18146 Federal Register / Vol. 80, No. 64 / Friday, April 3, 2015 / Rules and Regulations 

that the requirements of the Second 

Order on Reconsideration will not have 

a significant economic impact on a 

substantial number of small entities. 

12. The Commission will send a copy 

of the Second Order on Reconsideration, 

including a copy of this final 

certification, in a report to Congress 

pursuant to the Congressional Review 

Act, see U.S.C. 801(a)(1)(A). In addition, 

the Second Order on Reconsideration 

and this certification will be sent to the 

Chief Counsel for Advocacy of the Small 

Business Administration. A copy of this 

Second Order on Reconsideration and 

this certification (or summaries thereof) 

will also be published in the Federal 

Register. See 5 U.S.C. 604(b). 

III. Ordering Clauses 

13. Accordingly, it is ordered 

pursuant to sections 4(i), 303(r), and 405 

of the Communications Act of 1934, as 

amended, 47 U.S.C. 154(i), 303(r), 405, 

and § 1.429 of the Commission’s rules, 

47 CFR 1.429, that the Petition for 

Reconsideration of the Fifth Report and 

Order filed by the Public Safety 

Communications Council on June 12, 

2013, is granted to the extent set forth 

herein. 

14. It is further ordered that part 90 

of the Commission’s rules is amended, 

effective May 4, 2015. 

List of Subjects in 47 CFR Part 90 

Communications equipment, Radio, 

Reporting and recordkeeping 

requirements. 

Federal Communications Commission. 

Marlene H. Dortch, 

Secretary. 

For the reasons discussed, the Federal 

Communications Commission amends 

47 CFR part 90 as follows: 

PART 90—PRIVATE LAND MOBILE 

RADIO SERVICES 

■ 1. The authority citation for part 90 

continues to read as follows: 

Authority: Sections 4(i), 11, 303(g), 303(r), 

and 332(c)(7) of the Communications Act of 

1934, as amended, 47 U.S.C. 154(i), 161, 

303(g), 303(r), and 332(c)(7) and Title VI of 

the Middle Class Tax Relief and Job Creation 

Act of 2012, Pub. L. 112–96 Stat. 156. 

■ 2. Section 90.187 is amended by 

revising paragraphs (d)(1)(ii)(A) and 

(d)(3) to read as follows: 

§ 90.187 Trunking in the bands between 

150 and 512 MHz. 

* * * * * 

(d) * * * 

(1) * * * 

(ii) * * * 

(A) Licensees (and filers of previously 

filed pending applications) with a 

service contour (37 dBu for stations in 

the 150–174 MHz band, and 39 dBu for 

stations in the 421–512 MHz band) that 

is overlapped by the proposed 

centralized trunked station’s 

interference contour (19 dBu for stations 

in the 150–174 MHz band, and 21 dBu 

for stations in the 421–512 MHz band). 

Contour calculations are required for 

base station facilities. Contour 

calculations are required for associated 

mobile stations only in the 150–174 

MHz band, with the associated base 

station’s service contour used as both 

the mobile station’s service contour and 

its interference contour. 

* * * * * 

(3) In addition, the service contour for 

proposed centralized trunked stations 

on Industrial/Business Pool frequencies 

shall not be overlapped by an 

incumbent licensee’s interference 

contour. An application filed for Public 

Safety Pool frequencies, see § 90.20, for 

a proposed centralized trunked station 

in which the service contour of the 

proposed station is overlapped by the 

interference contour of the incumbent 

station(s) is allowed, but the applicant 

must accept any resultant interference. 

* * * * * 

[FR Doc. 2015–07600 Filed 4–2–15; 8:45 am] 

BILLING CODE 6712–01–P 

DEPARTMENT OF TRANSPORTATION 

Federal Motor Carrier Safety 

Administration 

49 CFR Parts 383, 385, 386 and 387 

[Docket Number: FMCSA–2014–0261] 

RIN 2126–AB75 

Civil Penalties Inflation Adjustments 

AGENCY: Federal Motor Carrier Safety 

Administration (FMCSA), DOT. 

ACTION: Final rule. 

SUMMARY: The FMCSA specifies 

inflation adjustments to civil penalty 

amounts assessed to those who violate 

the Federal Motor Carrier Safety 

Regulations (FMCSRs) and Hazardous 

Materials Regulations (HMRs). Some of 

these adjustments are required by the 

Federal Civil Penalties Inflation 

Adjustment Act of 1990 (Adjustment 

Act), as amended by the Debt Collection 

Improvement Act of 1996 (DCIA). Most 

of the civil penalties were last adjusted 

for inflation in 2007, and some have not 

been changed since 2003. Other changes 

to the civil penalties were mandated by 

Congress in the Moving Ahead for 

Progress in the 21st Century Act (MAP– 

21). This final rule ensures that 

FMCSA’s civil penalties are consistent 

with the applicable statutes. 

DATES: Effective June 2, 2015. 

FOR FURTHER INFORMATION CONTACT: Ms. 

Nikki McDavid, Enforcement Division, 

by email at nikki.mcdavid@dot.gov or 

phone at 202–366–0831. Office hours 

are from 8:00 a.m. to 4:30 p.m. Monday 

through Friday, except Federal holidays. 

SUPPLEMENTARY INFORMATION: 

The Supplementary Information 

section of this rule is organized as 

follows. 

Table of Contents 

I. Executive Summary 

A. Purpose and Summary of Major 

Provisions 

B. Benefits and Costs 

II. Legal Basis for the Rulemaking 

A. MAP–21 

B. The Debt Collection Improvement Act of 

1996 

C. SAFETEA–LU 

D. Other Authorities 

III. Background 

A. Method of Calculation 

IV. Section-by-Section Analysis 

V. Rulemaking Analyses and Notices 

I. Executive Summary 

A. Purpose and Summary of the Major 

Provisions 

This final rule adjusts the amount of 

FMCSA’s civil penalties to account for 

inflation as directed by the Adjustment 

Act, as amended by the DCIA. The 

specific inflation adjustment 

methodology is described below. This 

final rule also eliminates existing 

inconsistencies between regulatory 

language in Appendices A and B of 49 

U.S.C. part 386 and other parts of the 

FMCSRs by removing the penalty 

amounts from the regulatory language 

and listing all penalty amounts in these 

appendices only. Finally, this 

rulemaking addresses changes to the 

hazardous material civil penalties 

violations which were mandated by 

MAP–21. 

B. Benefits and Costs 

The changes imposed by this final 

rule upon the civil penalty amounts 

alter only the magnitude of transfer 

payments; transfer payments by 

definition are not considered in the 

monetization of societal costs and 

benefits of rulemakings. Congress has 

stated in the Adjustment Act, section 2, 

that increasing penalties over time will 

deter violations. Therefore, with this 

deterrence, FMCSA infers that there 

may be some safety benefits that occur 

due to this final rule. The deterrence 

effect of increasing penalties, which 

Congress has recognized, cannot be 


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reliably quantified into safety benefits, 

however. 

II. Legal Basis for the Rulemaking 

This rulemaking is based primarily on 

three statutes. 

A. The Debt Collection Improvement 

Act of 1996 

To preserve the remedial effect of 

civil penalties and foster compliance 

with applicable regulations, the 

Adjustment Act (Pub. L. 101–410, 104 

Stat. 890, October 5, 1990), as amended 

by the DCIA, (Pub. L. 104–134, April 26, 

1996, 110 Stat. 1321–1373; 28 U.S.C. 

2461), requires Federal agencies to 

regularly adjust certain civil penalties 

for inflation. The statute requires each 

agency to make an initial inflationary 

adjustment for all applicable civil 

penalties and to make further 

adjustments to these penalty amounts. 

The detailed methodology required by 

statute is discussed in the Background 

section below. 

B. MAP–21 

This rule’s authority is partly based 

on MAP–21 (Pub. L. 112–141, 126 Stat. 

405, July 6, 2012). Specifically, the 

authority comes from Title III of MAP– 

21, the Hazardous Materials 

Transportation Safety Improvement Act 

of 2012, including section 33010, which 

amended 49 U.S.C. 5123, a civil penalty 

provision, effective on October 1, 2012. 

Previously, 49 U.S.C. 5123 provided 

for penalties of not less than $250 and 

not more than $50,000 for violations of 

regulations related to the transportation 

of hazardous materials, and not less 

than $450 and not more than $50,000 

for violations of regulations related to 

hazardous materials training. For 

violations that resulted in death, serious 

illness, or severe injury to any person or 

substantial destruction of property, 

section 5123 provided for penalties up 

to $100,000. MAP–21 amended section 

5123 to remove the minimum penalty 

for violations related to the 

transportation of hazardous materials, 

provide for penalties up to $75,000 for 

violations related to the transportation 

of hazardous materials or training, and 

$175,000 in the event of death, serious 

illness, severe injury or substantial 

destruction of property. To implement 

these changes, this final rule amends 49 

CFR part 386, Appendix B (e)(1–5). 

Other MAP–21 provisions that are the 

basis for changes to additional civil 

penalties in this final rule include: 

Section 32108, Reporting and 

recordkeeping related to operating 

authority registration (49 U.S.C. 

14901(a)); section 32108, Passenger 

carrier operating without registration 

(49 U.S.C. 14901(a)); section 32108, 

Property carrier operating without 

registration (49 U.S.C. 14901(a)); section 

32108, a motor carrier or broker 

transporting hazardous waste without 

registration (49 U.S.C. 14901(b)); section 

32110, Disobedience to a subpoena (49 

U.S.C. 525); section 32503, Operating in 

violation of an unsatisfactory/unfit out 

of service order (49 U.S.C. 521(b)(2)(F)); 

section 32503, Operating in violation of 

an imminent hazard order (49 U.S.C. 

521(b)(2)(F)); section 32505, Strikes 

‘‘knowingly and willfully’’ from 49 

U.S.C. 524 (evasion of safety-related 

regulations); section 32505, Evasion of 

commercial regulations (49 U.S.C. 

14906);); and section 32919, Unlawful 

brokering (49 U.S.C. 14916). 

C. SAFETEA–LU 

Two provisions under the Safe 

Accountable, Flexible, Efficient 

Transportation Equity Act: A Legacy for 

Users (Pub. L. 109–59, 119 Stat. 1144, 

Aug. 10, 2005), (SAFETEA–LU) 

provides authority to increase civil 

penalties. First, section 4102 (b), 

codified at 49 U.S.C. 31310 (i)(2)(C), 

addresses an employer of a CDL-holder 

who knowingly allows, requires, 

permits, or authorizes an employee to 

operate a CMV when the CDL-holder is 

subject to an out-of-service order. 

Second, section 4209 (d)(3), codified at 

49 U.S.C. 14901 (d)(3), addresses 

providing household good 

transportation without a registration. 

D. Other Authorities 

Generally, agencies may promulgate 

final rules only after issuing a notice of 

proposed rulemaking and providing an 

opportunity for public comment under 

procedures required by the 

Administrative Procedure Act (5 U.S.C. 

551–706) (APA), as provided in 5 U.S.C. 

553(b) and (c). The APA provides a good 

cause exception from these 

requirements when notice and public 

comment procedures are 

‘‘impracticable, unnecessary, or contrary 

to the public interest’’ (5 U.S.C. 

553(b)(3)(B)). However, the good cause 

exception requires an agency finding 

that includes a brief statement of 

reasons in the rules issued to dispense 

with notice and comment procedures. 

In this instance, FMCSA finds that 

notice and comment is unnecessary 

prior to adoption of this final rule 

because adjustments to civil penalties 

are statutorily mandated by Congress 

and the Agency’s final rule is a 

nondiscretionary, ministerial act to 

implement these statutory obligations. 

The amendments made in this final rule 

merely adjust penalty provisions for 

inflation and do not impose new 

discretionary requirements on the 

public. For these reasons, the FMCSA 

finds good cause that notice and public 

comment in accordance with the APA 

on this final rule is unnecessary. For the 

same reasons the agency finds notice 

and comment procedures unnecessary 

under 49 U.S.C. 553(b)(3)(B), the agency 

also finds good cause under 49 U.S.C. 

553(d) that this rule be effective on the 

date of publication in the Federal 

Register. 

Finally, 49 U.S.C. 31138 (c)(4) and 49 

U.S.C. 31139 (c) are authorities relied 

upon to address technical amendments 

to part 387 regarding factors FMCSA 

must take into account in assessing 

penalties, which includes the ability of 

parties to pay violations. These changes 

to part 387 capture the precise statutory 

language of those authorities. 

III. Background 

This final rule eliminates existing 

inconsistencies between regulatory 

language in Appendices A and B of part 

386 and other parts of the FMCSRs by 

removing the penalty amounts from the 

regulatory language and listing all 

penalty amounts in these appendices 

only. Specifically, for ease of reference, 

the penalty amounts contained in 

sections 383.53 (b) and (c), section 

385.111(h), section 387.17, and section 

387.41 are removed and now referenced 

only in Appendix B. 

A. Method of Calculation 

Under the DCIA, the inflation 

adjustment for each civil penalty is 

determined by increasing the maximum 

civil penalty amount per violation by 

applying a cost-of-living adjustment. 

The DCIA specifies the cost-of-living 

adjustment as the percentage by which 

the Consumer Price Index (CPI) ‘‘for the 

month of June of the calendar year 

preceding the adjustment exceeds the 

CPI for the month of June of the year in 

which the amount of such civil penalty 

was last set or adjusted pursuant to law’’ 

((section 5(b))). Any calculated increase 

under this adjustment is subject to a 

specific rounding formula set forth in 

the DCIA as follows: 

(1) Multiple of $10 in the case of 

penalties less than or equal to $100; 

(2) multiple of $100 in the case of 

penalties greater than $100 but less than 

or equal to $1,000; 

(3) multiple of $1,000 in the case of 

penalties greater than $1,000 but less 

than or equal to $10,000; 

(4) multiple of $5,000 in the case of 

penalties greater than $10,000 but less 

than or equal to $100,000; 

(5) multiple of $10,000 in the case of 

penalties greater than $100,000 but less 

than or equal to $200,000; and 


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1For this calculation, FMCSA utilized the 

unrounded CPI values and rounded the inflation 

factor to the nearest tenth. The exact calculation is 

(238.343/208.352) = 1.14. 

(6) multiple of $25,000 in the case of 

penalties greater than $200,000. 

For example, under Appendix A of 49 

CFR part 386, part IV, paragraph (e), 

failure to return a written certification of 

correction as required by an out-ofservice order, is subject to a civil 

penalty. The penalty was adjusted for 

inflation on September 28, 2007 (72 FR 

55100), resulting in a maximum penalty 

of $750 per violation. The CPI was 

approximately 238 in June 2014, and 

208 in June 7, 2007 (see U.S. Bureau of 

Labor Statistics at http://www.bls.gov/

cpi/). Thus, the inflation factor is 238/ 

208 or 1.14.1 The new penalty amount 

after the increase is the result of 

multiplying $750 × 1.14 = $855. Under 

the statute, however, the inflation 

adjustment increase is to be rounded to 

the nearest multiple of $100 in the case 

of penalties greater than $100 but less 

than or equal to $1,000. In this example, 

the amount of the increase in the daily 

maximum penalty was $105, and when 

rounded to the nearest multiple of $100 

equals $100, so the new daily maximum 

penalty is $850. Therefore, Appendix A, 

49 CFR part 386, part IV, paragraph (e) 

is revised to provide an adjusted 

maximum penalty of $850 ($750 + $100) 

per violation. 

The 1.14 inflation factor is used to 

adjust penalties that were adjusted in 

2007, which included penalties: Under 

the Transportation Equity Act for the 

21st Century (Pub. L. 105–178, 112 Stat. 

107); established in the ICC Termination 

Act of 1995 (Pub. L. 104–88, 109 Stat. 

809); and enacted in the Motor Carrier 

Safety Improvement Act of 1999 (Pub. L. 

106–159, 113 Stat. 1748 (Dec. 9, 1999)). 

Some penalties were adjusted in 2003 

but not adjusted in 2007. The 

adjustment factor used to update those 

amounts in this final rule uses the June 

2003 CPI value of 184: 238/184 = 1.30. 

For example, the penalty for operating 

a CMV when the driver was placed out 

of service (49 CFR part 386, Appendix 

B, paragraph (b)) was $3,750 per 

violation. This penalty has not been 

adjusted since 2003, so it will be 

increased to $4,750, applying the 

following calculation: The increment of 

$1,125 ($3,750 × 1.30 = $4,875, less the 

original penalty of $3,750) will be 

rounded to the nearest thousand and 

added to the original value of the 

penalty. If the penalty is less than half 

the rounding amount, no inflation factor 

will be added. See the table, Inflation 

Adjustments for part 386, in the 

Section-by-Section discussion, directly 

below. 

However, the statute requires that any 

penalty being adjusted for the first time 

not exceed 10% of such penalty. Each 

of these are marked with an asterisk in 

the following table. For example, the 

penalty for 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 (part 

386, Appendix B (b)(3)) is $10,000 for 

each offense. The adjustment would be 

$3,000 based on the following 

calculation: $10,000 × 1.30= $13,000, or 

an increase of $3,000. But since its first 

adjustment would be greater than 10%, 

the actual adjustment is capped at 

$1,000, which means the inflated 

penalty amount is now $11,000 ($10,000 

+ $1,000). 

MAP–21 revised several civil 

penalties under the Federal Hazardous 

Materials Regulations (49 CFR parts 

171–180), which have been promulgated 

by final rule in 78 FR 60226, (October 

1, 2013). The FMCSA is not adjusting 

these penalties for inflation or any 

penalties established in 2011 and 2012, 

because, given their comparatively 

recent establishment, the inflationary 

adjustments would have, at most, a 

minimal impact on these penalties. 

However, the agency will increase such 

penalties in future rulemakings as 

appropriate. 

IV. Section-by-Section Analysis 

Summary of Penalty Adjustments 

As noted in the regulatory text (part 

386 appendices A and B) in today’s rule, 

the adjusted civil penalties identified in 

the appendices supersede, where a 

discrepancy exists, the corresponding 

civil penalty amounts identified in title 

49, United States Code. 

Part 383 

The penalty amounts contained in 

Sections 383.53 (b) and (c) are removed 

and now referenced in Appendix B 

(b)(1), (b)(2), and (b)(3). 

Part 385 

The penalty amount contained in 

Section 385.111(h) is removed and now 

referenced in Appendix B (f)(1). 

Part 386 

Part 386 Appendix A has a new 

introduction to mirror the language at 

the beginning of Appendix B. Below is 

the table with the current civil penalty 

amounts in the appendices of part 386 

and increases applied: 

TABLE 1—INFLATION ADJUSTMENTS FOR PART 386 

Civil penalty 

location in 

Part 386 

Current 

penalty 

amount 

Inflation 

rate 

Increment 

applied 

Final adjusted 

value: Legal authority 

Appendix A II Subpoena ................... $1,000 0.00 $0 $1,000 MAP–21 Pub. L. 112–141, sec. 

32110, 126 Stat. 405, 782, (2012) 

(49 U.S.C. 525). 

Appendix A II Subpoena ................... 10,000 0.00 0 10,000 MAP–21 Pub. L. 112–141, sec. 

32110, 126 Stat. 405, 782 (2012) 

(49 U.S.C. 525). 

Appendix A IV (a) Out-of-service 

order (operation of CMV by driver).

2,100 1.30 1,000 3,100 Pub. L. 98–554, sec. 213(b), 98 

Stat. 2829, 2841–2843 (1984) (49 

U.S.C. 521(b)(7)), 55 FR 11224 

(March 27, 1990). 

Appendix A IV (b) Out-of-service 

order (requiring or permitting operation of CMV by driver).

16,000 1.30 5,000 21,000 Pub. L. 98–554, sec. 213(a), 98 

Stat, 2829 (1984) (49 U.S.C. 

521(b)(7)), 55 FR 11224 (March 

27, 1990). 


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TABLE 1—INFLATION ADJUSTMENTS FOR PART 386—Continued 

Civil penalty 

location in 

Part 386 

Current 

penalty 

amount 

Inflation 

rate 

Increment 

applied 

Final adjusted 

value: Legal authority 

Appendix A IV (c) Out-of-service 

order (operation by driver of CMV 

or intermodal equipment that was 

placed out of service).

2,100 1.30 1,000 3,100 Pub. L. 98–554, sec. 213(a), 98 

Stat 2829 (1984) (49 U.S.C. 

521(b)(7)), 55 FR 11224 (March 

27, 1990). 

Appendix A IV (d) Out-of-service 

order (requiring or permitting operation of CMV or intermodal equipment that was placed out of service).

16,000 1.30 5,000 21,000 Pub. L. 98–554, sec. 213(a), 98 

Stat 2829 (1984) (49 U.S.C. 

521(b)(7)), 55 FR 11224 (March 

27, 1990). 

Appendix A IV (e) Out-of-service 

order (failure to return written certification of correction).

750 1.14 100 850 49 U.S.C. sec. 521 (b)(2)(B), 49 

CFR 396.9 (d)(3). 

Appendix A IV (g) Out-of-service 

order (failure to cease operations 

as ordered).

25,000 0.00 0 25,000 MAP–21, Pub. L. 112–141, sec. 

32503, 126 Stat. 405, 803 (2012) 

(49 U.S.C. 521(b)(2)(F)). 

Appendix A IV (h) Out-of-service 

order (operating in violation of 

order.).

16,000 0.00 0 16,000 Pub. L. 98–554, sec. 213(a), 98 

Stat, 2829, 2841–2843 (1984) (49 

U.S.C. 521(b)(7)). 

Appendix A IV (i) Out-of-service 

order (conducting operations during suspension or revocation for 

failure to pay penalties).

11,000 1.30 5,000 16,000 TEA–21, Pub. L. 105–178, sec. 

4015(b), 112 Stat. 411–12 (1998) 

(49 U.S.C. 521(b)(2)(A)), 521 

(b)(7)), 65 FR 56521, 56530 

(September 19, 2000). 

Appendix A IV (j) (conducting operations during suspension or revocation).11,000 0.00 0 11,000 Pub. L. 98–554, sec. 213(a), 98 

Stat, 2829, 2841–2843 (1984) (49 

U.S.C. 521(b)(7)). 

Appendix B (a)(1)* Recordkeeping— 

maximum penalty per day.

1,000 1.10 100 1,100 SAFETEA–LU, Pub. L. 109–59, 

sec. 4102 (a), 119 Stat. 1144, 

1715 (2005) (49 U.S.C. 

521(b)(2)(B)(i)). 

Appendix B (a)(1)* Recordkeeping— 

maximum total penalty.

10,000 1.10 1,000 11,000 SAFETEA–LU, Pub. L. 109–59, 

sec. 4102 (a), 119 Stat. 1144, 

1715 (2005) (49 U.S.C. 

521(b)(2)(B)(i)). 

Appendix B (a)(2)* Knowing falsification of records.10,000 1.10 1,000 11,000 SAFETEA–LU, Pub. L. 109–59, 

sec. 4102 (a), 119 Stat. 1144, 

1715 (2005) (49 U.S.C. 

521(b)(2)(B)(ii)). 

Appendix B (a)(3) Non-recordkeeping 

violations.

11,000 1.30 5,000 16,000 TEA–21, Pub. L. 105–178, sec. 

4015(b), 112 Stat. 107, 411–12 

(1998) (49 U.S.C. 521(b)(2)(A)). 

Appendix B (a)(4) Non-recordkeeping 

violations by drivers.

2,750 1.30 1,000 3,750 TEA–21, Pub. L. 105–178, sec. 

4015(b), 112 Stat. 107, 411–12 

(1998) (49 U.S.C. 521(b)(2)(A)). 

Appendix B (a)(5)* Violation of 49 

CFR 392.5.

3,750 1.10 375 4,125 SAFETEA–LU, Pub. L. 109–59, 119 

Stat. 1144, 1715; sec. 4102 (b), 

119 Stat. 1715–16 (2005) (49 

U.S.C. 31310 (i)(2)(A)). 

Appendix B (b) Commercial driver’s 

license (CDL) violations.

3,750 1.30 1,000 4,750 Pub. L. 99–570, 

sec. 12012(b), 100 Stat. 3207–184– 

85 (1986) (49 U.S.C. 

521(b)(2)(C)). 

Appendix B (b)(1)*M Special penalties pertaining to violation of outof-service orders (first conviction).2,500 1.10 250 2,750 SAFETEA–LU, Pub. L. 109–59, 

sec. 4102(b), 119 Stat. 1144, 

1715 (2005) (49 U.S.C. 31310 

(i)(2)(A)). 

Appendix B (b)(1)*M Special penalties pertaining to violation of outof-service orders (second or subsequent conviction).5,000 1.10 500 5,500 SAFETEA–LU, Pub. L. 109–59, 

119, sec. 4102 (b), Stat. 1144, 

1715 (2005) (49 U.S.C. 31310 

(i)(2)(A)). 

Appendix B (b)(2)M Employer violations pertaining to knowingly allowing, authorizing employee violations of out-of-service order (minimum penalty).3,750 1.30 1,000 4,750 Pub. L. 99–570, sec. 12012(b), 100 

Stat. 3207,184–85 (1986) (49 

U.S.C. 521(b)(2)(C)). 

Appendix B (b)(2)*M Employer violations pertaining to knowingly allowing, authorizing employee violations of out-of-service order (maximum penalty).25,000 1.10 2,500 27,500 SAFETEA–LU, Pub. L. 109–59, 

sec. 4102 (b), 119 Stat. 1144, 

1715 (2005) (49 U.S.C. 31310 

(i)(2)(C)). 


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TABLE 1—INFLATION ADJUSTMENTS FOR PART 386—Continued 

Civil penalty 

location in 

Part 386 

Current 

penalty 

amount 

Inflation 

rate 

Increment 

applied 

Final adjusted 

value: Legal authority 

Appendix B (b)(3)M* Special penalties pertaining to railroad-highway grade crossing violations.10,000 1.10 1,000 11,000 ICC Termination Act of 1995, Pub. 

L. 104–88, sec. 403(a), 109 Stat. 

956 (1995) (49 U.S.C. 

31310(j)(2)(B)). 

Appendix B (d) Financial responsibility violations.16,000 1.30 5,000 21,000 Pub. L. 103–272, sec. 31139(f), 108 

Stat. 745, 1006–1008 (1994) (49 

U.S.C. 31139(g)(1)). 

Appendix B (e)(1) Violations of Hazardous Materials Regulations 

(HMRs) and Safety Permitting 

Regulations (transportation or shipment of hazardous materials).

75,000 0.00 0 75,000 MAP–21 Pub. L. 112–141, sec. 

33010, 126 Stat. 405, 837–838 

(2012) (49 U.S.C. 5123(a)(1)). 

Appendix B (e)(2) Violations of Hazardous Materials Regulations 

(HMRs) and Safety Permitting 

Regulations (training)—minimum 

penalty.

450 0.00 0 450 MAP–21 Pub. L. 112–141, sec. 

33010, 126 Stat. 405, 837 (2012) 

(49 U.S.C. 5123(a)(3)). 

Appendix B (e)(2) Violations of Hazardous Materials Regulations 

(HMRs) and Safety Permitting 

Regulations (training)—maximum 

penalty.

75,000 0.00 0 75,000 MAP–21 Pub. L. 112–141, sec. 

33010 126 Stat. 405, 837 (2012) 

(49 U.S.C. 5123(a)(1)). 

Appendix B (e)(3) Violations of Hazardous Materials Regulations 

(HMRs) and Safety Permitting 

Regulations (packaging or container).

75,000 0.00 0 75,000 MAP–21 Pub. L. 112–141, sec. 

33010, 126 Stat. 405, 837, (2012) 

49 U.S.C. 5123(a)(1)). 

Appendix B (e)(4) Violations of Hazardous Materials Regulations 

(HMRs) and Safety Permitting 

Regulations (compliance with 

FMCSRs).

75,000 0.00 0 75,000 MAP–21 Pub. L. 112–141, sec. 

33010, 126 Stat. 405, 837 (2012) 

(49 U.S.C. 5123(a)(1)). 

Appendix B (e)(5) Violations of Hazardous Materials Regulations 

(HMRs) and Safety Permitting 

Regulations (death, serious illness, 

severe injury to persons; destruction of property).

175,000 0.00 0 175,000 MAP–21 Pub. L. 112–141, sec. 

33010, 126 Stat. 405, 837 (2012) 

(49 U.S.C. 5123(a)(2)). 

Appendix B (f)(1) Operating after 

being declared unfit by assignment 

of a final ‘‘unsatisfactory’’ safety 

rating (generally).

25,000 0.00 0 25,000 MAP–21, Pub. L. 112–141, sec. 

32503, 126 Stat. 405, 803 (2012) 

(49 U.S.C. 521(b)(2)(F)). 

Appendix B (f)(2) Operating after 

being declared unfit by assignment 

of a final ‘‘unsatisfactory’’ safety 

rating (hazardous materials)—maximum penalty.

75,000 0.00 0 75,000 MAP–21, Pub. L. 112–141, sec. 

33010, 126 Stat. 405, 837 (49 

U.S.C. 5123(a)(1)). 

Appendix B (f)(2) Operating after 

being declared unfit by assignment 

of a final ‘‘unsatisfactory’’ safety 

rating (hazardous materials)—maximum penalty if death, serious illness, severe injury to persons; destruction of property.

175,000 0.00 0 175,000 MAP–21, Pub. L. 112–141, sec. 

33010, 126 Stat. 405, 837 (2012) 

(49 U.S.C. 5123(a)(2)). 

Appendix B (g)(1)M Violations of the 

commercial regulations (CR) (property carriers).

10,000 0.00 0 10,000 MAP–21, Pub. L. 112–141, sec. 

32108(a), 126 Stat. 405, 782 

(2012) (49 U.S.C. 14901(a)). 

Appendix B (g)(2) Violations of the 

CRs (brokers).

10,000 0.00 0 10,000 MAP–21 Pub. L. 112–141, sec. 

32919(a), 126 Stat. 405, 827 

(2012) (49 U.S.C. § 14916(c)). 

Appendix B (g)(3) Violations of the 

CRs (passenger carriers).

25,000 0.00 0 25,000 MAP–21, Pub. L. 112–141, sec. 

32108(a), 126 Stat. 405, 782 

(2012) (49 U.S.C. § 14901(a)). 

Appendix B (g)(4) Violations of the 

CRs (foreign motor carriers, foreign motor private carriers).

10,000 0.00 0 10,000 MAP–21, Pub. L. 112–141, sec. 

32108(a), 126 Stat. 405, 782 

(2012) (49 U.S.C. 14901(a)). 


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Federal Register / Vol. 80, No. 64 / Friday, April 3, 2015 / Rules and Regulations 18151 

TABLE 1—INFLATION ADJUSTMENTS FOR PART 386—Continued 

Civil penalty 

location in 

Part 386 

Current 

penalty 

amount 

Inflation 

rate 

Increment 

applied 

Final adjusted 

value: Legal authority 

Appendix B (g)(5) Violations of the 

CRs (foreign motor carriers, foreign motor private carriers before 

implementation of North American 

Free Trade Agreement land transportation provisions)—maximum 

penalty for intentional violation.

11,000 1.30 5,000 16,000 MCSIA of 1999, Pub. L. 106–59, 

sec. 219(b), 113 Stat. 1748, 1768 

(1999) (49 U.S.C. 14901 note). 

Appendix B (g)(5) Violations of the 

CRs (foreign motor carriers, foreign motor private carriers before 

implementation of North American 

Free Trade Agreement land transportation provisions)—maximum 

penalty for a pattern of intentional 

violations.

32,500 1.14 5,000 37,500 MCSIA of 1999, Pub. L. 106–59, 

sec. 219(c), 113 Stat. 1748, 1768 

(1999) (49 U.S.C. 14901 note). 

Appendix B (g)(6) Violations of the 

CRs (motor carrier or broker for 

transportation of hazardous 

wastes)—minimum penalty.

20,000 0.00 0 20,000 MAP–21, Pub. L. 112–141, sec. 

32108, 126 Stat. 405, 782 (2012) 

(49 U.S.C. 14901(b)). 

Appendix B (g)(6) Violations of the 

CRs (motor carrier or broker for 

transportation of hazardous 

wastes)—maximum penalty.

40,000 0.00 0 40,000 MAP–21 Pub. L. 112–141, sec. 

32108, 126 Stat. 405,782 (2012) 

(49 U.S.C. 14901(b)). 

Appendix B (g)(7) Violations of the 

CRs (HHG carrier or freight forwarder, or their receiver or trustee).

1,100 1.30 0 1,100 ICC Termination Act of 1995, Pub. 

L. 104–88, sec. 103, 100 Stat. 

803, 914 (1995) (49 U.S.C. 

§ 14901(d)(1)). 

Appendix B (g)(8) Violation of the 

CRs (weight of HHG shipment, 

charging for services)—minimum 

penalty for first violation.

2,200 1.30 1,000 3,200 ICC Termination Act of 1995, Pub. 

L. 104–88, sec. 103, 100 Stat. 

803, 914 (1995) (49 U.S.C. 

§ 14901(e)). 

Appendix B (g)(8) Violation of the 

CRs (weight of HHG shipment, 

charging for services)—subsequent violations.

6,500 1.14 1,000 7,500 ICC Termination Act of 1995, Pub. 

L. 104–88, sec. 103, 100 Stat. 

803, 914 (1995) (49 U.S.C. 

14901(e)). 

Appendix B (g)(10) Tariff violations .. 120,000 1.14 20,000 140,000 ICC Termination Act of 1995, Pub. 

L. 104–88, sec. 103, 100 Stat. 

803, 868–869, 915 (1995) (49 

U.S.C. 13702, 14903). 

Appendix B (g)(11) Additional tariff 

violations (rebates or concessions)—first violation.

220 1.30 100 320 ICC Termination Act of 1995, Pub. 

L. 104–88, sec. 103, 100 Stat. 

803, 915–916 (1995) (49 U.S.C. 

14904(a)). 

Appendix B (g)(11) Additional tariff 

violations (rebates or concessions)—subsequent violations.

275 1.30 100 375 ICC Termination Act of 1995, Pub. 

L. 104–88, sec. 103, 100 Stat. 

803, 915–916 (1995) (49 U.S.C. 

14904(a)). 

Appendix B (g)(12) Tariff violations 

(freight forwarders)—maximum 

penalty for first violation.

650 1.14 100 750 ICC Termination Act of 1995, Pub. 

L. 104–88, sec. 103, 100 Stat. 

803, 916 (49 U.S.C. 14904(b)(1)). 

Appendix B (g)(12) Tariff violations 

(freight forwarders)—maximum 

penalty for subsequent violations.

2,200 1.30 1,000 3,200 ICC Termination Act of 1995, Pub. 

L. 104–88, sec. 103, 100 Stat. 

803, 916 (1995) (49 U.S.C. 

§ 14904(b)(1)). 

Appendix B (g)(13) service from 

freight forwarder at less than rate 

in effect—maximum penalty for 

first violation.

650 1.14 100 750 ICC Termination Act of 1995, Pub. 

L. 104–88, sec. 103, 100 Stat. 

803, 916 (1995) (49 U.S.C. 

14904(b)(2)). 

Appendix B (g)(13) service from 

freight forwarder at less than rate 

in effect—maximum penalty for 

subsequent violation(s).

2,200 1.30 1,000 3,200 ICC Termination Act of 1995, Pub. 

L. 104–88, sec. 103, 100 Stat. 

803, 916 (1995) (49 U.S.C. 

14904(b)(2)). 

Appendix B (g)(14) Violations related 

to loading and unloading motor vehicles.

11,000 1.30 5,000 16,000 ICC Termination Act of 1995, Pub. 

L. 104–88, sec. 103, 100 Stat. 

803, 916 (1995) (49 U.S.C. 

14905). 

Appendix B (g)(16) Reporting and 

recordkeeping under 49 U.S.C. 

subtitle IV, part B (except 13901 

and 13902(c)—minimum penalty.

1,000 0.00 0 1,000 MAP–21, Pub. L. 112–141, sec. 

32108, 126 Stat. 405, 782 (2012) 

(49 U.S.C. 14901). 


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18152 Federal Register / Vol. 80, No. 64 / Friday, April 3, 2015 / Rules and Regulations 

TABLE 1—INFLATION ADJUSTMENTS FOR PART 386—Continued 

Civil penalty 

location in 

Part 386 

Current 

penalty 

amount 

Inflation 

rate 

Increment 

applied 

Final adjusted 

value: Legal authority 

Appendix B (g)(16) Reporting and 

recordkeeping under 49 U.S.C. 

subtitle IV, part B—maximum penalty.

6,500 1.14 1,000 7,500 ICC Termination Act of 1995, Pub. 

L. 104–88, sec. 103, 100 Stat. 

803, 916–917 (1995) (49 U.S.C. 

14907). 

Appendix B (g)(17) Unauthorized disclosure of information.2,200 1.30 1,000 3,200 ICC Termination Act of 1995, Pub. 

L. 104–88, sec. 103, 100 Stat. 

803, 917 (1995) (49 U.S.C. 

14908). 

Appendix B (g)(18) Violation of 49 

U.S.C. subtitle IV, part B, or condition of registration.

650 1.14 100 750 ICC Termination Act of 1995, Pub. 

L. 104–88, sec. 103, 100 Stat. 

803, 917 (1995) (49 U.S.C. 

14910). 

Appendix B (g)(21)(i)*M: Knowingly 

and willfully fails to deliver or unload HHG at destination.

10,000 1.10 1,000 11,000 ICC Termination Act of 1995, Pub. 

L. 104–88, sec. 103, 100 Stat. 

803, 916 (1995) (49 U.S.C. 

14905). 

Appendix B (g)(22)* HHG broker estimate before entering into an 

agreement with a motor carrier.

10,000 1.09 900 10,900 SAFETEA–LU, Pub. L. 109–59, 

sec. 4209(2), 119 Stat. 1144, 

1758, (2005) (49 U.S.C. 

14901(d)(2)). 

Appendix B (g)(23)* HHG transportation or broker services—registration requirement.25,000 1.09 2,250 27,250 SAFETEA–LU, Pub. L. 109–59, 

sec. 4209(d)(3), 119 Stat. 1144, 

1758 (2005) (49 U.S.C. 14901 

(d)(3)). 

Appendix B (h)* Copying of records 

and access to equipment, lands, 

and buildings—maximum penalty 

per day.

1,000 1.10 100 1,100 SAFETEA–LU, Pub. L. 109–59, 

sec. 4103(2), 119 Stat. 1144, 

1716 (2005) (49 U.S.C. 

521(b)(2)(E)). 

Appendix B (h)* Copying of records 

and access to equipment, lands, 

and buildings—maximum total 

penalty.

10,000 1.10 1,000 11,000 SAFETEA–LU, Pub. L. 109–59, 

sec. 4103(2), 119 Stat. 1716 

(2005) (49 U.S.C. 521(b)(2)(E)). 

Appendix B (i)(1)M Evasion of regulations under 49 U.S.C. ch. 5, 51, 

subchapter III of 311 (except 

31138 and 31139), 31302–31304, 

31305(b), 31310(g)(1)(A), 31502— 

minimum penalty for first violation.

2,000 0.00 0 2,000 MAP–21 Pub. L. 112–141, sec. 

32505, 126 Stat. 405, 804 (2012) 

(49 U.S.C. 524). 

Appendix B (i)(1)M Evasion of regulations under 49 U.S.C. ch. 5, 51, 

subchapter III of 311 (except 

31138 and 31139), 31302–31304, 

31305(b), 31310(g)(1)(A), 31502— 

maximum penalty for first violation.

5,000 0.00 0 5,000 MAP–21 Pub. L. 112–141, § sec. 

32505, 126 Stat. 405, 804 (2012) 

(49 U.S.C. 524). 

Appendix B (i)(1)M Evasion of regulations under 49 U.S.C. ch. 5, 51, 

subchapter III of 311 (except 

31138 and 31139), 31302–31304, 

31305(b), 31310(g)(1)(A), 31502— 

minimum penalty for subsequent 

violation(s).

2,500 0.00 0 2,500 MAP–21 Pub. L. 112–141, sec. 

32505, 126 Stat. 405, 804 (2012) 

(49 U.S.C. 524). 

MAP–21 Pub. L. 112–141, § 32505, 

126 Stat. 405, 804 (2012) (49 

U.S.C. 524). 

Appendix B (i)(1)M Evasion of regulations under 49 U.S.C. ch. 5, 51, 

subchapter III of 311 (except 

31138 and 31139), 31302–31304, 

31305(b), 31310(g)(1)(A), 31502— 

maximum penalty for subsequent 

violation(s).

7,500 0.00 0 7,500 MAP–21 Pub. L. 112–141, sec. 

32505, 126 Stat. 405, 804 (2012) 

(49 U.S.C. 524). 

Appendix B (i)(2)M Evasion of regulations under 49 U.S.C. subtitle IV, 

part B—minimum penalty for first 

violation.

2,000 0.00 0 2,000 MAP–21 Pub. L. 112–141, sec. 

32505, 126 Stat. 405, 804 (2012) 

(49 U.S.C. 14906). 

Appendix B (i)(2)M Evasion of regulations under 49 U.S.C. subtitle IV, 

part B—minimum penalty for subsequent violation(s).

5,000 0.00 0 5,000 MAP–21 Pub. L. 112–141, sec. 

32505, 126 Stat. 405, 804 (2012) 

(49 U.S.C. 14906). 


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The provisions that are being updated 

for the first time here are marked with 

an asterisk. Their adjustment is capped 

at 10%. There are two penalties from 

2010 that will be updated for the first 

time in this rule and will have an 

inflation rate of 1.09 (238/218). 

Penalties that were established recently 

will not be adjusted and are marked 

with an n/a for not applicable. Penalties 

marked with an ‘‘M’’ were moved from 

other locations in Appendix B or other 

regulatory provisions, as noted in this 

section. Of these moved provisions, two 

contain no penalty amounts because 

they were reserved for future use. 

Penalties that were last adjusted in 2003 

have an inflation rate of 1.30, and those 

that were adjusted for inflation in 2007 

have an inflation rate of 1.14. 

In Appendix B subsection (c), Special 

penalties pertaining to violations of outof-service orders by CDL holders, was 

reserved, and its former provisions were 

placed into two subsections Appendix B 

(b)(1) and (2) in the same order they 

appeared in subsection (c). The first 

provision relates to a CDL holder, while 

the second relates to an employer of a 

CDL holder. This change clarifies 

Appendix B by placing all penalties 

related to commercial driver license 

programs into one section for ease of 

use. To implement this change, the 

reserved subsection (c) title, ‘‘Special 

penalties pertaining to violations of outof-service orders by CDL holders,’’ was 

deleted. Second, the phrase ‘‘except: 

(1)’’ Was inserted before the new 

provision beginning with the phrase ‘‘A 

CDL holder.’’ Third, the word ‘‘and’’ 

was added between new subsections 

(b)(1) and (b)(2) to properly mark them 

as separate provisions. 

Appendix B subsection (g)(1) is 

deleted and moved to current 

subsection (g)(16) in order that both the 

minimum and maximum penalties 

appear in one consolidated provision. 

Former Appendix B subsection (g)(2) 

is now divided into two separate 

subsections, the first regarding motor 

carriers and the second addressing 

brokers. Specifically, former subsection 

(g)(2) is renamed subsection (g)(1) and 

the term ‘‘broker’’ is deleted and the 

term ‘‘motor’’ added before the term 

‘‘carrier’’ to clarify its application to 

motor carriers only. In addition, a new 

subsection (g)(2) is amended based on a 

statutory provision in MAP–21, sec. 

32919(a), 49 U.S.C. 14916, which 

contains penalties associated with 

knowingly violating registration (49 

U.S.C. 13904) and financial security 

requirements (49 U.S.C. 13906) for 

brokers. 

Subsection (g)(15), regarding evasion 

of commercial regulations was reserved. 

And its provisions were moved to 

section (i) in a new paragraph (2). 

Existing paragraph (1) regarding evasion 

of safety regulations remains in place. 

Part 387 

The penalty amounts contained in 

Sections 387.17 and 387.41 are removed 

and now referenced in Appendix B (d) 

only. This also corrects a discrepancy 

between the Appendix B penalty 

amount, that had been properly inflated, 

and the amount in the regulatory text, 

which had not been properly inflated. In 

addition, the phrase ‘‘ability to pay and 

any’’ was added before the phrase 

‘‘effect on ability’’ in both sections 

387.17 and 387.41 to capture the precise 

statutory language in 49 U.S.C. 31138 

(c)(4) and 49 U.S.C. 31139 (c) regarding 

factors FMCSA must consider before 

assessing penalties. 

V. Rulemaking Analyses and Notices 

Regulatory Planning and Review 

(Executive Order (E.O.) 12866) 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, as supplemented by E.O. 

13563 (76 FR 3821, January 21, 2011) or 

within the meaning of Department of 

Transportation Regulatory Policies and 

Procedures. The Office of Management 

and Budget (OMB) did not review this 

document. The changes imposed by this 

final rule upon the civil penalty 

amounts alter only the magnitude of 

transfer payments, which by definition 

are not considered in the monetization 

of societal costs and benefits of 

rulemakings. Congress has stated in the 

Adjustment Act, section 2, that 

increasing penalties over time will deter 

violations. Therefore, FMCSA infers that 

there may be some safety benefits that 

occur due to this final rule. The 

deterrence effect of increasing penalties 

that Congress has recognized, however, 

cannot be quantified into safety benefits. 

The Agency expects the final rule, 

which is statutorily mandated to 

preserve the remedial effect of civil 

penalties, will have minimal costs. 

Therefore, a full regulatory evaluation is 

unnecessary. 

Assistance for Small Entities 

In accordance with section 213(a) of 

the Small Business Regulatory 

Enforcement Fairness Act of 1996, 

FMCSA wants to assist small entities in 

understanding this final rule so that 

they can better evaluate its effects on 

themselves and participate in the 

rulemaking initiative. If the final rule 

would affect your small business, 

organization, or governmental 

jurisdiction and you have questions 

concerning its provisions or options for 

compliance, please consult the FMCSA 

point of contact, Ms. Nikki McDavid, 

listed in the FOR FURTHER INFORMATION

CONTACT section of this final rule. 

Small businesses may send comments 

on the actions of Federal employees 

who enforce or otherwise determine 

compliance with Federal regulations to 

the Small Business Administration’s 

Small Business and Agriculture 

Regulatory Enforcement Ombudsman 

and the Regional Small Business 

Regulatory Fairness Boards. The 

Ombudsman evaluates these actions 

annually and rates each agency’s 

responsiveness to small business. If you 

wish to comment on actions by 

employees of FMCSA, call 1–888–REG– 

FAIR (1–888–734–3247). DOT has a 

policy regarding the rights of small 

entities to regulatory enforcement 

fairness and an explicit policy against 

retaliation for exercising these rights. 

Unfunded Mandates Reform Act of 1995 

The final rule will not impose an 

unfunded Federal mandate, as defined 

by the Unfunded Mandates Reform Act 

of 1995 (2 U.S.C. 1532, et seq.), that will 

result in the expenditure by State, local 

and tribal governments, in the aggregate, 

or by the private sector, of $151 million 

(which is the value equivalent of 

$100,000,000 in 1995, adjusted for 

inflation to 2012 levels) or more in any 

1 year. 

Federalism (E.O. 13132) 

A rule has implications for 

Federalism under Section 1(a) of 

Executive Order 13132 if it has 

‘‘substantial direct effects on the States, 

on the relationship between the national 

government and the States, or on the 

distribution of power and 

responsibilities among the various 

levels of government.’’ FMCSA has 

determined that this rule would not 

have substantial direct costs on or for 

States, nor would it limit the 

policymaking discretion of States. 

Nothing in this document preempts any 

State law or regulation. Therefore, this 

rule does not have sufficient federalism 

implications to warrant the preparation 

of a federalism assessment. 

Civil Justice Reform (E.O. 12988) 

This final rule meets applicable 

standards in sections 3(a) and 3(b)(2) of 

E.O. 12988, Civil Justice Reform, to 

minimize litigation, eliminates 

ambiguity, and reduce burden. 


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18154 Federal Register / Vol. 80, No. 64 / Friday, April 3, 2015 / Rules and Regulations 

Protection of Children (E.O. 13045) 

E.O. 13045, Protection of Children 

from Environmental Health Risks and 

Safety Risks (62 FR 19885, Apr. 23, 

1997), requires agencies issuing 

‘‘economically significant’’ rules, if the 

regulation also concerns an 

environmental health or safety risk that 

an agency has reason to believe may 

disproportionately affect children, to 

include an evaluation of the regulation’s 

environmental health and safety effects 

on children. The Agency determined 

that this final rule is not economically 

significant. Therefore, no analysis of the 

impacts on children is required. In any 

event, the Agency does not anticipate 

that this regulatory action could in any 

respect present an environmental or 

safety risk that could disproportionately 

affect children. 

Taking of Private Property (E.O. 12630) 

FMCSA reviewed this final rule in 

accordance with E.O. 12630, 

Governmental Actions and Interference 

with Constitutionally Protected Property 

Rights, and has determined it will not 

effect a taking of private property or 

otherwise have taking implications. 

Privacy Impact Assessment 

Section 522 of title I of division H of 

the Consolidated Appropriations Act, 

2005, enacted December 8, 2004 (Pub. L. 

108–447, 118 Stat. 2809, 3268, 5 U.S.C. 

552a note), requires the Agency to 

conduct a privacy impact assessment 

(PIA) of a regulation that will affect the 

privacy of individuals. This rule does 

not require the collection of personally 

identifiable information (PII). 

Intergovernmental Review (E.O. 12372) 

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 (PRA) (44 U.S.C. 3501 et 

seq.). 

National Environmental Policy Act and 

Clean Air Act 

FMCSA analyzed this rule for the 

purpose of the National Environmental 

Policy Act of 1969 (42 U.S.C. 4321 et 

seq.) and determined this action is 

categorically excluded from further 

analysis and documentation in an 

environmental assessment or 

environmental impact statement under 

FMCSA Order 5610.1(69 FR 9680, 

March 1, 2004), Appendix 2, paragraph 

(6)(b). The Categorical Exclusion (CE) in 

paragraph 6(b) covers technical or minor 

amendments to existing FMCSRs. The 

content in this rule is covered by this 

CE. The CE determination is available 

for inspection or copying in the 

Regulations.gov Web site listed under 

ADDRESSES. 

FMCSA also analyzed this rule under 

the Clean Air Act, as amended (CAA), 

section 176(c) (42 U.S.C. 7401 et seq.), 

and implementing regulations 

promulgated by the Environmental 

Protection Agency. Approval of this 

action is exempt from the CAA’s general 

conformity requirement since it does 

not affect direct or indirect emissions of 

criteria pollutants. 

Environmental Justice (E.O. 12898) 

Under E.O. 12898, each Federal 

agency must identify and address, as 

appropriate, ‘‘disproportionately high 

and adverse human health or 

environmental effects of its programs, 

policies, and activities on minority 

populations and low-income 

populations’’ in the United States, its 

possessions, and territories. FMCSA 

evaluated the environmental justice 

effects of this rule in accordance with 

the E.O., and has determined that no 

environmental justice issue is associated 

with this rule, nor is there any collective 

environmental impact that would result 

from its promulgation. 

Energy Supply, Distribution, or Use 

(E.O. 13211) 

FMCSA has analyzed this rule under 

E.O. 13211, Actions Concerning 

Regulations That Significantly Affect 

Energy Supply, Distribution, or Use. 

The Agency has determined that it is 

not a ‘‘significant energy action’’ under 

that order because it is not a ‘‘significant 

regulatory action’’ likely to have a 

significant adverse effect on the supply, 

distribution, or use of energy. Therefore, 

it does not require a Statement of Energy 

Effects under E.O. 13211. 

Indian Tribal Governments (E.O. 13175) 

This rule does not have tribal 

implications under E.O. 13175, 

Consultation and Coordination with 

Indian Tribal Governments, because it 

does not have a substantial direct effect 

on one or more Indian tribes, on the 

relationship between the Federal 

Government and Indian tribes, or on the 

distribution of power and 

responsibilities between the Federal 

Government and Indian tribes. 

National Technology Transfer and 

Advancement Act (Technical 

Standards) 

The National Technology Transfer 

and Advancement Act (NTTAA) (15 

U.S.C. 272 note) directs agencies to use 

voluntary consensus standards in their 

regulatory activities unless the agency 

provides Congress, through OMB, with 

an explanation of why using these 

standards would be inconsistent with 

applicable law or otherwise impractical. 

Voluntary consensus standards (e.g., 

specifications of materials, performance, 

design, or operation; test methods; 

sampling procedures; and related 

management systems practices) are 

standards that are developed or adopted 

by voluntary consensus standards 

bodies. This rule does not use technical 

standards. Therefore, we did not 

consider the use of voluntary consensus 

standards. 

List of Subjects 

49 CFR Part 383 

Administrative practice and 

procedure, Alcohol abuse, Drug abuse, 

Highway safety, Motor carriers. 

49 CFR Part 385 

Administrative practice and 

procedure, Highway safety, Mexico, 

Motor carriers, Motor vehicle safety, 

Reporting and recordkeeping 

requirements. 

49 CFR Part 386 

Administrative procedures, 

Commercial motor vehicle safety, 

Highways and roads, Motor carriers, 

Penalties. 

49 CFR Part 387 

Buses, Freight, Freight forwarders, 

Hazardous materials transportation, 

Highway safety, Insurance, 

Intergovernmental relations, Motor 

carriers, Motor vehicle safety, Moving of 

household goods, Penalties, Reporting 

and recordkeeping requirements, Surety 

bonds. 

For the reasons stated in the 

preamble, FMCSA is amending title 49 

CFR parts 383, 385, 386, and 387 to read 

as follows: 

PART 383—COMMERCIAL DRIVER’S 

LICENSE STANDARDS; 

REQUIREMENTS AND PENALTIES 

■ 1. The authority citation for part 383 

continues to read as follows: 

Authority: 49 U.S.C. 521, 31136, 31301 et 

seq., and 31502; secs. 214 and 215 of Pub. L. 

106–159, 113 Stat. 1748, 1766, 1767; sec. 

1012(b) of Pub. L. 107–56, 115 Stat. 272, 297, 

sec. 4140 of Pub. L. 109–59, 119 Stat. 1144, 

1746; and 49 CFR 1.87. 


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Federal Register / Vol. 80, No. 64 / Friday, April 3, 2015 / Rules and Regulations 18155 

■ 2. Revise § 383.53 to read as follows: 

§ 383.53 Penalties. 

(a) General rule. Any person who 

violates the rules set forth in subparts B 

and C of this part may be subject to civil 

or criminal penalties under 49 U.S.C. 

521(b), as provided in part 386, 

Appendix B, of this chapter. 

(b) Special penalties pertaining to 

violation of out-of-service orders—(1) 

Driver violations. A driver who is 

convicted of violating an out-of-service 

order shall be subject to a civil penalty 

as stated in part 386 Appendix B, in 

addition to disqualification under 

§ 383.51(e). 

(2) Employer violations. An employer 

who is convicted of a violation of 

§ 383.37(d) shall be subject to a civil 

penalty as stated in part 386, appendix 

B, of this chapter. 

(c) Special penalties pertaining to 

railroad-highway grade crossing 

violations. An employer who is 

convicted of a violation of § 383.37(e) 

shall be subject to a civil penalty stated 

in part 386, appendix B, of this chapter. 

PART 385—SAFETY FITNESS 

PROCEDURES 

■ 3. The authority citation for part 385 

is revised to read as follows: 

Authority: 49 U.S.C. 113, 504, 521(b), 

5105(e), 5109, 5123, 13901–13905, 31133, 

31135, 31136, 31137(a), 31144, 31148, and 

31502; Sec. 113(a), Pub. L. 103–311; Sec. 408, 

Pub. L. 104–88; Sec. 350 of Pub. L. 107–87; 

and 49 CFR 1.87. 

■ 4. Amend § 385.111 by revising 

paragraph (h) to read as follows: 

§ 385.111 Suspension and revocation of 

Mexico-domiciled carrier registration. 

* * * * * 

(h) If a Mexico-domiciled motor 

carrier operates a commercial motor 

vehicle in violation of a suspension or 

out-of-service order, it shall be subject 

to the penalty provisions in 49 U.S.C. 

521(b) and the amount as stated in part 

386, appendix B, of this chapter. 

* * * * * 

PART 386—RULES OF PRACTICE FOR 

MOTOR CARRIER, INTERMODAL 

EQUIPMENT PROVIDER, BROKER, 

FREIGHT FORWARDER, AND 

HAZARDOUS MATERIALS 

PROCEEDINGS 

■ 5. 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; 49 

U.S.C. 5123; Sec. 204, Pub. L. 104–88, 109 

Stat. 803, 941 (49 U.S.C. 701 note); Sec. 217, 

Pub. L. 105–159, 113 Stat. 1748, 1767; Sec. 

206, Pub. L. 106–159, 113 Stat. 1763; subtitle 

B, title IV of Pub. L. 109–59; and 49 CFR 1.81 

and 1.87. 

■ 6. Revise Appendix A to part 386 to 

read as follows: 

Appendix A to Part 386—Penalty 

Schedule: Violations of Notices and 

Orders 

The Debt Collection Improvement Act of 

1996 [Pub. L. 104–134, title III, chapter 10, 

sec. 31001, par. (s), 110 Stat. 1321–1373] 

amended the Federal Civil Penalties Inflation 

Adjustment Act of 1990 to require agencies 

to adjust for inflation ‘‘each civil monetary 

penalty provided by law within the 

jurisdiction of the Federal agency . . .’’ and 

to publish that regulation in the Federal 

Register. 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 $1,000 but not 

more than $10,000 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 $3,100 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 $21,000 per violation. 

(This violation applies to motor carriers 

including an independent contractor 

who is not a ‘‘driver,’’ as defined under 

paragraph IV(a) of this appendix.) 

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—$3,100 each time the vehicle 

or intermodal equipment is so operated. 

(This violation applies to drivers as 

defined in paragraph IV(a) of this 

appendix.) 

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 $21,000 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 paragraph IV(a) 

of this appendix.) 

e. Violation—Failure to return written 

certification of correction as required by 

the out-of-service order. 

Penalty—Up to $850 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 $25,000 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 $16,000 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 $16,000 for each day 

that operations are conducted during 

the suspension or revocation period. 

j. Violation—Conducting operations 

during a period of suspension or 


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revocation under §§ 385.911, 385.913, 

385.1009 or 385.1011. 

Penalty—Up to $11,000 for each day 

that operations are conducted during 

the suspension or revocation period. 

■ 7. Revise Appendix B to part 386 to 

read as follows: 

Appendix B to Part 386—Penalty 

Schedule: Violations and Monetary 

Penalties 

The Debt Collection Improvement Act of 

1996 [Pub. L. 104–134, title III, chapter 10, 

sec. 31001, par. (s), 110 Stat. 1321–1373] 

amended the Federal Civil Penalties Inflation 

Adjustment Act of 1990 to require agencies 

to adjust for inflation ‘‘each civil monetary 

penalty provided by law within the 

jurisdiction of the Federal agency . . .’’ and 

to publish that regulation in the Federal 

Register. Pursuant to that authority, the 

inflation-adjusted civil penalties listed in this 

appendix supersede the corresponding civil 

penalty amounts listed 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 parts 40, 382, 385, and 390– 

99 of this subchapter, or prepares or 

maintains a required record that is 

incomplete, inaccurate, or false, is 

subject to a maximum civil penalty of 

$1,100 for each day the violation 

continues, up to $11,000. 

(2) Knowing falsification of records. A 

person or entity that knowingly falsifies, 

destroys, mutilates, or changes a report 

or record required by parts 382, 385, 

and 390–99 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 

$11,000 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 that violates parts 382, 

385, or 390–99 of this subchapter, 

except a recordkeeping requirement, is 

subject to a civil penalty not to exceed 

$16,000 for each violation. 

(4) Non-recordkeeping violations by 

drivers. A driver who violates parts 382, 

385, and 390–99 of this subchapter, 

except a recordkeeping violation, is 

subject to a civil penalty not to exceed 

$3,750. 

(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 $4,125 for each 

violation. 

(6) Egregious violations of drivingtime 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. 

(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 not to 

exceed $4,750; 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 

$2,750 for a first conviction and not less 

than $5,500 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-ofservice order, is subject to a civil 

penalty of not less than $4,750 or more 

than $27,500; 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 $11,000. 

(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 $21,000. 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. This paragraph 

applies to violations by motor carriers, 

drivers, shippers and other person 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 $75,000 for 

each violation. Each day of 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 highways are subject 

to a civil penalty of not less than $450 

and not more than $75,000 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 highways are subject to a civil 

penalty of not more than $75,000 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 $75,000. 

(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 $175,000 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 $25,000 (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 


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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 $75,000 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 $175,000 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 $10,000 

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 $10,000 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 $25,000 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 $10,000 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 $16,000 for an intentional violation 

and a maximum penalty of $37,500 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 $20,000 and a maximum penalty of 

$40,000 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 $1,100 

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 $3,200 for the 

first violation and $7,500 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 $140,000 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 $320 for the first violation 

and $375 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 $750 for the first 

violation and up to $3,200 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 $750 for the first 

violation and up to $3,200 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 $16,000 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 $1,000 and for a 

maximum penalty of $7,500 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 $3,200. 

(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 $750 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 


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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 chapter, is liable for a 

civil penalty of not less than $11,000 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 $10,900 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 $27,250 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 

$1,100 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 $11,000. 

(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 

issued under any of those provisions, 

shall be fined at least $2,000 but not 

more than $5,000 for the first violation 

and at least $2,500 but not more than 

$7,500 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 $2,000 for the 

first violation of at least $5,000 for a 

subsequent violation. 

PART 387—MINIMUM LEVELS OF 

FINANCIAL RESPONSIBILITY FOR 

MOTOR CARRIERS 

■ 8. The authority citation for part 387 

continues to read as follows: 

Authority: 49 U.S.C. 13101, 13301, 13906, 

14701, 31138, 31139, and 31144; and 49 CFR 

1.87. 

■ 9. Revise § 387.17 to read as follows: 

§ 387.17 Violation and penalty. 

Any person (except an employee who 

acts without knowledge) who 

knowingly violates the rules of this 

subpart shall be liable to the United 

States for a civil penalty as stated in part 

386, appendix B, of this chapter, and if 

any such violation is a continuing one, 

each day of violation will constitute a 

separate offense. The amount of any 

such penalty shall be assessed by 

FMCSA’s Administrator, by written 

notice. In determining the amount of 

such penalty, the Administrator, or his/ 

her authorized delegate shall take into 

account the nature, circumstances, 

extent, the gravity of the violation 

committed and, with respect to the 

person found to have committed such 

violation, the degree of culpability, any 

history of prior violations, ability to pay, 

and any effect on ability to continue to 

do business, and such other matters as 

justice may require. 

■ 10. Revise § 387.41 to read as follows: 

§ 387.41 Violation and penalty. 

(a) Any person (except an employee 

who acts without knowledge) who 

knowingly violates the rules of this 

subpart shall be liable to the United 

States for a civil penalty as stated in part 

386, appendix B, of this chapter, and if 

any such violation is a continuing one, 

each day of violation will constitute a 

separate offense. The amount of any 

such penalty shall be assessed by the 

Administrator or his/her designee, by 

written notice. 

(b) In determining the amount of such 

penalty, the Administrator or his/her 

designee shall take into account the 

nature, circumstances, extent, the 

gravity of the violation committed and, 

with respect to the person found to have 

committed such violation, the degree of 

culpability, any history of prior 

violations, the ability to pay, and any 

effect on ability to continue to do 

business, and such other matters as 

justice may require. 

Issued under the authority of delegation in 

49 CFR 1.87 on March 26, 2015. 

T.F. Scott Darling, III, 

Chief Counsel. 

[FR Doc. 2015–07701 Filed 4–2–15; 8:45 am] 

BILLING CODE 4910–EX–P 


asabaliauskas on DSK5VPTVN1PROD with RULES