Appendix A to Part 386 - Penalty Schedule: Violations of Notices and Orders
49:5.1.1.2.29.7.11.5.13 : Appendix A
Appendix A to Part 386 - Penalty Schedule: Violations of Notices
and Orders
The Civil Penalties Inflation Adjustment Act Improvements Act of
2015 [Public Law 114-74, sec. 701, 129 Stat. 599] amended the
Federal Civil Penalties Inflation Adjustment Act of 1990 to require
agencies to adjust civil penalties for inflation. Pursuant to that
authority, the inflation 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., where there are material issues
in dispute under § 386.14, until such time as the violation has
been established.)
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 $1,112 but not more than $11,125 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 $1,928 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 $19,277 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 - $1,928 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 $19,277 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 $964 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., failure to cease operations as
ordered.
Penalty - Up to $27,813 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 $24,441 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 $15,691 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 $24,441 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]