49 CFR Part 386 — Rules of Practice for FMCSA Proceedings

PART 386—RULES OF PRACTICE FOR FMCSA PROCEEDINGS Authority: 28 U.S.C. 2461 note; 49 U.S.C. 113, 1301 note, 31306a; 49 U.S.C. chapters 5, 51, 131-141, 145-149, 311, 313, and 315; and 49 CFR 1.81, 1.87. Source: 50 FR 40306, Oct. 2, 1985, unless otherwise noted. Editorial Note: Nomenclature changes to part 386 appear at 65 FR 7755, Feb. 16, 2000, and 88 FR 80182, Nov. 17, 2023. Subpart A—Scope of Rules; Definitions and General Provisions § 386.1 Scope of the rules in this part. (a) Except as provided in paragraph (c) of this section, the rules in this part govern proceedings before the Agency Decisionmaker under applicable provisions of the Federal Motor Carrier Safety Regulations (49 CFR parts 350-399), including the commercial regulations (49 CFR parts 360-379), and the Hazardous Materials Regulations (49 CFR parts 171-180). (b) The purpose of the proceedings is to enable the Assistant Administrator: (1) To determine whether a motor carrier, intermodal equipment provider (as defined in § 390.5 of this chapter), property broker, freight forwarder, or its agents, employees, or any other person subject to the jurisdiction of FMCSA, has failed to comply with the provisions or requirements of applicable statutes and the corresponding regulations; and (2) To issue an appropriate order to compel compliance with the statute or regulation, assess a civil penalty, or both, if such violations are found. (c)(1) The rules in § 386.12(a) govern the filing of a complaint of a substantial violation and the handling of the complaint by the appropriate Division Administrator. (2) The rules in § 386.12(b) govern the filing by a driver and the handling by the appropriate Division Administrator of a complaint of harassment in violation of § 390.36 of this subchapter. (3) The rules in § 386.12(c) govern the filing by a driver and the handling by the appropriate Division Administrator of a complaint of coercion in violation of § 390.6 of this subchapter. [73 FR 76819, Dec. 17, 2008, as amended at 80 FR 74709, Nov. 30, 2015; 81 FR 78381, Dec. 16, 2015; 81 FR 68347, Oct. 4, 2016; 88 FR 80182, Nov. 17, 2023] § 386.2 Definitions. Abate or abatement Administration Administrative adjudication Administrative law judge Agency Agency Counsel Agency Decisionmaker Broker Civil forfeiture proceedings Civil penalty proceedings Claimant Commercial regulations Default Department Docket Operations Driver qualification proceeding Federal Motor Carrier Commercial Regulations Field Administrator Final Agency Order FMCSRs Formal hearing Freight forwarder (1) Performs or provides for assembling, consolidating, break-bulk, and distribution of shipments; (2) Assumes responsibility for transportation from place of receipt to destination; and (3) Uses for any part of the transportation a carrier subject to FMCSA jurisdiction. Hearing officer HMRs Informal hearing Mail Motor carrier Notice of Claim Notice of Violation Person Reply See Petitioner Respondent Secretary Submission of written evidence without hearing [50 FR 40306, Oct. 2, 1985, as amended at 53 FR 2036, Jan. 26, 1988; 56 FR 10182, Mar. 11, 1991; 65 FR 7755, Feb. 16, 2000; 65 FR 78427, Dec. 15, 2000; 67 FR 61821, Oct. 2, 2002; 70 FR 28748, May 18, 2005; 72 FR 55701, Oct. 1, 2007; 78 FR 58481, Sept. 24, 2013; 86 FR 57071, Oct. 14, 2021; 88 FR 80182, Nov. 17, 2023] § 386.3 Separation of functions. (a) Civil penalty proceedings will be prosecuted by Agency Counsel who represent the Field Administrator. In Notices of Violation, the Field Administrator will be represented by Agency Counsel. (b) An Agency employee, including those listed in paragraph (c) of this section, engaged in the performance of investigative or prosecutorial functions in a civil penalty proceeding or in a proceeding under § 386.11, § 386.72, or § 386.73 may not, in that case or a factually related case, discuss or communicate the facts or issues involved with the Agency Decisionmaker, Administrative Law Judge, Hearing Officer, or others listed in paragraph (d) of this section, except as counsel or a witness in the public proceedings. The prohibition in this paragraph (b) also includes the staff of those covered by this section. (c) The Deputy Chief Counsel, Assistant Chief Counsel for Enforcement and Litigation, and attorneys in the Enforcement and Litigation Division serve as enforcement counsel in the prosecution of all cases brought under this part. (d) The Chief Counsel, the Special Counsel to the Chief Counsel, and attorneys serving as Adjudications Counsel advise the Agency Decisionmaker regarding all cases brought under this Part. (e) Nothing in this part shall preclude Agency Decisionmakers or anyone advising an Agency Decisionmaker from taking part in a determination to launch an investigation or issue a complaint, or similar preliminary decision. [70 FR 28479, May 18, 2005, as amended at 86 FR 57071, Oct. 14, 2021] § 386.4 Appearances and rights of parties. (a) A party may appear in person, by counsel, or by other representative, as the party elects, in a proceeding under this subpart. (b) A person representing a party must file a notice of appearance in the proceeding, in the manner provided in § 386.7 of this subpart. The notice of appearance must list the name, address, telephone number, and facsimile number of the person designated to represent the party. A copy of the notice of appearance must be served on each party, in the manner provided in § 386.6 of this subpart. The notice of appearance must be filed and served before the representative can participate in the proceeding. Any changes in an attorney or representative's contact information must be served and filed according to §§ 386.6 and 386.7 in a timely manner. (c) A separate notice of appearance must be filed by a representative in each case. Blanket appearances on behalf of a party will not be accepted. [70 FR 28479, May 18, 2005] § 386.5 Form of filings and extensions of time. (a) Form. (b) Contents. (c) Length. (d) Paper and margins. 1/2 (e) Spacing, and font size for typewritten documents. (f) Extensions of time. [70 FR 28479, May 18, 2005, as amended at 77 FR 59826, Oct. 1, 2012] § 386.6 Service. (a) General. (b) Type of service. (c) Certificate of service. (d) Date of service. (e) Valid service. (f) Presumption of service. [70 FR 28480, May 18, 2005] § 386.7 Filing of documents. Address and method of filing. [70 FR 28480, May 18, 2005, as amended at 72 FR 55701, Oct. 1, 2007; 78 FR 58481, Sept. 24, 2013] § 386.8 Computation of time. (a) Generally. (b) Date of entry of orders. (c) Computation of time for delivery by mail. (2) Documents are not deemed filed until received by Docket Operations. (3) Whenever a party has a right or a duty to act or to make any response within a prescribed period after service by mail, or on a date certain after service by mail, 5 days will be added to the prescribed period. [70 FR 28480, May 18, 2005, as amended at 78 FR 58481, Sept. 24, 2013] Subpart B—Commencement of Proceedings, Pleadings § 386.11 Commencement of proceedings. (a) Driver qualification proceedings. (1) Such determination and letters must be accompanied by the following: (i) A citation of the regulation under which the action is being taken; (ii) A copy of all documentary evidence relied on or considered in taking such action, or in the case of voluminous evidence a summary of such evidence; (iii) Notice to the driver and motor carrier involved in the case that they may petition for review of the action; (iv) Notice that a hearing will be granted if the Agency Decisionmaker determines there are material factual issues in dispute; (v) Notice that failure to petition for review will constitute a waiver of the right to contest the action; and (vi) Notice that the burden or proof will be on the petitioner in cases arising under § 391.47 of this chapter. (2) At any time before the close of hearing, upon application of a party, the letter or determination may be amended at the discretion of the administrative law judge upon such terms as he/she approves. (b) Notice of Violation. i.e. (1) The specific alleged violations. (2) Any specific actions the Agency determines are appropriate to remedy the identified problems. (3) The means by which the notified person can inform the Agency that it has received the Notice of Violation and either has addressed the alleged violation or does not agree with the Agency's assertions in the Notice of Violation. (4) Any other relevant information. (c) Civil penalty proceedings. (1) Each Notice of Claim must contain the following: (i) A statement setting forth the facts alleged. (ii) A statement of the provisions of law allegedly violated by the respondent. (iii) The proposed civil penalty and notice of the maximum amount authorized to be claimed under statute. (iv) The time, form, and manner whereby the respondent may pay, contest, or otherwise seek resolution of the claim. (2) In addition to the information required by paragraph (c)(1) of this section, the Notice of Claim may contain such other matters as the Agency deems appropriate. (3) In proceedings for collection of civil penalties for violations of the motor carrier safety regulations under the Motor Carrier Safety Act of 1984, the Agency may require the respondent to post a copy of the Notice of Claim in such place or places and for such duration as the Agency may determine appropriate to aid in the enforcement of the law and regulations. [50 FR 40306, Oct. 2, 1985, as amended at 53 FR 2036, Jan. 26, 1988; 56 FR 10182, Mar. 11, 1991; 65 FR 7756, Feb. 16, 2000; 70 FR 28480, May 18, 2005; 78 FR 58481, Sept. 24, 2013; 86 FR 57071, Oct. 14, 2021] § 386.12 Complaints. (a) Complaint of substantial violation. http://nccdb.fmcsa.dot.gov or any FMCSA Division Administrator. (i) The name, address, and telephone number of the person who files it; (ii) The name and address of the alleged violator and, with respect to each alleged violator, the specific provisions of the regulations that the complainant believes were violated; and (iii) A concise but complete statement of the facts relied upon to substantiate each allegation, including the date of each alleged violation. (2) Upon the filing of a complaint of a substantial violation under paragraph (a)(1) of this section, the Division Administrator shall determine whether the complaint is non-frivolous and meets the requirements of paragraph (a)(1) of this section. If the Division Administrator determines the complaint is non-frivolous and meets the requirements of paragraph (a)(1), the Division Administrator shall investigate the complaint. The complainant shall be timely notified of findings resulting from the investigation. The Division Administrator shall not be required to conduct separate investigations of duplicative complaints. If the Division Administrator determines the complaint is frivolous or does not meet the requirements of paragraph (a)(1), the Division Administrator shall dismiss the complaint and notify the complainant in writing of the reasons for the dismissal. (3) Notwithstanding the provisions of 5 U.S.C. 552, the Division Administrator shall not disclose the identity of complainants unless it is determined that such disclosure is necessary to prosecute a violation. If disclosure becomes necessary, the Division Administrator shall take every practical means within the Division Administrator's authority to ensure that the complainant is not subject to coercion, harassment, intimidation, disciplinary action, discrimination, or financial loss as a result of such disclosure. (b) Complaint of harassment. http://nccdb.fmcsa.dot.gov (i) The driver's name, address, and telephone number; (ii) The name and address of the motor carrier allegedly harassing the driver; and (iii) A concise but complete statement of the facts relied upon to substantiate each allegation of harassment, including: (A) How the ELD or other technology used in combination with and not separable from the ELD was used to contribute to harassment; (B) The date of the alleged action; and (C) How the motor carrier's action violated either § 392.3 or part 395. Each complaint may include any supporting evidence that will assist the Division Administrator in determining the merits of the complaint. (2) Upon the filing of a complaint of a violation under paragraph (b)(1) of this section, the appropriate Division Administrator shall determine whether the complaint is non-frivolous and meets the requirements of paragraph (b)(1) of this section. (i) If the Division Administrator determines the complaint is non-frivolous and meets the requirements of paragraph (b)(1) of this section, the Division Administrator shall investigate the complaint. The complaining driver shall be timely notified of findings resulting from the investigation. The Division Administrator shall not be required to conduct separate investigations of duplicative complaints. (ii) If the Division Administrator determines the complaint is frivolous or does not meet the requirements of paragraph (b)(1) of this section, the Division Administrator shall dismiss the complaint and notify the complainant in writing of the reasons for the dismissal. (3) Because prosecution of harassment in violation of § 390.36(b)(1) of this subchapter will require disclosure of the driver's identity, the Agency shall take every practical means within its authority to ensure that the driver is not subject to coercion, harassment, intimidation, disciplinary action, discrimination, or financial loss as a result of the disclosure. This will include notification that 49 U.S.C. 31105 includes broad employee protections and that retaliation for filing a harassment complaint may subject the motor carrier to enforcement action by the Occupational Safety and Health Administration. (c) Complaint of coercion. http://nccdb.fmcsa.dot.gov (i) The driver's name, address, and telephone number; (ii) The name and address of the person allegedly coercing the driver; (iii) The provisions of the regulations that the driver alleges he or she was coerced to violate; and (iv) A concise but complete statement of the facts relied upon to substantiate each allegation of coercion, including the date of each alleged violation. (2) Action on complaint of coercion. (i) If the Division Administrator determines that the complaint is non-frivolous and meets the requirements of paragraph (c)(1) of this section, the Division Administrator shall investigate the complaint. The complaining driver shall be timely notified of findings resulting from such investigation. The Division Administrator shall not be required to conduct separate investigations of duplicative complaints. (ii) If the Division Administrator determines the complaint is frivolous or does not meet the requirements of paragraph (c)(1) of this section, the Division Administrator shall dismiss the complaint and notify the driver in writing of the reasons for the dismissal. (3) Protection of complainants. [80 FR 78381, Dec. 16, 2015, as amended at 88 FR 80182, Nov. 17, 2023] § 386.13 Petitions to review and request for hearing: Driver qualification proceedings. (a) Within 60 days after service of the determination under § 391.47 of this chapter or the letter of disqualification, the driver or carrier may petition to review such action. Such petitions must be submitted to the Agency Decisionmaker and must contain the following: (1) Identification of what action the petitioner wants overturned; (2) Copies of all evidence upon which petitioner relies in the form set out in § 386.49; (3) All legal and other arguments which the petitioner wishes to make in support of his/her position; (4) A request for oral hearing, if one is desired, which must set forth material factual issues believed to be in dispute; (5) Certification that the petition has been filed in accordance with § 386.6(c); and (6) Any other pertinent material. (b) Failure to submit a petition as specified in paragraph (a) of this section shall constitute a waiver of the right to petition for review of the determination or letter of disqualification. In these cases, the determination or disqualification issued automatically becomes the final decision of the Agency Decisionmaker 30 days after the time to submit the reply or petition to review has expired, unless the Agency Decisionmaker orders otherwise. (c) If the petition does not request a hearing, the Agency Decisionmaker may issue a final decision and order based on the evidence and arguments submitted. [50 FR 40306, Oct. 2, 1985, as amended at 78 FR 58481, Sept. 24, 2013] § 386.14 Reply. (a) Time for reply to the Notice of Claim. (b) Options for reply. (1) Paying the full amount asserted in the Notice of Claim in accordance with § 386.18 of this part; (2) Contesting the claim by requesting administrative adjudication pursuant to paragraph (d) of this section; or (3) Seeking binding arbitration in accordance with the Agency's program. Although the amount of the proposed penalty may be disputed, referral to binding arbitration is contingent upon an admission of liability that the violations occurred. (c) Failure to answer the Notice of Claim. (2) The default constitutes an admission of all facts alleged in the Notice of Claim and a waiver of respondent's opportunity to contest the claim. The default will be reviewed by the Agency Decisionmaker in accordance with § 386.64(b), and the Final Order may be vacated where a respondent demonstrates excusable neglect, a meritorious defense, or due diligence in seeking relief. (3) Failure to pay the civil penalty as directed in a Final Order that has become a Final Agency Order constitutes a violation of that order, subjecting the respondent to an additional penalty as prescribed in subpart G of this part. (d) Request for administrative adjudication. (1) Contents. (i) Must admit or deny each separately stated and numbered allegation of violation in the claim. A statement that the person is without sufficient knowledge or information to admit or deny will have the effect of a denial. Any allegation in the claim not specifically denied in the reply is deemed admitted. A mere general denial of the claim is insufficient and may result in a default being entered by the Agency Decisionmaker upon motion by the Field Administrator. (ii) Must include all known affirmative defenses, including those relating to jurisdiction, limitations, and procedure. (iii) Must state which one of the following options respondent seeks: (A) To submit written evidence without hearing; or (B) An informal hearing; or (C) A formal hearing. (2) [Reserved] [70 FR 28481, May 18, 2005, as amended at 88 FR 80182, Nov. 17, 2023] § 386.15 [Reserved] § 386.16 Action on replies to the Notice of Claim. (a) Requests to submit written evidence without a hearing. (1) Agency Counsel must serve all written evidence and argument in support of the Notice of Claim no later than 60 days following service of respondent's reply. The written evidence and argument must be served on the Agency Decisionmaker in accordance with §§ 386.6 and 386.7. The submission must include all pleadings, notices, and other filings in the case to date. (2) Respondent will, not later than 45 days following service of Agency Counsel's written evidence and argument, serve its written evidence and argument on the Agency Decisionmaker in accordance with §§ 386.6 and 386.7. (3) Agency Counsel may file a written response to respondent's submission. Any such submission must be filed within 20 days of service of respondent's submission. (4) All written evidence submitted by the parties must conform to the requirements of § 386.49. (5) Following submission of evidence and argument as outlined in this section, the Agency Decisionmaker may issue a Final Order based on the evidence and arguments submitted, or may issue any other order as may be necessary to adjudicate the matter. (b) Requests for hearing. (2) If a respondent requests a formal or informal hearing in its reply, the Field Administrator must serve upon the Agency Decisionmaker and respondent a notice of consent or objection with a basis to the request within 60 days of service of respondent's reply. Failure to serve an objection within the time allotted may result in referral of the matter to hearing. (3) Requests for formal hearing. (4) Requests for informal hearing. (A) Informal hearing granted. (B) Informal hearing denied. (C) Nothing in this section shall limit the Agency Decisionmaker's authority to refer any matter for formal hearing, even in instances where respondent seeks only an informal hearing. [70 FR 28481, May 18, 2005, as amended at 88 FR 80182, Nov. 17, 2023] § 386.17 Intervention. After the matter is called for hearing and before the date set for the hearing to begin, any person may petition for leave to intervene. The petition is to be served on the administrative law judge. The petition must set forth the reasons why the petitioner alleges he/she is entitled to intervene. The petition must be served on all parties in accordance with § 386.31. Any party may file a response within 10 days of service of the petition. The administrative law judge shall then determine whether to permit or deny the petition. The petition will be allowed if the administrative law judge determines that the final decision could directly and adversely affect the petitioner or the class he/she represents, and if the petitioner may contribute materially to the disposition of the proceedings and his/her interest is not adequately represented by existing parties. Once admitted, a petitioner is a party for the purpose of all subsequent proceedings. § 386.18 Payment of the claim. (a) Payment of the full amount claimed may be made at any time before issuance of a Final Agency Order and will constitute an admission of liability by the respondent of all facts alleged in the Notice of Claim, unless the parties agree in writing that payment shall not be treated as an admission. After the issuance of a Final Agency Order, claims are subject to interest, penalties, and administrative charges, in accordance with 31 U.S.C. 3717; 49 CFR part 89; and 31 CFR 901.9. (b) If respondent elects to pay the full amount as its response to the Notice of Claim, payment must be served upon the Field Administrator at the Service Center designated in the Notice of Claim within 30 days following service of the Notice of Claim. No written reply is necessary if respondent elects the payment option during the 30-day reply period. Failure to serve full payment within 30 days of service of the Notice of Claim when this option has been chosen may constitute a default and may result in the Notice of Claim, including the civil penalty assessed by the Notice of Claim, becoming the Final Agency Order in the proceeding pursuant to § 386.14(c). (c) Unless otherwise agreed in writing by the parties, payment of the full amount in response to the Notice of Claim constitutes an admission of liability by the respondent of all facts alleged in the Notice of Claim. Payment waives respondent's opportunity to further contest the claim and will result in the Notice of Claim becoming the Final Agency Order. [70 FR 28482, May 18, 2005, as amended at 77 FR 24870, Apr. 26, 2012] Subpart C—Settlement Agreements § 386.22 Settlement agreements and their contents. (a) Settlement agreements. (i) The statutory basis of the claim; (ii) A brief statement of the violations; (iii) The amount claimed and the amount paid; (iv) The date, time, and place and form of payment; (v) A statement that the agreement is not binding on the Agency until executed by the Field Administrator or his/her designee; (vi) A statement that failure to pay in accordance with the terms of the agreement or to comply with the terms of the agreement may result in the reinstatement of any penalties held in abeyance and may also result in the loss of any reductions in civil penalties asserted in the Notice of Claim, in which case the original amount asserted will be due immediately; and (vii) A statement that the agreement is the Final Agency Order. (2) A settlement agreement may contain any conditions, actions, or provisions agreed by the parties to redress the violations cited in the Notice of Claim or notice of violation. (3) A settlement agreement accepted and approved by the Agency Decisionmaker or Administrative Law Judge is a Final Agency Order which is binding on all parties according to its terms. Consent to a settlement agreement which has not yet been approved by the Agency Decisionmaker or Administrative Law Judge may not be withdrawn for a period of 30 days. (b) Civil penalty proceedings not before Agency Decisionmaker. (c) Civil penalty proceedings before Agency Decisionmaker. (d) Civil penalty proceedings before Administrative Law Judge (ALJ). (e) Civil penalty proceedings before Hearing Officer. [70 FR 28482, May 18, 2005, as amended at 78 FR 58481, Sept. 24, 2013] Subpart D—General Rules and Hearings § 386.30 Enforcement proceedings under part 395. (a) General. (b) Burden of proof. (c) Imputed knowledge of documents. [80 FR 78382, Dec. 16, 2015] § 386.31 Official notice. Upon notification to all parties, the Agency Decisionmaker or Administrative Law Judge may take official notice of any fact or document not appearing in evidence in the record. Any party objecting to the official notice must file an objection within 10 days after service of the notice. If a Final Order has been issued, and the decision rests on a material and disputable fact of which the Agency Decisionmaker has taken official notice, a party may challenge the action of official notice in accordance with § 386.64. [70 FR 28483, May 18, 2005, as amended at 88 FR 80183, Nov. 17, 2023] § 386.34 Motions. (a) General. (b) Form. (c) Answers. (d) Argument. (e) Disposition. (f) Suspension of time. [50 FR 40306, Oct. 2, 1985. Redesignated and amended at 70 FR 28483, May 18, 2005] § 386.35 Motions to dismiss and motions for a more definite statement. (a) Motions to dismiss must be made within the time set for reply or petition to review, except motions to dismiss for lack of jurisdiction, which may be made at any time. (b) Motions for a more definite statement may be made in lieu of a reply. The motion must point out the defects complained of and the details desired. If the motion is granted, the pleading complained of must be remedied within 15 days of the granting of the motion or it will be stricken. If the motion is denied, the party who requested the more definite statement must file his/her pleading within 10 days after the denial. [50 FR 40306, Oct. 2, 1985. Redesignated at 70 FR 28483, May 18, 2005] § 386.36 Motions for Final Order. (a) Generally. (b) Form and content. (2) The motion for final order must be accompanied by written evidence in accordance with § 386.49. (3) The motion will state with particularity the grounds upon which it is based and the substantial matters of law to be argued. A Final Order may be issued if, after reviewing the record in a light most favorable to the non-moving party, the Agency Decisionmaker determines no genuine issue exists as to any material fact. (c) Answer to Motion. [70 FR 28483, May 18, 2005, as amended at 88 FR 80183, Nov. 17, 2023] § 386.37 Discovery. (a) Parties may obtain discovery by one or more of the following methods: Depositions upon oral examination or written questions; written interrogatories; request for production of documents or other evidence for inspection and other purposes; physical and mental examinations; and requests for admission. (b) Discovery may not commence until the matter is pending before the Agency Decisionmaker or referred to the Office of Hearings. (c) Except as otherwise provided in these rules, in the Administrative Procedure Act, 5 U.S.C. 551 et seq., [70 FR 28483, May 18, 2005] § 386.38 Scope of discovery. (a) Unless otherwise limited by order of the Agency Decisionmaker or, in cases that have been called for a hearing, the administrative law judge, in accordance with these rules, the parties may obtain discovery regarding any matter, not privileged, which is relevant to the subject matter involved in the proceeding, including the existence, description, nature, custody, condition, and location of any books, documents, or other tangible things and the identity and location of persons having knowledge of any discoverable matter. (b) It is not ground for objection that information sought will not be admissible at the hearing if the information sought appears reasonably calculated to lead to the discovery of admissible evidence. (c) A party may obtain discovery of documents and tangible things otherwise discoverable under paragraph (a) of this section and prepared in anticipation of or for the hearing by or for another party's representative (including his or her attorney, consultant, surety, indemnitor, insurer, or agent) only upon a showing that the party seeking discovery has substantial need of the materials in the preparation of his or her case and that he or she is unable without undue hardship to obtain the substantial equivalent of the materials by other means. In ordering discovery of such materials when the required showing has been made, the Agency Decisionmaker or the administrative law judge shall protect against disclosure of the mental impressions, conclusions, opinions, or legal theories of an attorney or other representative of a party concerning the proceeding. § 386.39 Protective orders. Upon motion by a party or other person from whom discovery is sought, and for good cause shown, the Agency Decisionmaker or the administrative law judge, if one has been appointed, may make any order which justice requires to protect a party or person from annoyance, embarrassment, oppression, or undue burden or expense, including one or more of the following: (a) The discovery not be had; (b) The discovery may be had only on specified terms and conditions, including a designation of the time or place; (c) The discovery may be had only by a method of discovery other than that selected by the party seeking discovery; (d) Certain matters not relevant may not be inquired into, or that the scope of discovery be limited to certain matters; (e) Discovery be conducted with no one present except persons designated by the Agency Decisionmaker or the administrative law judge; or (f) A trade secret or other confidential research, development, or commercial information may not be disclosed or be disclosed only in a designated way. § 386.40 Supplementation of responses. A party who has responded to a request for discovery with a response that was complete when made is under no duty to supplement his/her response to include information thereafter acquired, except as follows: (a) A party is under a duty to supplement timely his/her response with respect to any question directly addressed to: (1) The identity and location of persons having knowledge of discoverable matters; and (2) The identity of each person expected to be called as an expert witness at the hearing, the subject matter on which he or she is expected to testify and the substance of his or her testimony. (b) A party is under a duty to amend timely a prior response if he or she later obtains information upon the basis of which: (1) he or she knows the response was incorrect when made; or (2) he or she knows that the response though correct when made is no longer true and the circumstances are such that a failure to amend the response is in substance a knowing concealment. (c) A duty to supplement responses may be imposed by order of the Agency Decisionmaker or the administrative law judge or agreement of the parties. § 386.41 Stipulations regarding discovery. Unless otherwise ordered, a written stipulation entered into by all the parties and filed with the Agency Decisionmaker or the administrative law judge, if one has been appointed, may: (a) Provide that depositions be taken before any person, at any time or place, upon sufficient notice, and in any manner, and when so taken may be used like other depositions, and (b) Modify the procedures provided by these rules for other methods of discovery. § 386.42 Written interrogatories to parties. (a) Without leave, any party may serve upon any other party written interrogatories to be answered by the party to whom the interrogatories are directed; or, if that party is a public or private corporation or partnership or association or governmental agency, by any officer or agent, who will furnish the information available to that party. (b) The maximum number of interrogatories served will not exceed 30, including all subparts, unless the Agency Decisionmaker or Administrative Law Judge permits a larger number on motion and for good cause shown. Other interrogatories may be added without leave, so long as the total number of approved and additional interrogatories does not exceed 30. (c) Each interrogatory shall be answered separately and fully in writing under oath unless it is objected to, in which event the grounds for objection shall be stated and signed by the party, or counsel for the party, if represented, making the response. The party to whom the interrogatories are directed shall serve the answers and any objections within 30 days after the service of the interrogatories, or within such shortened or longer period as the Agency Decisionmaker or the Administrative Law Judge may allow. (d) Motions to compel may be made in accordance with § 386.45. (e) A notice of discovery must be served on the Agency Decisionmaker or, in cases that have been referred to the Office of Hearings, on the Administrative Law Judge. A copy of the interrogatories, answers, and all related pleadings must be served on all parties to the proceeding. (f) An interrogatory otherwise proper is not necessarily objectionable merely because an answer to the interrogatory involves an opinion or contention that relates to fact or the application of law to fact, but the Agency Decisionmaker or Administrative Law Judge may order that such an interrogatory need not be answered until after designated discovery has been completed or until a prehearing conference or other later time. [70 FR 28483, May 18, 2005] § 386.43 Production of documents and other evidence; entry upon land for inspection and other purposes; and physical and mental examination. (a) Any party may serve on any other party a request to: (1) Produce and permit the party making the request, or a person acting on his or her behalf, to inspect and copy any designated documents, or to inspect and copy, test, or sample any tangible things which are in the possession, custody, or control of the party upon whom the request is served; or (2) Permit entry upon designated land or other property in the possession or control of the party upon whom the request is served for the purpose of inspection and measuring, photographing, testing, or for other purposes as stated in paragraph (a)(1) of this section. (3) Submit to a physical or mental examination by a physician. (b) The request may be served on any party without leave of the Agency Decisionmaker or administrative law judge. (c) The request shall: (1) Set forth the items to be inspected either by individual item or category; (2) Describe each item or category with reasonable particularity; (3) Specify a reasonable time, place, and manner of making the inspection and performing the related acts; (4) Specify the time, place, manner, conditions, and scope of the physical or mental examination and the person or persons by whom it is to be made. A report of examining physician shall be made in accordance with Rule 35(b) of the Federal Rules of Civil Procedure, title 28, U.S. Code, as amended. (d) The party upon whom the request is served shall serve on the party submitting the request a written response within 30 days after service of the request. (e) The response shall state, with respect to each item or category: (1) That inspection and related activities will be permitted as requested; or (2) That objection is made in whole or in part, in which case the reasons for objection shall be stated. (f) A copy of each request for production and each written response shall be served on all parties and filed with the Agency Decisionmaker or the administrative law judge, if one has been appointed. § 386.44 Request for admissions. (a) Request for admission. (2) Each matter for which an admission is requested shall be separately set forth and numbered. The matter is admitted unless within 15 days after service of the request, the party to whom the request is directed serves upon the party requesting the admission a written answer signed by the party or his/her attorney. (3) Each answer must specify whether the party admits or denies the matter. If the matter cannot be admitted or denied, the party shall set out in detail the reasons. (4) A party may not issue a denial or fail to answer on the ground that he/she lacks knowledge unless he/she has made reasonable inquiry to ascertain information sufficient to allow him/her to admit or deny. (5) A party may file an objection to a request for admission within 10 days after service. Such motion shall be filed with the administrative law judge if one has been appointed, otherwise it shall be filed with the Agency Decisionmaker. An objection must explain in detail the reasons the party should not answer. A reply to the objection may be served by the party requesting the admission within 10 days after service of the objection. It is not sufficient ground for objection to claim that the matter about which an admission is requested presents an issue of fact for hearing. (b) Effect of admission. (c) If a party refuses to admit a matter or the authenticity of a document which is later proved, the party requesting the admission may move for an award of expenses incurred in making the proof. Such a motion shall be granted unless there was a good reason for failure to admit. § 386.45 Motion to compel discovery. (a) If a deponent fails to answer a question propounded or a party upon whom a request is made pursuant to §§ 386.42 through 386.44, or a party upon whom interrogatories are served fails to respond adequately or objects to the request, or any part thereof, or fails to permit inspection as requested, the discovering party may move the Agency Decisionmaker or the administrative law judge, if one has been appointed, for an order compelling a response or inspection in accordance with the request. (b) The motion shall set forth: (1) The nature of the questions or request; (2) The response or objections of the party upon whom the request was served; and (3) Arguments in support of the motion. (c) For purposes of this section, an evasive answer or incomplete answer or response shall be treated as a failure to answer or respond. (d) In ruling on a motion made pursuant to this section, the Agency Decisionmaker or the administrative law judge, if one has been appointed, may make and enter a protective order such as he or she is authorized to enter on a motion made pursuant to § 386.39(a). § 386.46 Depositions. (a) When, how, and by whom taken. (2) Depositions may be taken by oral examination or upon written interrogatories before any person having power to administer oaths. (3) The parties may stipulate in writing or the Administrative Law Judge may upon motion order that a deposition be taken by telephone or other remote electronic means. (4) If a subpoena duces tecum is to be served on the person to be examined, the designation of the materials to be produced as set forth in the subpoena shall be attached to, or included in, the notice. (5) If the deposition is to be recorded by videotape or audiotape, the notice shall specify the method of recording. (b) Application. (c) Notice. (d) Depositions upon written questions. (e) Taking and receiving in evidence. (f) Witness limit. (g) Motion to terminate or limit examination. [70 FR 28484, May 18, 2005] § 386.47 Use of deposition at hearings. (a) Generally. (1) Any deposition may be used by any party for the purpose of contradicting or impeaching the testimony of the deponent as a witness. (2) The deposition of expert witnesses, particularly the deposition of physicians, may be used by any party for any purpose, unless the Agency Decisionmaker or administrative law judge rules that such use would be unfair or a violation of due process. (3) The deposition of a party or of anyone who at the time of taking the deposition was an officer, director, or duly authorized agent of a public or private organization, partnership, or association which is a party, may be used by any other party for any purpose. (4) The deposition of a witness, whether or not a party, may be used by any party for any purpose if the presiding officer finds: (i) That the witness is dead; or (ii) That the witness is out of the United States or more than 100 miles from the place of hearing unless it appears that the absence of the witness was procured by the party offering the deposition; or (iii) That the witness is unable to attend to testify because of age, sickness, infirmity, or imprisonment; or (iv) That the party offering the deposition has been unable to procure the attendance of the witness by subpoena; or (v) Upon application and notice, that such exceptional circumstances exist as to make it desirable, in the interest of justice and with due regard to the importance of presenting the testimony of witnesses orally in open hearing, to allow the deposition to be used. (5) If only part of a deposition is offered in evidence by a party, any other party may require him or her to introduce all of it which is relevant to the part introduced, and any party may introduce any other parts. (b) Objections to admissibility. (1) Objections to the competency of a witness or to the competency, relevancy or materiality of testimony are not waived by failure to make them before or during the taking of the deposition, unless the ground of the objection is one which might have been obviated or removed if presented at that time. (2) Errors and irregularities occurring at the oral examination in the manner of taking the deposition, in the form of the questions or answers, in the oath or affirmation, or in the conduct of parties and errors of any kind which might be obviated, removed, or cured if promptly presented, are waived unless reasonable objection thereto is made at the taking of the deposition. (3) Objections to the form or written interrogatories are waived unless served in writing upon the party propounding them. (c) Effect of taking using depositions. § 386.48 Medical records and physicians' reports. In cases involving the physical qualifications of drivers, copies of all physicians' reports, test results, and other medical records that a party intends to rely upon shall be served on all other parties at least 30 days prior to the date set for a hearing. Except as waived by FMCSA, reports, test results and medical records not served under this rule shall be excluded from evidence at any hearing. [50 FR 40306, Oct. 2, 1985, as amended at 53 FR 2036, Jan. 26, 1988; 65 FR 7756, Feb. 16, 2000; 78 FR 58481, Sept. 24, 2013; 86 FR 57071, Oct. 14, 2021] § 386.49 Form of written evidence. All written evidence should be submitted in the following forms: (a) A written statement of a person having personal knowledge of the facts alleged, or (b) Documentary evidence in the form of exhibits attached to a written statement identifying the exhibit and giving its source. [70 FR 28484, May 18, 2005] § 386.51 Amendment and withdrawal of pleadings. (a) Except in instances covered by other rules, any time more than 15 days prior to the hearing, a party may amend his/her pleadings by serving the amended pleading on the Agency Decisionmaker or the administrative law judge, if one has been appointed, and on all parties. Within 15 days prior to the hearing, an amendment shall be allowed only at the discretion of the Administrative law judge. When an amended pleading is filed, other parties may file a response and objection within 10 days. (b) A party may withdraw his/her pleading any time more than 15 days prior to the hearing by serving a notice of withdrawal on the Agency Decisionmaker or the Administrative Law Judge. Within 15 days prior to the hearing a withdrawal may be made only at the discretion of the Agency Decisionmaker or the Administrative Law Judge. The withdrawal will be granted absent a finding that the withdrawal will result in injustice, prejudice, or irreparable harm to the non-moving party, or is otherwise contrary to the public interest. [50 FR 40306, Oct. 2, 1985, as amended at 70 FR 28484, May 18, 2005; 78 FR 58481, Sept. 24, 2013] § 386.52 Appeals from interlocutory rulings. (a) General. (b) Interlocutory appeal for cause. (c) [Reserved] (d) Procedure. (e) The Agency Decisionmaker may reject frivolous, repetitive, or dilatory appeals, and may issue an order precluding one or more parties from making further interlocutory appeals, and may order such further relief as required. [70 FR 28484, May 18, 2005] § 386.53 Subpoenas, witness fees. (a) Applications for the issuance of subpoenas must be submitted to the Agency Decisionmaker, or in cases that have been called for a hearing, to the administrative law judge. The application must show the general relevance and reasonable scope of the evidence sought. Any person served with a subpoena may, within 7 days after service, file a motion to quash or modify. The motion must be filed with the official who approved the subpoena. The filing of a motion shall stay the effect of the subpoena until a decision is reached. (b) Witnesses shall be entitled to the same fees and mileage as are paid witnesses in the courts of the United States. The fees shall be paid by the party at whose instance the witness is subpoenaed or appears. (c) Paragraph (a) of this section shall not apply to the Administrator or employees of the FMCSA or to the production of documents in their custody. Applications for the attendance of such persons or the production of such documents at a hearing shall be made to the Agency Decisionmaker or administrative law judge, if one is appointed, and shall set forth the need for such evidence and its relevancy. § 386.54 Administrative Law Judge. (a) Powers of an Administrative Law Judge. (1) Give notice of and hold prehearing conferences and hearings. (2) Administer oaths and affirmations. (3) Issue subpoenas authorized by law. (4) Rule on offers of proof. (5) Receive relevant and material evidence. (6) Regulate the course of the administrative adjudication in accordance with the rules of this subchapter and the Administrative Procedure Act. (7) Hold conferences to settle or simplify the issues by consent of the parties. (8) Dispose of procedural motions and requests, except motions that under this part are made directly to the Agency Decisionmaker. (9) Issue orders permitting inspection and examination of lands, buildings, equipment, and any other physical thing and the copying of any document. (10) Make findings of fact and conclusions of law, and issue decisions. (11) To take any other action authorized by these rules and permitted by law. (b) Limitations on the power of the Administrative Law Judge. (c) Disqualification. [70 FR 28485, May 18, 2005] § 386.55 Prehearing conferences. (a) Convening. (1) Simplification and clarification of the issues; (2) Necessity or desirability of amending pleadings; (3) Stipulations as to the facts and the contents and authenticity of documents; (4) Issuance of and responses to subpoenas; (5) Taking of depositions and the use of depositions in the proceedings; (6) Orders for discovery, inspection and examination of premises, production of documents and other physical objects, and responses to such orders; (7) Disclosure of the names and addresses of witnesses and the exchange of documents intended to be offered in evidence; and (8) Any other matter that will tend to simplify the issues or expedite the proceedings. (b) Order. § 386.56 Hearings. (a) As soon as practicable after his/her appointment, the administrative law judge shall issue an order setting the date, time, and place for the hearing. The order shall be served on the parties and become a part of the record of the proceedings. The order may be amended for good cause shown. (b) Conduct of hearing. (c) Evidence. et seq., (d) Information obtained by investigation. (e) Record. § 386.57 Proposed findings of fact, conclusions of law. The administrative law judge shall afford the parties reasonable opportunity to submit proposed findings of fact, conclusions of law, and supporting reasons therefor. If the administrative law judge orders written proposals and arguments, each proposed finding must include a citation to the specific portion of the record relied on to support it. Written submissions, if any, must be served within the time period set by the administrative law judge. § 386.58 Burden of proof. (a) Enforcement cases. (b) Conflict of medical opinion. Subpart E—Decision § 386.61 Decision. (a) Administrative Law Judge (b) Hearing Officer. [50 FR 40306, Oct. 2, 1985, as amended at 70 FR 28485, May 18, 2005; 88 FR 80183, Nov. 17, 2023] § 386.62 Review of administrative law judge's decision. (a) All petitions to review must be accompanied by exceptions and briefs. Each petition must set out in detail objections to the initial decision and shall state whether such objections are related to alleged errors of law or fact. It shall also state the relief requested. Failure to object to any error in the initial decision shall waive the right to allege such error in subsequent proceedings. (b) Reply briefs may be filed within 30 days after service of the appeal brief. (c) No other briefs shall be permitted except upon request of the Agency Decisionmaker. (d) Copies of all briefs must be served on all parties. (e) No oral argument will be permitted except on order of the Agency Decisionmaker. § 386.63 Decision on review. Upon review of a decision, the Agency Decisionmaker may adopt, modify, or set aside the administrative law judge's findings of fact and conclusions of law. He/she may also remand proceedings to the administrative law judge with instructions for such further proceedings as he/she deems appropriate. If not remanded, the Agency Decisionmaker shall issue a final order disposing of the proceedings, and serve it on all parties. § 386.64 Reconsideration. (a) Within 20 days following service of the Final Order, any party may petition the Agency Decisionmaker for reconsideration of the order. If a civil penalty was imposed, the filing of a petition for reconsideration stays the entire action, unless the Agency Decisionmaker orders otherwise. (b) In the event a Notice of Default and Final Order is issued by the Field Administrator as a result of the respondent's failure to reply in accordance with § 386.14(a), the only issue that will be considered upon reconsideration is whether a default has occurred under § 386.14(c). The Final Order may be vacated where a respondent can demonstrate excusable neglect, a meritorious defense, or due diligence in seeking relief. (c) Either party may serve an answer to a petition for reconsideration within 30 days of the service date of the petition. (d) Following the close of the 30-day period, the Agency Decisionmaker will rule on the petition. (e) The ruling on the petition will be the Final Agency Order. A petition for reconsideration of the Agency Decisionmaker's ruling will not be permitted. [70 FR 28485, May 18, 2005, as amended at 88 FR 80183, Nov. 17, 2023; 89 FR 713, Jan. 5, 2024] § 386.65 Failure to comply with final order. If, within 30 days of receipt of a final agency order issued under this part, the respondent does not submit in writing his/her acceptance of the terms of an order directing compliance, or, where appropriate, pay a civil penalty, or file an appeal under § 386.67, the case may be referred to the Attorney General with a request that an action be brought in the appropriate United States District Court to enforce the terms of a compliance order or collect the civil penalty. § 386.66 Motions for rehearing or for modification. (a) No motion for rehearing or for modification of an order shall be entertained for 1 year following the date the Agency Decisionmaker's order goes into effect. After 1 year, any party may file a motion with the Agency Decisionmaker requesting a rehearing or modification of the order. The motion must contain the following: (1) A copy of the order about which the change is requested; (2) A statement of the changed circumstances justifying the request; and (3) Copies of all evidence intended to be relied on by the party submitting the motion. (b) Upon receipt of the motion, the Agency Decisionmaker may make a decision denying the motion or modifying the order in whole or in part. He/she may also, prior to making his/her decision, order such other proceedings under these rules as he/she deems necessary and may request additional information from the party making the motion. [70 FR 28485, May 18, 2005, as amended at 89 FR 713, Jan. 5, 2024] § 386.67 Judicial review. (a) Any party to the underlying proceeding, who, after an administrative adjudication, is adversely affected by a Final Agency Order issued under 49 U.S.C. 521 may, within 30 days of service of the Final Agency Order, petition for review of the order in the United States Court of Appeals in the circuit where the violation is alleged to have occurred, or where the violator has its principal place of business or residence, or in the United States Court of Appeals for the District of Columbia Circuit. (b) Judicial review will be based on a determination of whether the findings and conclusions in the Final Agency Order were supported by substantial evidence or were otherwise not in accordance with law. No objection that has not been raised before the Agency will be considered by the court, unless reasonable grounds existed for failure or neglect to do so. The commencement of proceedings under this section will not, unless ordered by the court, operate as a stay of the Final Agency Order of the Agency. [70 FR 28485, May 18, 2005] Subpart F—Injunctions and Imminent Hazards § 386.71 Injunctions. Whenever it is determined that a person has engaged, or is about to engage, in any act or practice constituting a violation of section 31502 of title 49, United States Code; of the Motor Carrier Safety Act of 1984; the Hazardous Materials Transportation Act; or any regulation or order issued under that section or those Acts for which the Federal Motor Carrier Safety Administrator exercises enforcement responsibility, FMCSA may request the United States Attorney General to bring an action in the appropriate United States District Court for such relief as is necessary or appropriate, including mandatory or prohibitive injunctive relief, interim equitable relief, and punitive damages, as provided by section 213(c) of the Motor Carrier Safety Act of 1984 and section 111(a) of the Hazardous Materials Transportation Act (49 U.S.C. 507(c) 5122). [70 FR 28485, May 18, 2005, as amended at 86 FR 57071, Oct. 14, 2021] § 386.72 Imminent hazard. (a) Whenever it is determined that an imminent hazard exists as a result of the transportation by motor vehicle of a particular hazardous material, the Chief Counsel or Deputy Chief Counsel of the FMCSA may bring, or request the United States Attorney General to bring, an action in the appropriate United States District Court for an order suspending or restricting the transportation by motor vehicle of the hazardous material or for such other order as is necessary to eliminate or ameliorate the imminent hazard, as provided by 49 U.S.C. 5122. In this paragraph, “imminent hazard” means the existence of a condition that presents a substantial likelihood that death, serious illness, severe personal injury, or a substantial endangerment to health, property, or the environment may occur before a notice of investigation proceeding, or other administrative hearing or formal proceeding, to abate the risk of harm can be completed. (b)(1) Whenever it is determined that a violation of 49 U.S.C. 31502 or the Motor Carrier Safety Act of 1984, as amended, or the Commercial Motor Vehicle Safety Act of 1986, as amended, or a regulation issued under such section or Acts, or a combination of such violations, poses an imminent hazard to safety, FMCSA, shall order: (i) A commercial motor vehicle or employee operating such vehicle out-of-service, or order an employer to cease all or part of the employer's commercial motor vehicle operations, as provided by 49 U.S.C. 521(b)(5); (ii) An intermodal equipment provider's specific vehicle or equipment out-of-service, or order an intermodal equipment provider to cease all or part of its operations, as provided by 49 U.S.C. 521(b)(5) and 49 U.S.C. 31151(a)(3)(I). (2) In making any such order, no restrictions shall be imposed on any vehicle, terminal or facility, employee, employer or intermodal equipment provider beyond that required to abate the hazard. (3) In this paragraph (b), imminent hazard (4) Upon the issuance of an order under paragraph (b)(1) of this section, the motor carrier employer, intermodal equipment provider or driver employee shall comply immediately with such order. Opportunity for review shall be provided in accordance with 5 U.S.C. 554, except that such review shall occur not later than 10 days after issuance of such order, as provided by section 213(b) of the Motor Carrier Safety Act of 1984 (49 U.S.C. 521(b)(5)). An order to an employer or intermodal equipment provider to cease all or part of its operations shall not prevent vehicles in transit at the time the order is served from proceeding to their immediate destinations, unless any such vehicle or its driver is specifically ordered out-of-service forthwith. However, vehicles and drivers proceeding to their immediate destination shall be subject to compliance upon arrival. (5) For purposes of this section, the term immediate destination (6) Failure to comply immediately with an order issued under this section shall subject the motor carrier employer, intermodal equipment provider, or driver to penalties prescribed in subpart G of this part. [50 FR 40306, Oct. 2, 1985, as amended at 53 FR 2036, Jan. 26, 1988; 53 FR 50970, Dec. 19, 1988; 56 FR 10184, Mar. 11, 1991; 65 FR 7756, Feb. 16, 2000; 65 FR 58664, Oct. 2, 2000; 73 FR 76819, Dec. 17, 2008; 78 FR 58481, Sept. 24, 2013; 86 FR 57071, Oct. 14, 2021] § 386.73 Operations out of service and record consolidation proceedings (reincarnated carriers). (a) Out-of-service order. (1) Avoid complying with an FMCSA order; (2) Avoid complying with a statutory or regulatory requirement; (3) Avoid paying a civil penalty; (4) Avoid responding to an enforcement action; or (5) Avoid being linked with a negative compliance history. (b) Record consolidation order. (1) Avoid complying with an FMCSA order; (2) Avoid complying with a statutory or regulatory requirement; (3) Avoid paying a civil penalty; (4) Avoid responding to an enforcement action; or (5) Avoid being linked with a negative compliance history. (c) Standard. (1) Whether the new or affiliated entity was created for the purpose of evading statutory or regulatory requirements, an FMCSA order, enforcement action, or negative compliance history. In weighing this factor, FMCSA may consider the stated business purpose for the creation of the new or affiliated entity. (2) The previous entity's safety performance history, including, among other things, safety violations and enforcement actions of the Secretary, if any; (3) Consideration exchanged for assets purchased or transferred; (4) Dates of company creation and dissolution or cessation of operations; (5) Commonality of ownership between the current and former company or between current companies; (6) Commonality of officers and management personnel; (7) Identity of physical or mailing addresses, telephone, fax numbers, or email addresses; (8) Identity of motor vehicle equipment; (9) Continuity of liability insurance policies or commonality of coverage under such policies; (10) Commonality of drivers and other employees; (11) Continuation of carrier facilities and other physical assets; (12) Continuity or commonality of nature and scope of operations, including customers for whom transportation is provided; (13) Advertising, corporate name, or other acts through which the company holds itself out to the public; (d) Evaluating factors. (e) Effective dates. (f) Commencement of proceedings. (1) Provides notice of the factual and legal basis of the order; (2) In the case of an out-of-service order, identifies the operations prohibited by the order; (3) In the case of an order that consolidates records maintained by FMCSA, identifies the previous entity and current or affiliated motor carriers, intermodal equipment providers, brokers, or freight forwarders whose records will be consolidated; (4) Provides notice that the order is effective upon the 21st day after service; (5) Provides notice of the right to petition for administrative review of the order and that a timely petition will stay the effective date of the order unless the Agency Decisionmaker orders otherwise for good cause; and (6) Provides notice that failure to timely request administrative review of the order constitutes waiver of the right to contest the order and will result in the order becoming a Final Agency Order 21 days after it is served. (g) Administrative review. (1) A petition for administrative review must be in writing and served on the Agency Decisionmaker, Federal Motor Carrier Safety Administration, 1200 New Jersey Ave. SE., Washington, DC 20590-0001, Attention: Adjudications Counsel, or by electronic mail to FMCSA.Adjudication@dot.gov. (2) A petition for administrative review must be served within 15 days of the date FMCSA served the order issued under this section. Failure to timely request administrative review waives the right to administrative review and constitutes an admission of the facts alleged in the order. (3) A petition for administrative review must include: (i) A copy of the order in dispute; and (ii) A statement of all factual and procedural issues in dispute. (4) If a petition for administrative review is timely served and filed, the petitioner may supplement the petition by serving documentary evidence and/or written argument that supports its position regarding the procedural or factual issues in dispute no later than 30 days from the date the disputed order was served. The supplementary documentary evidence or written argument may not expand the issues on review and need not address every issue identified in the petition. Failure to timely serve supplementary documentary evidence and/or written argument constitutes a waiver of the right to do so. (5) FMCSA must serve written argument and supporting documentary evidence, if any, in defense of the disputed order no later than 15 days following the period in which petitioner may serve supplemental documentary evidence and/or written argument in support of the petition for administrative review. (6) The Agency Decisionmaker may ask the parties to submit additional information or attend a conference to facilitate administrative review. (7) The Agency Decisionmaker will issue a written decision on the request for administrative review within 30 days of the close of the time period for FMCSA to serve written argument and supporting documentary evidence in defense of the order, or the actual filing of such written argument and documentary evidence, whichever is earlier. (8) If a petition for administrative review is timely served in accordance with this subsection, the disputed order is stayed, pending the Agency Decisionmaker's review. The Agency Decisionmaker may enter an order vacating the automatic stay in accordance with the following procedures: (i) The Agency Official may file a motion to vacate the automatic stay demonstrating good cause why the order should not be stayed. The Agency Official's motion must be in writing, state the factual and legal basis for the motion, be accompanied by affidavits or other evidence relied on, and be served on the petitioner and Agency Decisionmaker. (ii) The petitioner may file an answer in opposition, accompanied by affidavits or other evidence relied on. The answer must be served within 10 days of service of the motion. (iii) The Agency Decisionmaker will issue a decision on the motion to vacate the automatic stay within 10 days of the close of the time period for serving the answer to the motion. The 30-day period for review of the petition for administrative review in paragraph (g)(7) of this section is tolled from the time the Agency Official's motion to lift a stay is served until the Agency Decisionmaker issues a decision on the motion. (9) The Agency Decisionmaker's decision on a petition for administrative review of an order issued under this section constitutes the Final Agency Order. (h) Petition for rescission. (1) A petition for rescission must be made in writing to the FMCSA official who issued the order. (2) A petition for rescission must include a copy of the order requested to be rescinded, a factual statement identifying all corrective action taken, and copies of supporting documentation. (3) Upon request and for good cause shown, FMCSA may grant the petitioner additional time, not to exceed 45 days, to complete corrective action initiated at the time the petition for rescission was filed. (4) FMCSA will issue a written decision on the petition for rescission within 60 days of service of the petition. The written decision will include the factual and legal basis for the determination. (5) If FMCSA grants the request for rescission, the written decision is the Final Agency Order. (6) If FMCSA denies the request for rescission, the petitioner may file a petition for administrative review of the denial with the Agency Decisionmaker, Federal Motor Carrier Safety Administration, 1200 New Jersey Ave. SE., Washington, DC 20590-0001, Attention: Adjudication Counsel or by electronic mail to FMCSA.Adjudication@dot.gov. (7) The Agency Decisionmaker will issue a written decision on the petition for administrative review of the denial of the petition for rescission within 60 days. The Agency Decisionmaker's decision constitutes the Final Agency Order. (i) Other orders unaffected. (j) Inapplicability of subparts. [77 FR 24870, Apr. 26, 2012, as amended at 78 FR 58481, Sept. 24, 2013; 86 FR 57071, Oct. 14, 2021; 89 FR 713, Jan. 5, 2024] Subpart G—Penalties Source: 56 FR 10184, Mar. 11, 1991, unless otherwise noted. § 386.81 General. (a) The amounts of civil penalties that can be assessed for regulatory violations subject to the proceedings in this subchapter are established in the statutes granting enforcement powers. The determination of the actual civil penalties assessed in each proceeding is based on those defined limits or minimums and consideration of information available at the time the claim is made concerning the nature, gravity of the violation and, with respect to the violator, the degree of culpability, history of prior offenses, effect on ability to continue to do business, and such other matters as justice and public safety may require. In addition to these factors, a civil penalty assessed under 49 U.S.C. 14901(a) and (d) concerning household goods is also based on the degree of harm caused to a shipper and whether the shipper has been adequately compensated before institution of the civil penalty proceeding. In adjudicating the claims and orders under the administrative procedures herein, additional information may be developed regarding these factors that may affect the final amount of the claim. (b) When assessing penalties for violations of notices and orders or settling claims based on these assessments, consideration will be given to good faith efforts to achieve compliance with the terms of the notices and orders. [56 FR 10184, Mar. 11, 1991, as amended at 65 FR 7756, Feb. 16, 2000; 78 FR 60232, Oct. 1, 2013] § 386.82 Civil penalties for violations of notices and orders. (a) Additional civil penalties are chargeable for violations of notices and orders which are issued under civil forfeiture proceedings pursuant to 49 U.S.C. 521(b). These notices and orders are as follows: (1) Notice to abate—§ 386.11 (b)(2) and (c)(1)(iv); (2) Notice to post—§ 386.11(c)(3); (3) Final order—§ 386.14, § 386.17, § 386.22, and § 386.61; and (4) Out-of-service order—§ 386.72(b)(1). (b) A schedule of these additional penalties is provided in the appendix A to this part. All the penalties are maximums, and discretion will be retained to meet special circumstances by setting penalties for violations of notices and orders, in some cases, at less than the maximum. (c) Claims for penalties provided in this section and in the appendix A to this part shall be made through the civil forfeiture proceedings contained in this part. The issues to be decided in such proceedings will be limited to whether violations of notices and orders occurred as claimed and the appropriate penalty for such violations. Nothing contained herein shall be construed to authorize the reopening of a matter already finally adjudicated under this part. [56 FR 10184, Mar. 11, 1991, as amended at 67 FR 61821, Oct. 2, 2002; 70 FR 28486, May 18, 2005; 77 FR 59826, Oct. 1, 2012] § 386.83 Sanction for failure to pay civil penalties or abide by payment plan; operation in interstate commerce prohibited. (a)(1) General rule. (ii) An intermodal equipment provider that fails to pay a civil penalty in full within 90 days after the date specified for payment by FMCSA's final agency order, is prohibited from tendering intermodal equipment to motor carriers for operation in interstate commerce starting on the next (i.e., the 91st) day. The prohibition continues until the FMCSA has received full payment of the penalty. (2) Civil penalties paid in installments. (3) Appeals to Federal Court. (b) Show cause proceeding. (2) The notice will order the CMV owner or operator, or intermodal equipment provider, to show cause why it should not be prohibited from operating in interstate commerce on the 91st day after the date specified for payment. The prohibition may be avoided only by submitting to the Agency Decisionmaker: (i) Evidence that the respondent has paid the entire amount due; or (ii) Evidence that the respondent has filed for bankruptcy under chapter 11, title 11, United States Code. Respondents in bankruptcy must also submit the information required by paragraph (d) of this section. (3) The notice will be delivered by certified mail or commercial express service. If the principal place of business of a CMV owner or operator, or an intermodal equipment provider, is in a foreign country, the notice will be delivered to the designated agent of the CMV owner or operator or intermodal equipment provider. (c) A CMV owner or operator, or intermodal equipment provider that continues to operate in interstate commerce in violation of this section may be subject to additional sanctions under paragraph IV of (i) appendix A to part 386. (d) This section does not apply to any person who is unable to pay a civil penalty because the person is a debtor in a case under 11 U.S.C. chapter 11. CMV owners or operators, or intermodal equipment providers, in bankruptcy proceedings under chapter 11 must provide the following information in their response to the FMCSA: (1) The chapter of the Bankruptcy Code under which the bankruptcy proceeding is filed (i.e., chapter 7 or 11); (2) The bankruptcy case number; (3) The court in which the bankruptcy proceeding was filed; and (4) Any other information requested by the agency to determine a debtor's bankruptcy status. [73 FR 76819, Dec. 17, 2008, as amended at 74 FR 68708, Dec. 29, 2009; 78 FR 58481, Sept. 24, 2013; 86 FR 57071, Oct. 14, 2021] § 386.84 Sanction for failure to pay civil penalties or abide by payment plan; suspension or revocation of registration. (a)(1) General rule. i.e. (2) Civil penalties paid in installments. i.e. (3) Appeals to Federal Court. (b) Show Cause Proceeding. (2) The notice will order the respondent to show cause why its registration should not be suspended on the 91st day after the date specified for payment. The prohibition may be avoided only by submitting to the Agency Decisionmaker: (i) Evidence that the respondent has paid the entire amount due; or (ii) Evidence that the respondent has filed for bankruptcy under chapter 11, title 11, United States Code. Respondents in bankruptcy must also submit the information required by paragraph (d) of this section. (3) The notice will be delivered by certified mail or commercial express service. If a respondent's principal place of business is in a foreign country, it will be delivered to the respondent's designated agent. (c) The registration of a broker, freight forwarder, for-hire motor carrier, foreign motor carrier or foreign motor private carrier that continues to operate in interstate commerce in violation of this section after its registration has been suspended may be revoked after an additional notice and opportunity for a proceeding in accordance with 49 U.S.C. 13905(c). Additional sanctions may be imposed under paragraph IV(i) of Appendix A to part 386. (d) This section does not apply to any person who is unable to pay a civil penalty because the person is a debtor in a case under chapter 11, title 11, United States Code. Brokers, freight forwarders, for-hire motor carriers, foreign motor carriers or foreign motor private carriers in bankruptcy proceedings under chapter 11 must provide the following information in their response to the FMCSA: (1) The chapter of the Bankruptcy Code under which the bankruptcy proceeding is filed ( i.e., (2) The bankruptcy case number; (3) The court in which the bankruptcy proceeding was filed; and (4) Any other information requested by the agency to determine a debtor's bankruptcy status. [65 FR 78428, Dec. 15, 2000, as amended at 78 FR 60232, Oct. 1, 2013; 86 FR 57071, Oct. 14, 2021] Appendix A to Part 386—Penalty Schedule: Violations of Notices and Orders The Civil Penalties Inflation Adjustment Act Improvements Act of 2015 [Pub. L. 114-74, sec. 701, 129 Stat. 599] amended the Federal Civil Penalties Inflation Adjustment Act of 1990 to require agencies to adjust civil penalties. Pursuant to that authority, the adjusted civil penalties identified in this appendix supersede the corresponding civil penalty amounts identified in title 49, United States Code. I. Notice to Abate Violation—Failure to cease violations of the regulations in the time prescribed in the notice. (The time within which to comply with a notice to abate shall not begin to run with respect to contested violations, i.e., Penalty—Reinstatement of any deferred assessment or payment of a penalty or portion thereof. II. Subpoena Violation—Failure to respond to Agency subpoena to appear and testify or produce records. Penalty—minimum of $1,365 but not more than $13,676 per violation. III. Final Order Violation—Failure to comply with Final Agency Order. Penalty—Automatic reinstatement of any penalty previously reduced or held in abeyance and restoration of the full amount assessed in the Notice of Claim less any payments previously made. IV. Out-of-Service Order a. Violation—Operation of a commercial vehicle by a driver during the period the driver was placed out of service. Penalty—Up to $2,364 per violation. (For purposes of this violation, the term “driver” means an operator of a commercial motor vehicle, including an independent contractor who, while in the course of operating a commercial motor vehicle, is employed or used by another person.) b. Violation—Requiring or permitting a driver to operate a commercial vehicle during the period the driver was placed out of service. Penalty—Up to $23,647 per violation. (This violation applies to motor carriers including an independent contractor who is not a “driver,” as defined under paragraph IV(a) above.) c. Violation—Operation of a commercial motor vehicle or intermodal equipment by a driver after the vehicle or intermodal equipment was placed out-of-service and before the required repairs are made. Penalty—$2,364 each time the vehicle or intermodal equipment is so operated. (This violation applies to drivers as defined in IV(a) above.) d. Violation—Requiring or permitting the operation of a commercial motor vehicle or intermodal equipment placed out-of-service before the required repairs are made. Penalty—Up to $23,647 each time the vehicle or intermodal equipment is so operated after notice of the defect is received. (This violation applies to intermodal equipment providers and motor carriers, including an independent owner operator who is not a “driver,” as defined in IV(a) above.) e. Violation—Failure to return written certification of correction as required by the out- of-service order. Penalty—Up to $1,182 per violation. f. Violation—Knowingly falsifies written certification of correction required by the out of service order. Penalty—Considered the same as the violations described in paragraphs IV(c) and IV(d) of this appendix, and subject to the same penalties. Note: Falsification of certification may also result in criminal prosecution under 18 U.S.C.1001. g. Violation—Operating in violation of an order issued under § 386.72(b) to cease all or part of the employer's commercial motor vehicle operations or to cease part of an intermodal equipment provider's operations, i.e., Penalty—Up to $34,116 per day the operation continues after the effective date and time of the order to cease. h. Violation—Operating in violation of an order issued under § 386.73. Penalty—Up to $29,980 per day the operation continues after the effective date and time of the out-of-service order. i. Violation—Conducting operations during a period of suspension under § 386.83 or § 386.84 for failure to pay penalties. Penalty—Up to $19,246 for each day that operations are conducted during the suspension or revocation period. j. Violation—Conducting operations during a period of suspension or revocation under § 385.911, § 385.913, § 385.1009, or § 385.1011 of this subchapter. Penalty—Up to $29,980 for each day that operations are conducted during the suspension or revocation period. [80 FR 18155, Apr. 3, 2015, as amended at 81 FR 41463, June 27, 2016; 82 FR 17590, Apr. 12, 2017; 83 FR 60750, Nov. 27, 2018; 84 FR 37076, July 31, 2019; 86 FR 1760, Jan. 11, 2021; 86 FR 23256, May 3, 2021; 87 FR 15870, Mar. 21, 2022; 88 FR 1129, Jan. 6, 2023; 88 FR 89564, Dec. 28, 2023; 89 FR 106298, Dec. 30, 2024] Appendix B to Part 386—Penalty Schedule: Violations and Monetary Penalties The Civil Penalties Inflation Adjustment Act Improvements Act of 2015 [Pub. L. 114-74, sec. 701, 129 Stat. 599] amended the Federal Civil Penalties Inflation Adjustment Act of 1990 to require agencies to adjust civil penalties. Pursuant to that authority, the adjusted civil penalties identified in this appendix supersede the corresponding civil penalty amounts identified in title 49, United States Code. What are the types of violations and maximum monetary penalties? (a) Violations of the Federal Motor Carrier Safety Regulations (FMCSRs): (1) Recordkeeping. (2) Knowing falsification of records. (3) Non-recordkeeping violations. (4) Non-recordkeeping violations by drivers. (5) Violation of 49 CFR 392.5. (6) Egregious violations of driving-time limits in 49 CFR part 395. (7) Harassment. (b) Commercial driver's license (CDL) violations. (1) A CDL-holder who is convicted of violating an out-of-service order shall be subject to a civil penalty of not less than $3,961 for a first conviction and not less than $7,924 for a second or subsequent conviction; (2) An employer of a CDL-holder who knowingly allows, requires, permits, or authorizes an employee to operate a CMV during any period in which the CDL-holder is subject to an out-of-service order, is subject to a civil penalty of not less than $7,155 or more than $39,615; and (3) An employer of a CDL-holder who knowingly allows, requires, permits, or authorizes that CDL-holder to operate a CMV in violation of a Federal, State, or local law or regulation pertaining to railroad-highway grade crossings is subject to a civil penalty of not more than $20,537. (c) [Reserved] (d) Financial responsibility violations. (e) Violations of the Hazardous Materials Regulations (HMRs) and safety permitting regulations found in subpart E of part 385 of this subchapter. (1) All knowing violations of 49 U.S.C. chapter 51 or orders or regulations issued under the authority of that chapter applicable to the transportation or shipment of hazardous materials by commercial motor vehicle on the highways are subject to a civil penalty of not more than $102,348 for each violation. Each day of a continuing violation constitutes a separate offense. (2) All knowing violations of 49 U.S.C. chapter 51 or orders or regulations issued under the authority of that chapter applicable to training related to the transportation or shipment of hazardous materials by commercial motor vehicle on the highways are subject to a civil penalty of not less than $617 and not more than $102,348 for each violation. (3) All knowing violations of 49 U.S.C. chapter 51 or orders, regulations, or exemptions under the authority of that chapter applicable to the manufacture, fabrication, marking, maintenance, reconditioning, repair, or testing of a packaging or container that is represented, marked, certified, or sold as being qualified for use in the transportation or shipment of hazardous materials by commercial motor vehicle on the highways are subject to a civil penalty of not more than $102,348 for each violation. (4) Whenever regulations issued under the authority of 49 U.S.C. chapter 51 require compliance with the FMCSRs while transporting hazardous materials, any violations of the FMCSRs will be considered a violation of the HMRs and subject to a civil penalty of not more than $102,348. (5) If any violation subject to the civil penalties set out in paragraphs (e)(1) through (4) of this appendix results in death, serious illness, or severe injury to any person or in substantial destruction of property, the civil penalty may be increased to not more than $238,809 for each offense. (f) Operating after being declared unfit by assignment of a final “unsatisfactory” safety rating. (2) A motor carrier operating a commercial motor vehicle designed or used to transport hazardous materials for which placarding of a motor vehicle is required under regulations prescribed under 49 U.S.C. chapter 51 is subject, after being placed out of service because of receiving a final “unsatisfactory” safety rating, to a civil penalty of not more than $102,348 for each offense. If the violation results in death, serious illness, or severe injury to any person or in substantial destruction of property, the civil penalty may be increased to not more than $238,809 for each offense. Each day the transportation continues in violation of a final “unsatisfactory” safety rating constitutes a separate offense. (g) Violations of the commercial regulations (CRs). (1) A person who operates as a motor carrier, broker, or freight forwarder for the transportation of property in violation of the registration requirements of 49 U.S.C. 13901 is liable for a minimum penalty of $13,676 per violation. (2) A person who knowingly operates as a broker in violation of registration requirements of 49 U.S.C 13904 or financial security requirements of 49 U.S.C 13906 is liable for a penalty not to exceed $13,676 for each violation. (3) A person who operates as a motor carrier of passengers in violation of the registration requirements of 49 U.S.C. 13901 is liable for a minimum penalty of $34,116 per violation. (4) A person who operates as a foreign motor carrier or foreign motor private carrier of property in violation of the provisions of 49 U.S.C. 13902(c) is liable for a minimum penalty of $13,676 per violation. (5) A person who operates as a foreign motor carrier or foreign motor private carrier without authority, outside the boundaries of a commercial zone along the United States- Mexico border, is liable for a maximum penalty of $18,766 for an intentional violation and a maximum penalty of $46,918 for a pattern of intentional violations. (6) A person who operates as a motor carrier or broker for the transportation of hazardous wastes in violation of the registration provisions of 49 U.S.C. 13901 is liable for a minimum penalty of $27,293 and a maximum penalty of $54,585 per violation. (7) A motor carrier or freight forwarder of household goods, or their receiver or trustee, that does not comply with any regulation relating to the protection of individual shippers, is liable for a minimum penalty of $2,052 per violation. (8) A person as described under paragraph (i) or (ii) is liable for a minimum penalty of $4,109 for the first violation and $10,269 for each subsequent violation— (i) Who falsifies, or authorizes an agent or other person to falsify, documents used in the transportation of household goods by motor carrier or freight forwarder to evidence the weight of a shipment; or (ii) Who charges for services which are not performed or are not reasonably necessary in the safe and adequate movement of the shipment. (9) A person who knowingly accepts or receives from a carrier a rebate or offset against the rate specified in a tariff required under 49 U.S.C. 13702 for the transportation of property delivered to the carrier commits a violation for which the penalty is equal to three times the amount accepted as a rebate or offset and three times the value of other consideration accepted or received as a rebate or offset for the six-year period before the action is begun. (10) A person who offers, gives, solicits, or receives transportation of property by a carrier at a different rate than the rate in effect under 49 U.S.C. 13702 is liable for a maximum penalty of $205,375 per violation. When acting in the scope of his/her employment, the acts or omissions of a person acting for or employed by a carrier or shipper are considered the acts or omissions of that carrier or shipper, as well as of that person. (11) Any person who offers, gives, solicits, or receives a rebate or concession related to motor carrier transportation subject to jurisdiction under subchapter I of 49 U.S.C. chapter 135, or who assists or permits another person to get that transportation at less than the rate in effect under 49 U.S.C. 13702, commits a violation for which the penalty is $410 for the first violation and $513 for each subsequent violation. (12) A freight forwarder, its officer, agent, or employee, that assists or willingly permits a person to get service under 49 U.S.C. 13531 at less than the rate in effect under 49 U.S.C. 13702 commits a violation for which the penalty is up to $1,028 for the first violation and up to $4,109 for each subsequent violation. (13) A person who gets or attempts to get service from a freight forwarder under 49 U.S.C. 13531 at less than the rate in effect under 49 U.S.C. 13702 commits a violation for which the penalty is up to $1,028 for the first violation and up to $4,109 for each subsequent violation. (14) A person who knowingly authorizes, consents to, or permits a violation of 49 U.S.C. 14103 relating to loading and unloading motor vehicles or who knowingly violates subsection (a) of 49 U.S.C. 14103 is liable for a penalty of not more than $20,537 per violation. (15) [Reserved] (16) A person required to make a report to the Secretary, answer a question, or make, prepare, or preserve a record under part B of subtitle IV, title 49, U.S.C., or an officer, agent, or employee of that person, is liable for a minimum penalty of $1,365 and for a maximum penalty of $10,269 per violation if it does not make the report, does not completely and truthfully answer the question within 30 days from the date the Secretary requires the answer, does not make or preserve the record in the form and manner prescribed, falsifies, destroys, or changes the report or record, files a false report or record, makes a false or incomplete entry in the record about a business-related fact, or prepares or preserves a record in violation of a regulation or order of the Secretary. (17) A motor carrier, freight forwarder, or broker, or their officer, receiver, trustee, lessee, employee, or other person authorized to receive information from them, who discloses information identified in 49 U.S.C. 14908 without the permission of the shipper or consignee is liable for a maximum penalty of $4,109. (18) A person who violates a provision of part B, subtitle IV, title 49, U.S.C., or a regulation or order under part B, or who violates a condition of registration related to transportation that is subject to jurisdiction under subchapter I or III of chapter 135, or who violates a condition of registration of a foreign motor carrier or foreign motor private carrier under section 13902, is liable for a penalty of $1,028 for each violation if another penalty is not provided in 49 U.S.C. chapter 149. (19) A violation of Part B, Subtitle IV, Title 49, U.S.C., committed by a director, officer, receiver, trustee, lessee, agent, or employee of a carrier that is a corporation is also a violation by the corporation to which the penalties of Chapter 149 apply. Acts and omissions of individuals acting in the scope of their employment with a carrier are considered to be the actions and omissions of the carrier as well as the individual. (20) In a proceeding begun under 49 U.S.C. 14902 or 14903, the rate that a carrier publishes, files, or participates in under section 13702 is conclusive proof against the carrier, its officers, and agents that it is the legal rate for the transportation or service. Departing, or offering to depart, from that published or filed rate is a violation of 49 U.S.C. 14902 and 14903. (21) A person— (i) Who knowingly and willfully fails, in violation of a contract, to deliver to, or unload at, the destination of a shipment of household goods in interstate commerce for which charges have been estimated by the motor carrier transporting such goods, and for which the shipper has tendered a payment in accordance with part 375, subpart G, of this subchapter, is liable for a civil penalty of not less than $20,537 for each violation. Each day of a continuing violation constitutes a separate offense. (ii) Who is a carrier or broker and is found to be subject to the civil penalties in paragraph (i) of this appendix may also have his or her carrier and/or broker registration suspended for not less than 12 months and not more than 36 months under 49 U.S.C. chapter 139. Such suspension of a carrier or broker shall extend to and include any carrier or broker having the same ownership or operational control as the suspended carrier or broker. (22) A broker for transportation of household goods who makes an estimate of the cost of transporting any such goods before entering into an agreement with a motor carrier to provide transportation of household goods subject to FMCSA jurisdiction is liable to the United States for a civil penalty of not less than $15,846 for each violation. (23) A person who provides transportation of household goods subject to jurisdiction under 49 U.S.C. chapter 135, subchapter I, or provides broker services for such transportation, without being registered under 49 U.S.C. chapter 139 to provide such transportation or services as a motor carrier or broker, as the case may be, is liable to the United States for a civil penalty of not less than $39,615 for each violation. (24) Beginning on January 16, 2026, a surety company or financial institution for a broker or freight forwarder pursuant to § 387.307 of this subchapter that violates 49 U.S.C. 13906(b) or (c) or § 387.307: (i) Is liable to the United States for a penalty of $12,882 for each violation; and (ii) Will be ineligible to provide broker financial security for 3 years. (h) Copying of records and access to equipment, lands, and buildings. (i) Evasion. (1) Who by any means tries to evade regulation of motor carriers under title 49, United States Code, chapter 5, chapter 51, subchapter III of chapter 311 (except sections 31138 and 31139) or section 31302, 31303, 31304, 31305(b), 31310(g)(1)(A), or 31502, or a regulation in subtitle B, chapter I, subchapter C of this title, or this subchapter, issued under any of those provisions, shall be fined at least $2,730 but not more than $6,823 for the first violation and at least $3,409 but not more than $10,224 for a subsequent violation. (2) Who tries to evade regulation under part B of subtitle IV, title 49, U.S.C., for carriers or brokers is liable for a penalty of at least $2,730 for the first violation or at least $6,823 for a subsequent violation. [80 FR 18156, Apr. 3, 2015, as amended at 80 FR 78383, Dec. 16, 2015; 81 FR 41463, June 27, 2016; 82 FR 17591, Apr. 12, 2017; 83 FR 60751, Nov. 27, 2018; 84 FR 37076, July 31, 2019; 86 FR 1761, Jan. 11, 2021; 86 FR 23257, May 3, 2021; 87 FR 15871, Mar. 21, 2022; 88 FR 1130, Jan. 6, 2023; 88 FR 89565, Dec. 28, 2023; 88 FR 78672, Nov. 16, 2023; 89 FR 106298, Dec. 30, 2024; 89 FR 107026, Dec. 31, 2024; 90 FR 22866, May 30, 2025; 91 FR 7859, Feb. 19, 2026; 91 FR 45660, July 21, 2026]

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