Appendix B to Part 386 - Penalty Schedule: Violations and Monetary Penalties
49:5.1.1.2.29.7.11.5.14 : Appendix B
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 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.
What are the types of violations and maximum monetary
penalties?
(a) Violations of the Federal Motor Carrier Safety
Regulations (FMCSRs):
(1) Recordkeeping. A person or entity that fails to
prepare or maintain a record required by part 40 of this title and
parts 382, subpart A, B, C, D, E, or F, 385, and 390 through 399 of
this subchapter, or prepares or maintains a required record that is
incomplete, inaccurate, or false, is subject to a maximum civil
penalty of $1,292 for each day the violation continues, up to
$12,919.
(2) Knowing falsification of records. A person or entity
that knowingly falsifies, destroys, mutilates, or changes a report
or record required by parts 382, subpart A, B, C, D, E, or F, 385,
and 390 through 399 of this subchapter, knowingly makes or causes
to be made a false or incomplete record about an operation or
business fact or transaction, or knowingly makes, prepares, or
preserves a record in violation of a regulation order of the
Secretary is subject to a maximum civil penalty of $12,919 if such
action misrepresents a fact that constitutes a violation other than
a reporting or recordkeeping violation.
(3) Non-recordkeeping violations. A person or entity that
violates part 382, subpart A, B, C, D, E, or F, part 385, or parts
390 through 399 of this subchapter, except a recordkeeping
requirement, is subject to a civil penalty not to exceed $15,691
for each violation.
(4) Non-recordkeeping violations by drivers. A driver who
violates parts 382, subpart A, B, C, D, E, or F, 385, and 390
through 399 of this subchapter, except a recordkeeping violation,
is subject to a civil penalty not to exceed $3,923.
(5) Violation of 49 CFR 392.5. A driver placed out of
service for 24 hours for violating the alcohol prohibitions of 49
CFR 392.5(a) or (b) who drives during that period is subject to a
civil penalty not to exceed $3,230 for a first conviction and not
less than $6,460 for a second or subsequent conviction.
(6) Egregious violations of driving-time limits in 49 CFR
part 395. A driver who exceeds, and a motor carrier that
requires or permits a driver to exceed, by more than 3 hours the
driving-time limit in 49 CFR 395.3(a) or 395.5(a), as applicable,
shall be deemed to have committed an egregious driving-time limit
violation. In instances of an egregious driving-time violation, the
Agency will consider the “gravity of the violation,” for purposes
of 49 U.S.C. 521(b)(2)(D), sufficient to warrant imposition of
penalties up to the maximum permitted by law.
(7) Harassment. In instances of a violation of §
390.36(b)(1) of this subchapter the Agency may consider the
“gravity of the violation,” for purposes of 49 U.S.C. 521(b)(2)(D),
sufficient to warrant imposition of penalties up to the maximum
permitted by law.
(b) Commercial driver's license (CDL) violations. Any
employer, employee, medical review officer, or service agent who
violates any provision of 49 CFR part 382, subpart G, or any person
who violates 49 CFR part 383, subpart B, C, E, F, G, or H, is
subject to a civil penalty not to exceed $5,833; except:
(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 $3,230
for a first conviction and not less than $6,460 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 $5,833 or
more than $32,297; 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 $16,743.
(c) [Reserved]
(d) Financial responsibility violations. A motor carrier
that fails to maintain the levels of financial responsibility
prescribed by part 387 of this subchapter or any person (except an
employee who acts without knowledge) who knowingly violates the
rules of part 387, subparts A and B, is subject to a maximum
penalty of $17,213. Each day of a continuing violation constitutes
a separate offense.
(e) Violations of the Hazardous Materials Regulations (HMRs)
and safety permitting regulations found in subpart E of part 385 of
this subchapter. This paragraph (e) applies to violations by
motor carriers, drivers, shippers and other persons who transport
hazardous materials on the highway in commercial motor vehicles or
cause hazardous materials to be so transported.
(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 $83,439 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 $502 and not more than $83,439
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 $83,439 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 $83,439.
(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 $194,691 for each offense.
(f) Operating after being declared unfit by assignment of a
final “unsatisfactory” safety rating. (1) A motor carrier
operating a commercial motor vehicle in interstate commerce (except
owners or operators of commercial motor vehicles 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 $27,813 (49 CFR 385.13). Each day the
transportation continues in violation of a final “unsatisfactory”
safety rating constitutes a separate offense.
(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 $83,439 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
$194,691 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).
Penalties for violations of the CRs are specified in 49 U.S.C.
chapter 149. These penalties relate to transportation subject to
the Secretary's jurisdiction under 49 U.S.C. chapter 135. Unless
otherwise noted, a separate violation occurs for each day the
violation continues.
(1) A person who operates as a motor carrier for the
transportation of property in violation of the registration
requirements of 49 U.S.C. 13901 is liable for a minimum penalty of
$11,125 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 $11,125 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 $27,813 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 $11,125 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 $15,299 for an intentional violation and a
maximum penalty of $38,250 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
$22,251 and a maximum penalty of $44,501 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 $1,673 per violation.
(8) A person -
(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 is liable for a minimum penalty of $3,349 for the first
violation and $8,372 for each subsequent violation.
(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 $167,433 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 to be the acts or
omissions of that carrier or shipper, as well as 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 $334 for the
first violation and $418 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 $838 for the
first violation and up to $3,349 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 $838 for the first violation and up to $3,349 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 $16,743 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 $1,112 and for a
maximum penalty of $8,372 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, water 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 $3,349.
(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 $838 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 $16,743 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 $12,919 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 $32,297 for each violation.
(h) Copying of records and access to equipment, lands, and
buildings. A person subject to 49 U.S.C. chapter 51 or a motor
carrier, broker, freight forwarder, or owner or operator of a
commercial motor vehicle subject to part B of subtitle VI of title
49 U.S.C. who fails to allow promptly, upon demand in person or in
writing, the Federal Motor Carrier Safety Administration, an
employee designated by the Federal Motor Carrier Safety
Administration, or an employee of a MCSAP grant recipient to
inspect and copy any record or inspect and examine equipment,
lands, buildings, and other property, in accordance with 49 U.S.C.
504(c), 5121(c), and 14122(b), is subject to a civil penalty of not
more than $1,292 for each offense. Each day of a continuing
violation constitutes a separate offense, except that the total of
all civil penalties against any violator for all offenses related
to a single violation shall not exceed $12,919.
(i) Evasion. A person, or an officer, employee, or agent
of that person:
(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 $2,226 but not more than $5,562 for the first
violation and at least $2,780 but not more than $8,344 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 $2,226 for the first violation or at least $5,562 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]