemptions and Pilot Programs 69 FR 51589 August 20, 2004.pdf Supplementary Document	2021-11-24
Attachment A - Final Rule, Waivers, Exemptions and Pilot Programs 63 FR 67600 December 8, 1998.pdf Supplementary Document	2021-11-24
ICR Waiver and Exemption ICR Supporting Statement Updated 11-23-2021.docx Supporting Statement A	2021-11-24

IC Document Collections

IC ID	Document Title	Status
250450	IC-3.3: The individual, motor carrier, State, or SDLA emails accident report to FMCSA.	New
250449	IC-3.2: The individual, motor carrier, State, or SDLA makes a copy and files the exemption application and other related documents.	New
250448	IC-3.1: The individual, motor carrier, State, or SDLA submits an exemption application to FMCSA providing all of the information in § 381.310.	New
250447	IC-2.3: The individual, motor carrier, State, or SDLA emails accident report to FMCSA.	New
250446	IC-2.2: The individual, motor carrier, State, or SDLA makes a copy and files the exemption application and other related documents.	New
250445	IC-2.1: The individual, motor carrier, State, or SDLA submits an exemption application to FMCSA providing all of the information in § 381.310.	New
250444	IC-1.3: The individual, motor carrier, State, or SDLA carrier or individual emails accident report to FMCSA.	New
250443	IC-1.2: The individual, motor carrier, State, or SDLA makes a copy and files the waiver application and other related documents.	New
250442	IC-1.1: The individual, motor carrier, State, or SDLA submits a waiver application to FMCSA providing all of the information in § 381.210.	New

ICR Details

OMB Control No:	ICR Reference No: 202111-2126-005
Status: Received in OIRA	Previous ICR Reference No:
Agency/Subagency: DOT/FMCSA	Agency Tracking No:
Title: Waiver and Exemption Requirements
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 02/04/2022

	Requested	Previously Approved
Expiration Date	36 Months From Approved
Responses	131	0
Time Burden (Hours)	97	0
Cost Burden (Dollars)	0	0

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Abstract: This is a request for approval of a new collection of information covering non-medical waivers and exemptions. The ICR estimates the burden an individual, motor carrier, State, or SDLA incurs to comply with the mandatory reporting tasks required for requesting waivers and exemptions in 49 CFR part 381. The FMCSRs require a motor carrier or individual seeking relief from one or more regulations to submit their request for a waiver or an exemption in writing. Section 4007 of TEA-21 requires that the terms and conditions for all waivers and exemptions likely achieve a level of safety equivalent to or greater than what would be achieved by complying with the safety regulations. To satisfy this statutory test, persons requesting waivers or applying for exemptions must present a credible alternative to the regulation and explain how that alternative would likely achieve an equivalent or greater level of safety. If the waiver or exemption request were less effective than the applicable regulation, it would be difficult to demonstrate compliance with the statutory test. If there is insufficient information or data for FMCSA to conclude that the waiver or exemption would satisfy the statutory test, the agency must not grant the waiver or exemption. FMCSA requires an individual, motor carrier, State, or SDLA to comply with certain terms and conditions if they are granted an exemption under § 381.330. FMCSA applies to waivers the same terms and conditions for reporting accidents as it does for exemptions. Each applicant covered by a waiver must notify FMCSA, via email at [email protected], within 5 business days of any accident (as defined in 49 CFR 390.5), involving its drivers or CMVs operating under the terms of the waiver. Exemptions may be renewed upon request for subsequent 5-year periods. Exemption holders requesting a renewal must provide the same information as described in § 381.310. Each individual, motor carrier, State, or SDLA covered by an exemption must notify FMCSA via email at [email protected] within 5 business days of any accident (as defined in 49 CFR 390.5), involving the individual, motor carrier, or CMV operating under the terms of the exemption. IC-1 consists of three reporting and recordkeeping tasks an individual, motor carrier, State, or State Drivers Licensing Agency (SDLA) performs regarding the waiver application process required by § 381.210. IC-2 consists of three reporting and recordkeeping tasks an individual, motor carrier, State, or SDLA performs regarding the exemption application process required by § 381.310. IC-3 consists of the same three reporting and recordkeeping tasks an individual, motor carrier, State, or SDLA performs to renew an exemption regarding the exemption application process required by § 381.310. The annual information collection burden for respondents associated with this information collection is 95 hours with an associated cost of $8,476.

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Authorizing Statute(s): None

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	86 FR 45803	08/16/2021
30-day Notice:	Federal Register Citation:	Citation Date:
	86 FR 71704	12/17/2021
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 9

IC Title	Form No.	Form Name
IC-1.1: The individual, motor carrier, State, or SDLA submits a waiver application to FMCSA providing all of the information in § 381.210.
IC-1.2: The individual, motor carrier, State, or SDLA makes a copy and files the waiver application and other related documents.
IC-1.3: The individual, motor carrier, State, or SDLA carrier or individual emails accident report to FMCSA.
IC-2.1: The individual, motor carrier, State, or SDLA submits an exemption application to FMCSA providing all of the information in § 381.310.
IC-2.2: The individual, motor carrier, State, or SDLA makes a copy and files the exemption application and other related documents.
IC-2.3: The individual, motor carrier, State, or SDLA emails accident report to FMCSA.
IC-3.1: The individual, motor carrier, State, or SDLA submits an exemption application to FMCSA providing all of the information in § 381.310.
IC-3.2: The individual, motor carrier, State, or SDLA makes a copy and files the exemption application and other related documents.
IC-3.3: The individual, motor carrier, State, or SDLA emails accident report to FMCSA.

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ICR Summary of Burden

	Total Request	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	131	0	0	131	0	0
Annual Time Burden (Hours)	97	0	0	97	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: This increase in the Agency’s information collection burden is due to a new ICR, which requires a motor carrier or individual seeking relief from one or more of the FMCSRs to provide information for the Agency to consider and determine whether to grant or deny a proposed waiver or exemption request.

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 02/04/2022

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