[Federal Register: February 16, 2000 (Volume 65, Number 32)]
[Rules and Regulations]
[Page 7753-7757]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr16fe00-23]
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DEPARTMENT OF TRANSPORTATION
Federal Motor Carrier Safety Administration
49 CFR Part 386
[Docket No. FMCSA-99-6438 (Formerly FHWA Docket No. FHWA-97-2299; MC-
96-18)]
RIN 2126-AA49
Rules of Practice for Motor Carrier Proceedings; Violations of
Commercial Regulations
AGENCY: Federal Motor Carrier Safety Administration (FMCSA), DOT.
ACTION: Final rule.
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SUMMARY: The FMCSA is amending its rules of practice for motor carrier
administrative proceedings to include proceedings arising under the ICC
Termination Act of 1995 (ICCTA). These proceedings formerly fell within
the jurisdiction of the Interstate Commerce Commission (ICC) and were
implemented and administered under ICC regulations. The ICCTA
transferred much of the ICC's motor carrier jurisdiction to the
Secretary of Transportation (Secretary), who delegated it to the
Federal Highway Administration (FHWA), effective January 1, 1996, and
redelegated it to the Office of Motor Carrier Safety (OMCS), effective
October 9, 1999. This jurisdiction was again redelegated to the FMCSA,
effective January 1, 2000. However, the FMCSA's rules of practice for
motor carrier administrative proceedings apply only to proceedings
involving violations of the Federal Motor Carrier Safety and Hazardous
Materials regulations. This final rule ensures that all civil
forfeiture and investigation proceedings instituted by the FMCSA are
governed by uniform and consistent procedures. The FMCSA is also making
technical amendments to reflect recent organizational changes, remove
obsolete statutory citations, and incorporate recent statutory changes
affecting the civil penalty schedule.
EFFECTIVE DATE: March 17, 2000.
FOR FURTHER INFORMATION CONTACT: Mr. Neill Thomas, Office of Bus and
Truck Standards and Operations, (202) 366-2983, Federal Motor Carrier
Safety Administration, Department of Transportation, 400 Seventh
Street, SW., Washington, DC 20590; and Mr. Michael J. Falk, Office of
the Chief Counsel, HCC-20, (202) 366-1384, Federal Highway
Administration, Department of Transportation, 400 Seventh Street, SW.,
Washington, DC 20590. Office hours are from 8 a.m. to 4:30 p.m., e.t.,
Monday through Friday, except Federal holidays.
SUPPLEMENTARY INFORMATION:
Electronic Access
Internet users may access all comments received by the U.S. DOT
Dockets, Room PL-401, by using the universal resource locator (URL):
http://dms.dot.gov. It is available 24 hours each day, 365 days each
year. Please follow the instructions online for more information and
help.
An electronic copy of this document may be downloaded by using a
computer, modem and suitable communications software from the
Government Printing Office's Electronic Bulletin Board Service at (202)
512-1661. Internet users may reach the Office of the Federal Register's
home page at: http://www.nara.gov/fedreg and the Government Printing
Office's web page at: http://www.access.gpo.gov/nara.
Creation of New Agency
In October 1999, the Secretary of Transportation rescinded the
authority previously delegated to the Federal Highway Administrator to
perform the motor carrier functions and operations, and to carry out
the duties and powers related to motor carrier safety, that are
statutorily vested in the Secretary. That authority was redelegated to
the Director of the Office of Motor Carrier Safety (OMCS), a new office
within the Department (see, 64 FR 56270, October 19, 1999, and 64 FR
58356, October 29, 1999). The OMCS had previously been the FHWA's
Office of Motor Carriers (OMC).
The Motor Carrier Safety Improvement Act of 1999 established the
Federal Motor Carrier Safety Administration as a new operating
administration within the Department of Transportation, effective
January 1, 2000 (Pub. L. 106-159, 113 Stat. 1748,
[[Page 7754]]
December 9, 1999). Under 49 U.S.C. 113(f), the Administrator of the
FMCSA is delegated authority to carry out the duties and powers vested
in the Secretary by chapters 5, 51, 55, 57, 59, 133 through 149, 311,
315 and 317 of title 49, United States Code, as well as additional
duties. Effective January 1, 2000, the Secretary rescinded the
authority delegated to the Director of the OMCS and redelegated it to
the Administrator of the FMCSA (65 FR 220, January 4, 2000).
The staff previously assigned to the FHWA's OMC, and then to the
OMCS, are now assigned to the FMCSA. The motor carrier functions of the
FHWA's Resource Centers and Division (i.e., State) Offices have been
transferred without change to the FMCSA Resource Centers and FMCSA
Division Offices, respectively. For the time being, all phone numbers
and addresses are unchanged. Similarly, rulemaking activities begun
under the auspices of the FHWA and continued under the OMCS will be
completed by the FMCSA.
Background
On April 29, 1996, the FHWA published a notice of proposed
rulemaking (NPRM) proposing to amend its rules of practice for motor
carrier administrative proceedings arising under the Federal Motor
Carrier Safety and Hazardous Materials regulations (61 FR 18866). This
proposal envisioned a comprehensive revision and reorganization of the
rules of practice and motor carrier safety rating procedures, replacing
49 CFR parts 385 and 386 with new parts 361 through 364. On October 21,
1996, the FHWA published a supplemental notice of proposed rulemaking
(SNPRM) which proposed making the revised rules of practice also
applicable to proceedings arising under the ICCTA (Pub. L. 104-88, 109
Stat. 803) by inserting in the regulatory text references to the ICCTA
and regulations implementing that statute (designated the commercial
regulations) (61 FR 54601). The SNPRM also proposed to amend the rules
of practice by incorporating the civil penalties provided in the ICCTA.
Following publication of the NPRM and the SNPRM, it was decided to
incorporate revised rules of practice into the FHWA-initiated zero-base
rulemaking proceeding, a comprehensive reorganization and redrafting of
the Federal Motor Carrier Safety Regulations (FMCSRs) in a more reader-
friendly format. Accordingly, the FMCSA plans to supersede the NPRM
with a new proposal to be published in connection with the zero-base
proceeding. As a result, final implementation of revised rules of
practice will be delayed for an indefinite period of time.
The FMCSA believes, however, that it is necessary to implement the
proposed expansion of the rules of practice to include ICCTA-related
administrative proceedings without further delay. As stated in the
SNPRM, civil penalty procedures for safety and hazardous materials
violations are governed by part 386, while violations of the ICCTA and
the commercial regulations are subject to 49 CFR part 1021, the old ICC
civil penalty procedures. These two parts have significant differences.
For example, part 386 requires recipients of civil forfeiture claim
letters to reply within a specified time with prescribed information in
order to administratively resolve the claim. Failure to respond may
result in the entry of an administratively final agency order
enforceable in court. On the other hand, part 1021 does not require
responses to claim letters or establish specific procedures for
resolving claims. Failure to respond does not result in an agency
order. If an FMCSA investigation or compliance review discloses
violations of both the safety and commercial regulations, the FMCSA
would have to issue two separate claim letters and apply different
administrative procedures in resolving the claim. The confusion and
inefficiency engendered by these procedural dissimilarities would be
eliminated by adopting uniform procedures for all FMCSA civil penalty
proceedings.
The FHWA received no public comments in response to the October
1996 SNPRM. Because the proposal to apply the rules of practice to
commercial violations is uncontroversial and can be accomplished by
making relatively minor changes to the regulatory text of part 386, we
are implementing this proposal immediately by amending part 386 rather
than waiting for final implementation of revised rules of practice in
connection with the zero-base rulemaking proceeding.
Summary of Changes
References to the ICCTA are added to Sec. 386.1, which delineates
the scope of the rules, and to the definition of ``civil forfeiture
proceedings'' in Sec. 386.2. A definition of ``commercial regulations''
is added to Sec. 386.2 and that term is inserted in Secs. 386.11 and
386.21. Section 386.81 is amended to reflect the fact that many of the
penalties provided under the ICCTA are stated in terms of minimum,
rather than maximum, amounts. This section is also amended to
incorporate the ICCTA requirement that civil penalties related to the
transportation of household goods be based on the degree of harm caused
to the shipper and whether the shipper has been adequately compensated
before institution of the civil penalty proceeding. The penalty
schedule for part 386 (Appendix B) is amended to include the penalties
prescribed in the ICCTA, as well as reflect changes to statutory
penalties enacted in the MCSIA and the Transportation Equity Act for
the 21st Century (TEA-21) (Pub. L. 105-178, 112 Stat. 107 (1998)).
Prior to TEA-21, non-recordkeeping violations of the FMCSRs were
classified as either Serious Patterns of Safety violations or
Substantial Health or Safety violations. The TEA-21 eliminated these
classifications, established a uniform maximum civil penalty of $10,000
for non-recordkeeping offenses, eliminated the ``reckless disregard''
and ``gross negligence'' liability standard for assessing civil
penalties against employees, and raised the maximum penalty for
employees to $2,500. The TEA-21 also reestablished a $500 penalty for
recordkeeping violations and increased the maximum amount assessable
for all offenses related to any single violation to $5,000. The penalty
schedule, which had increased the penalty per violation to $550 in
accordance with the Debt Collection Improvement Act of 1996 (Pub. L.
104-134, 110 Stat. 1321-358), is adjusted accordingly.
Technical amendments have been made to part 386 to reflect
organizational changes brought about by the MCSIA. The responsibilities
formerly exercised by the FHWA's Associate Administrator for Motor
Carriers have been assumed by the FMCSA's Acting Deputy Administrator
and Acting Chief Safety Officer, effective January 1, 2000. The
responsibilities of the former FHWA's Office of Motor Carrier Safety
Field Operations have been assumed by the new FMCSA's Office of Motor
Carrier Enforcement. The FHWA restructuring also eliminated the FHWA's
regional offices and transferred many of the responsibilities formerly
held by the Regional Directors of Motor Carriers to the State Directors
of Motor Carriers, who are now part of the FMCSA. Obsolete titles and
organizational references have been removed and replaced by their
current organizational equivalents.
Part 386 contains numerous statutory citations which have become
obsolete as a result of recodification or repeal.
[[Page 7755]]
These citations are updated to reflect the revised codification.
Executive Order 12866 (Regulatory Planning and Review) and DOT
Regulatory Policies and Procedures
The FMCSA has determined that this action is not a significant
regulatory action within the meaning of Executive Order 12866 or
significant within the meaning of Department of Transportation
regulatory policies and procedures. It is anticipated that the economic
impact of this rulemaking will be minimal; therefore, a full regulatory
evaluation is not required. The rulemaking merely amends provisions of
the rules of practice for motor carrier safety and hazardous materials
proceedings by making technical changes and expanding their application
to proceedings arising under the ICC Termination Act of 1995. Because
the DOT acquired new statutory responsibilities under the ICCTA, this
action establishes one set of procedures and thereby reduces
duplicative regulation. A regulatory evaluation is not required because
of the ministerial nature of such action.
Regulatory Flexibility Act
In compliance with the Regulatory Flexibility Act (5 U.S.C. 601-
612), the FMCSA has evaluated the effects of this rule on small
entities. No economic impacts are foreseen as the rule imposes no
additional substantive burdens that are not already required by the
statutes and regulations to which these procedural rules apply.
Accordingly, the FMCSA certifies that this action will not have a
significant economic impact on a substantial number of small entities.
Unfunded Mandates Reform Act of 1995
This rule does not impose a Federal mandate resulting in the
expenditure by State, local and tribal governments, in the aggregate,
or by the private sector, of $100 million or more in any one year. (2
U.S.C. 1531 et seq.).
Executive Order 12988 (Civil Justice Reform)
This action meets applicable standards in sections 3(a) and 3(b)(2)
of Executive Order 12988, Civil Justice Reform, to minimize litigation,
eliminate ambiguity, and reduce burden.
Executive Order 13045 (Protection of Children)
We have analyzed this action under Executive Order 13045,
Protection of Children from Environmental Health Risks and Safety
Risks. This rule is not an economically significant rule and does not
concern an environmental risk to health or safety that may
disproportionately affect children.
Executive Order 12630 (Taking of Private Property)
This rule will not effect a taking of private property or otherwise
have taking implications under Executive Order 12630, Governmental
Actions and Interference with Constitutionally Protected Property
Rights.
Executive Order 13132 (Federalism)
This action has been analyzed in accordance with the principles and
criteria contained in Executive Order 13132, dated August 4, 1999, and
it has been determined this action does not have a substantial direct
effect or sufficient federalism implications on States that would limit
the policymaking discretion of the States. Nothing in this document
directly preempts any State law or regulation.
Executive Order 12372 (Intergovernmental Review)
Catalog of Federal Domestic Assistance Program Number 20.217, Motor
Carrier Safety. The regulations implementing Executive Order 12372
regarding intergovernmental consultation on Federal programs and
activities do not apply to this program.
Paperwork Reduction Act
This action does not contain information collection requirements
for purposes of the Paperwork Reduction Act of 1995, 44 U.S.C. 3501-
3520.
National Environmental Policy Act
The agency has analyzed this action for the purpose of the National
Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and has
determined that this action would not have any effect on the quality of
the environment.
Regulation Identification Number
A regulation identification number (RIN) is assigned to each
regulatory action listed in the Unified Agenda of Federal Regulations.
The Regulatory Information Service Center publishes the Unified Agenda
in April and October of each year. The RIN number contained in the
heading of this document can be used to cross reference this action
with the Unified Agenda.
List of Subjects in 49 CFR Part 386
Administrative procedures, Commercial motor vehicle safety, Highway
safety, Motor carriers.
Issued on: February 9, 2000.
Julie Anna Cirillo,
Acting Deputy Administrator.
In consideration of the foregoing and under the authority of
section 103 of the ICC Termination Act of 1995, Public Law 104-88, 109
Stat. 803, and 49 CFR 1.73, the FMCSA amends title 49, chapter III, as
follows:
PART 386--RULES OF PRACTICE FOR MOTOR CARRIER PROCEEDINGS
1. The authority citation for Part 386 is revised to read as
follows:
Authority: 49 U.S.C. 113, Chapters 5, 51, 59, 131-141, 145-149,
311, 313, and 315; and 49 CFR 1.45 and 1.73.
2. Revise the part heading to read as shown above.
3. In part 386, revise all references to ``Federal Highway
Administration'' to read ``Federal Motor Carrier Safety
Administration'' and ``FHWA'' to read ``FMCSA''.
4. In part 386, revise all references to ``Associate
Administrator'' to read ``Assistant Administrator'' and ``Associate
Administrator's'' to read ``Assistant Administrator's''.
5. Revise Sec. 386.1 to read as follows:
Sec. 386.1 Scope of rules in this part.
The rules in this part govern procedures in proceedings before the
Assistant Administrator authorized by the Commercial Motor Vehicle
Safety Act of 1986 (49 U.S.C. Chapter 313); the Motor Carrier Safety
Act of 1984 (49 U.S.C. Chapter 311, Subchapter III); the recodification
of title 49, United States Code, Transportation (49 U.S.C. 104(c)(2),
501 et seq., 3101 et seq.); the Hazardous Materials Transportation Act
of 1975, as amended (49 U.S.C. Chapter 51); section 18 of the Bus
Regulatory Reform Act of 1982 (49 U.S.C. 31138); section 30 of the
Motor Carrier Act of 1980 (49 U.S.C. 31139); and the ICC Termination
Act of 1995 (49 U.S.C. Chapters 131-149). The purpose of the
proceedings is to enable the Assistant Administrator to determine
whether motor carriers, property brokers or freight forwarders, their
agents, employees, or any other person subject to the jurisdiction of
the FMCSA under any of the above-mentioned Acts has failed to comply
with any provision or requirement of these statutes and the regulations
issued under them and, if such a violation is found, to issue an
appropriate order to compel compliance with the statute or regulation,
assess a civil penalty, or both.
6. Amend Sec. 386.2 by removing the definition of ``Associate
Administrator''; by revising the definitions of ``Administration'',
``civil forfeiture
[[Page 7756]]
proceedings'' and ``motor carrier'' and by adding the definitions of
``Assistant Administrator'' and ``commercial regulations'' to read as
follows:
Sec. 386.2 Definitions.
* * * * *
Administration means the Federal Motor Carrier Safety
Administration.
* * * * *
Assistant Administrator means the Assistant Administrator of the
Federal Motor Carrier Safety Administration and Chief Safety Officer,
or his/her authorized delegate.
Civil forfeiture proceedings means proceedings to collect civil
penalties for violations under the Commercial Motor Vehicle Safety Act
of 1986 (49 U.S.C. Chapter 313); the Hazardous Materials Transportation
Act of 1975, as amended (49 U.S.C. Chapter 51); the Motor Carrier
Safety Act of 1984 (49 U.S.C. Chapter 311, Subchapter III); section 18
of the Bus Regulatory Reform Act of 1982 (49 U.S.C. 31138); section 30
of the Motor Carrier Act of 1980 (49 U.S.C. 31139); and the ICC
Termination Act of 1995 (49 U.S.C. Chapters 131-149).
* * * * *
Commercial regulations means statutes and regulations that apply to
persons providing or arranging transportation for compensation subject
to the Secretary's jurisdiction under 49 U.S.C. Chapter 135. The
statutes are codified in Part B of Subtitle IV, Title 49, U.S.C. (49
U.S.C. 13101 through 14913). The regulations include those issued by
the Federal Motor Carrier Safety Administration or its predecessors
under authority provided in 49 U.S.C. 13301 or a predecessor statute.
* * * * *
Motor carrier means a motor carrier, motor private carrier, or
motor carrier of migrant workers as defined in 49 U.S.C. 13102 and
31501.
* * * * *
7. Amend Sec. 386.11 by removing the words ``Motor Carrier
Standards'' and adding ``Truck and Bus Standards and Operations'' in
paragraph (a); by revising the first sentence of the introductory text
of paragraph (c); and by revising paragraph (c)(1)(ii) to read as
follows:
Sec. 386.11 Commencement of proceedings.
* * * * *
(c) Notice of Investigation. This is a notice to respondent that
the FMCSA has discovered violations of the Federal Motor Carrier Safety
Regulations, Hazardous Materials Regulations, or Commercial Regulations
under circumstances which may require a compliance order and/or
monetary penalties. * * *
* * * * *
(c) * * *
(1) * * *
(ii) The name and address of each motor carrier, broker, or freight
forwarder against whom relief is sought;
* * * * *
8. Revise Sec. 386.21(b)(7) to read as follows:
Sec. 386.21 Compliance order.
* * * * *
(b) * * *
(7) A statement that the order constitutes final agency action,
subject to review as provided in 49 U.S.C. 521(b)(8) for violations of
regulations issued under the authority of 49 U.S.C. 31502, the Motor
Carrier Safety Act of 1984 or sections 12002, 12003, 12004, 12005(b),
or 12008(d)(2) of the Commercial Motor Vehicle Safety Act of 1986; or
as provided in 5 U.S.C. 701 et seq., for violations of regulations
issued under the authority of 49 U.S.C. 5123 (hazardous materials
proceedings) or 49 U.S.C. 31138-31139 (financial responsibility
proceedings) or violations of the commercial regulations.
* * * * *
9. Revise Sec. 386.23(a)(5) to read as follows:
Sec. 386.23 Content of consent order.
(a) * * *
(5) Provisions that the order has the same force and effect,
becomes final, and may be modified, altered, or set aside in the same
manner as other orders issued under 49 U.S.C. Chapters 5, 131-149, 311
and 315.
* * * * *
Sec. 386.48 [Amended]
10. Amend Sec. 386.48 by removing the words ``Motor Carrier
Standards'' and adding ``Truck and Bus Standards and Operations''.
Sec. 386.71 [Amended]
11. Amend Sec. 386.71 by removing the words ``section 3102'' and
adding ``section 13502''; by removing the words ``Federal Highway
Administrator'' and adding ``Federal Motor Carrier Safety
Administrator'; and by removing the figure ``1810'' and adding
``5122''.
Sec. 386.72 [Amended]
12. Amend Sec. 386.72 by removing the figure ``1810'' and adding
``5122'' in paragraph (a); by removing the words ``49 U.S.C. 3102'' and
adding ``49 U.S.C. 13502'' in paragraph (b)(1); by removing the words
``Motor Carrier Safety Field Operations'' and adding ``Office of
Enforcement and Compliance'' in paragraph (b)(1); and by removing the
words ``Regional Director of Motor Carriers'' and adding ``State
Director'' in paragraph (b)(1).
13. Revise Sec. 386.81(a) to read as follows:
Sec. 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, ability to pay,
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.
* * * * *
14. Amend appendix B to part 386 in the introductory paragraph by
revising the second sentence; by revising paragraphs (a)(1) through
(a)(4), and (b); and by adding paragraph (g) to read as follows:
Appendix B to Part 386--Penalty Schedule; Violations and Maximum
Monetary Penalties
* * * . Pursuant to that authority, the inflation-adjusted civil
penalties listed in paragraphs (a)(5) and (b) through (f) below
supersede the corresponding civil penalty amounts listed in title
49, United States Code.
* * * * *
(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 parts 385 and 390-399 of this
subchapter, or prepares or maintains a required record that is
incomplete, inaccurate, or false, is subject to a maximum civil
penalty of $500 for each day the violation continues, up to $5,000.
(2) Knowing falsification of records. A person or entity that
knowingly falsifies, destroys, mutilates or changes a report or
record required by parts 385 and 390-399 of this subchapter,
knowingly makes or causes to be made a false or incomplete record
about
[[Page 7757]]
an operation or business fact or transaction, or knowingly makes,
prepares, or preserves a record in violation of a regulation or
order of the Secretary is subject to a maximum civil penalty of
$5,000 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 who
violates parts 385 or 390-399 of this subchapter, except a
recordkeeping requirement, is subject to a civil penalty not to
exceed $10,000 for each violation.
(4) Non-recordkeeping violations by drivers. A driver who
violates parts 385 and 390-399 of this subchapter, except a
recordkeeping violation, is subject to a civil penalty not to exceed
$2,500.
(5) * * *
(b) Commercial driver's license (CDL) violations. Any person who
violates 49 CFR part 383, subparts B, C, E, F, G, or H is subject to
a civil penalty of $2,750.
* * * * *
(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 fails to make a report, to specifically,
completely, and truthfully answer a question, or to make, prepare,
or preserve a record in the form and manner prescribed is liable for
a minimum penalty of $500 per violation.
(2) A person who operates as a carrier or broker for the
transportation of property in violation of the registration
requirements of 49 U.S.C. 13901 is liable for a minimum penalty of
$500 per 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 $2,000 per violation.
(4) A person who operates as a foreign motor carrier or foreign
motor private carrier in violation of the provisions of 49 U.S.C.
13902 (c) is liable for a minimum penalty of $500 per violation.
(5) A person who operates as a foreign motor carrier or foreign
motor private carrier without authority, before the implementation
of the land transportation provisions of the North American Free
Trade Agreement, outside the boundaries of a commercial zone along
the United States-Mexico border is liable for a maximum penalty of
$10,000 for an intentional violation and a maximum penalty of
$25,000 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 maximum penalty of
$20,000 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 $1,000 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 $2,000 for the first
violation and $5,000 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 $100,000 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 and 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 $200 for the first violation and $250 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 $500 for the first
violation and up to $2,000 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 $500 for the first violation and up to $2,000 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 $10,000 per
violation.
(15) A person, or an officer, employee, or agent of that person,
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 $200 for
the first violation and at least $250 for a subsequent violation.
(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 maximum penalty of $5,000 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 $2,000.
(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 or 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 $500 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.
[FR Doc. 00-3661 Filed 2-15-00; 8:45 am]
BILLING CODE 4910-22-P
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