Be Part of the Ultimate Safety & Compliance Community
Trending news, knowledge-building content, and more – all personalized to you!
['Enforcement - DOT']
['Roadside Inspections', 'Fines and penalties - Motor Carrier']
09/29/2023
JOIN TODAY TO CONTINUE READING THIS ARTICLE & OTHER INDUSTRY NEWS!
You'll also get exclusive access to:
A database of easy-to-understand regulationsAsk unlimited questions to our expertsPre-led discussions forumsAnd more
TRY IT FREE TODAY
Already have an account? Log in now.
Copyright 2024 J. J. Keller & Associate, Inc. For re-use options please contact copyright@jjkeller.com or call 800-558-5011.
:
|
InstituteFleet SafetyFines and penalties - Motor CarrierEnforcement - DOTFocus AreaEnglishRoadside InspectionsAnalysisTransportationCompliance and Exceptions (Level 2)USA
Penalties and fines
['Enforcement - DOT']
- Violations of the FMCSRs and HMRs can result in civil penalties and fines from the FMCSA.
- The penalty amount is based on several factors such as the nature and gravity of the violation.
The Federal Motor Carrier Safety Administration (FMCSA) is authorized to levy fines and penalties against motor carriers, drivers, and other entities who violate the Federal Motor Carrier Safety Regulations (FMCSRs), Hazardous Materials Regulations (HMRs), or FMCSA commercial regulations. These are known as “civil” penalties and are regulated under Part 386 and its appendices.
A civil penalty is a monetary fine imposed by a government agency as compensation for violations. A civil penalty is not the same as a criminal punishment because it cannot carry jail time or other legal penalties.
Fines and penalties issued to drivers after roadside inspections do not fall under FMCSA jurisdiction. Such fines are levied based on state law and there is no uniform fine schedule across states.
How are civil penalties determined?
The regulations in Part 386 generally list the maximum civil penalties that may be levied for various violations, although in some cases they also contain a minimum amount as well. These amounts are established by Congress in the statutes that grant enforcement powers to the FMCSA.
The actual civil penalties that get assessed against a motor carrier, driver, or other entity may depend on a variety of factors, including:
- The nature of the violations,
- The gravity of the violations*,
- The violator’s degree of culpability,
- The violator’s history of prior offenses,
- The effect on the violator’s ability to continue to do business, and
- Other factors “as justice and public safety may require.”
*In the case of drivers who exceed the driving-time limit by more than three hours (called an “egregious” violation), the gravity will be deemed high enough to deserve maximum penalties.
In addition to these, certain civil penalties concerning household goods are also based on the degree of harm caused to a shipper and whether the shipper was adequately compensated before the civil penalty was assessed.
Note that “ability to pay” is not taken into account except in the case of violations of insurance requirements under Part 387.
What if a fine goes unpaid?
A commercial motor vehicle owner or operator who fails to pay a civil penalty in full within 90 days after the deadline specified in a final order from the FMCSA is prohibited from operating in interstate commerce starting on the 91st day. Similarly, a broker, freight forwarder, for-hire motor carrier, foreign motor carrier, or foreign motor private carrier that fails to meet that 90-day deadline will have its registration suspended. (386.83 and 386.84)
The following tables summarize the civil penalty amounts found in Part 386.
| Violation | Description | Civil Penalty |
|---|---|---|
| Recordkeeping | Failing to prepare or maintain a required record or preparing or maintaining a required record that is incomplete, inaccurate, or false. | $1,496 for each day of violation, up to $14,960 |
| Knowing falsification of records | Knowingly falsifying, destroying, mutilating, or changing a required report or record; knowingly making a false or incomplete record about an operation or business fact or transaction; or knowingly making, preparing, or preserving a record in violation of a Department of Transportation regulation or order. | $14,960 |
| Non-recordkeeping | Violating a non-recordkeeping requirement of Parts 382, 385, or 390-399 | $18,170 per violation |
| Non-recordkeeping violations by drivers | A driver violating a non-recordkeeping requirement of Parts 382, 385, or 390–399 | $4,543 |
| Driving during alcohol out-of-service (OOS) order | A driver placed OOS for 24 hours for violating the alcohol prohibitions in 392.5(a) or (b) who drives during that time | $3,740, up to $7,481 |
| Commercial driver’s license (CDL) and Clearinghouse violations | Any person violating the Drug & Alcohol Clearinghouse rules in Part 382, Subpart G, or the CDL rules in Part 383, Subparts B, C, E, F, G, or H | $7,481 |
| Violations of OOS orders by CDL holders | A CDL holder convicted of violating an OOS order | $3,740, up to $7,481 |
| An employer of a CDL holder knowingly allowing, requiring, permitting, or authorizing the employee to operate a CMV while the CDL holder is subject to an OOS order | $7,481, up to $37,400 | |
| Railroad-crossing violations | An employer of a CDL holder knowingly allowing, requiring, permitting, or authorizing the employee to operate a CMV in violation of a federal, state, or local law or regulation pertaining to railroad-highway grade crossings | $19,389 |
| Financial responsibility | Failing to maintain the levels of financial responsibility required under Part 387 | $19,933 per day |
| Violation of Hazardous Materials Regulations (HMRs) by motor carriers, drivers, shippers, or other persons who transport hazardous materials or cause them to be transported on highways by commercial vehicle | Violating rules related to the transport or shipment of hazardous materials | $96,624 per violation per day |
| Knowingly violating rules related to hazardous materials training | $582, up to $96,624, per violation | |
| Knowingly violating rules related 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 transport or shipment of hazardous materials | $96,624 per violation | |
| Violating applicable FMCSRs while transporting hazardous materials | $96,624 | |
| Any of the above four HMR violations resulting in death, serious illness, severe injury to any person, or substantial destruction of property | $225,455 additional per offense | |
| Motor carrier operating with an Unsatisfactory safety rating | Operating a commercial motor vehicle (CMV) in interstate commerce after receiving a final unsatisfactory safety rating | $32,208 per day |
| Operating a CMV designed or used to transport hazardous materials for which placarding is required, after receiving a final unsatisfactory safety rating | $96,624 per offense per day, or $225,455 if the violation results in death, serious illness, severe injury, or substantial destruction of property | |
| Copying of records and access to equipment, lands, and buildings | Failing to allow the FMCSA or other authorized personnel to inspect and copy any record or inspect and examine equipment, lands, buildings, and other property | $1,496 per offense per day, up to $14,960 |
| Evasion of compliance | Attempting to evade compliance with regulations | At least $2,577 but not more than $6,441 for the first violation and at least $3,219 but not more than $9,652 for a subsequent violation |
| Recordkeeping under commercial regulations | Failing to prepare or retain a report or answer a question within 30 days, filing a false report, destroying, or changing a report, making a false or incomplete entry about a business-related fact, or preparing or preserving a record in violation of 49 U.S.C. 131-149 or related regulations | Minimum $1,496 per violation, up to $9,652 per violation |
| Violation | Description | Civil Penalty |
|---|---|---|
| Notices to abate | Failing to stop violating the regulations in the time prescribed in the notice | Reinstatement of any deferred assessment or payment of a penalty (or portion thereof) |
| Subpoenas | Failing to respond to an FMCSA subpoena to appear and testify or produce records | Minimum of $1,288, up to $12,882 per violation |
| Final orders | Failing to comply with an FMCSA final order | The full penalty that was originally assessed |
| Out-of-service/suspension orders | Driving a CMV while subject to an OOS order (driver) | $2,232 per violation |
| Requiring or allowing a driver to drive a CMV while subject to an OOS order (motor carrier) | $22,324 per violation | |
| Operating an out-of-service CMV or intermodal equipment before required repairs are made (driver) | $2,232 per violation | |
| Requiring or allowing a driver to drive an out-of-service CMV or intermodal equipment before required repairs are made (motor carrier) | $22,324 per violation | |
| Failing to return written certification of correction required by the OOS order | $1,116 per violation | |
| Knowingly falsifying written certification of correction as required by the OOS order | $2,232 per violation, up to $22,324 | |
| Operating in violation of an order to cease all or part of the employer’s CMV or intermodal equipment operations | $32,208 per day | |
| Conducting operations during a period of suspension for failure to pay penalties, or while registration is revoked or suspended | $18,170 to $28,304 per day | |
| Operating as a “reincarnated” carrier to avoid compliance under 386.73 | $28,304 per day |
| Violation | Description | Civil Penalty |
|---|---|---|
| Registration | Operating as a carrier for the transportation of property without complying with registration requirements. | Minimum $12,882 per violation |
| Operating as a broker without complying with registration or financial security requirements. | $12,882 per violation | |
| Operating as a carrier of passengers without complying with registration requirements | Minimum $21,208 per violation | |
| Violating 49 U.S.C. 131-149, a related regulation, or a condition of registration | $971 per violation, unless another penalty is provided in 49 U.S.C. 149 | |
| Hazardous wastes | Operating as a carrier or broker for the transportation of hazardous wastes in violation of registration requirements | Minimum $25,767 per violation, up to $51,533 per violation |
| Foreign carrier registration/authority | Operating as a foreign carrier or foreign private carrier of property without complying with registration requirements | Minimum $12,882 per violation |
| Operating as a foreign carrier or foreign private carrier without authority and beyond the commercial zones | $17,717 for an intentional violation, $44,294 for a pattern of intentional violations |
| Violation | Description | Civil Penalty |
|---|---|---|
| Shipper protection | As a motor carrier or freight forwarder of household goods (or receiver or trustee), failing to comply with any regulation relating to the protection of individual shippers | Minimum $1,937 per violation |
| Weight falsification | Falsifying (or authorizing the falsification of) documents used in the transportation of household goods by carrier or freight forwarder to evidence the weight of a shipment | Minimum $3,879 for the first violation, $9,695 for each subsequent violation |
| Service charges | Charging for services which are not performed or are not reasonably necessary in the safe and adequate movement of the shipment | Minimum $3,879 for the first violation, $9,695 for each subsequent violation |
| Failing to deliver | Violating a contract for shipment of household goods in interstate commerce by knowingly or willfully failing to deliver the goods to the destination when charges have been estimated by the carrier and the shipper has tendered a payment | $19,389 per violation per day, and/or suspension of registration for up to 36 months |
| Estimating costs | As a broker for transportation of household goods, making an estimate of the transportation cost before entering into an agreement with a motor carrier to provide the transportation | $14,960 per violation |
| Registration | Providing transportation of household goods, or providing broker services for such transportation, without being properly registered | $37,400 per violation |
| Description | Civil Penalty |
|---|---|
| Knowingly accepting or receiving from a carrier a rebate or offset against the rate specified in a tariff for the transportation of property delivered to the carrier | 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 |
| Offering, soliciting, or receiving transportation of property at a different rate than the required tariff rate | $193,890 per violation |
| Offering, soliciting, or receiving a rebate or concession related to motor carrier transportation under 49 U.S.C. 135, or assisting or permitting another person to get that transportation at less than the required tariff rate | $387 for the first violation, $484 for each subsequent violation |
| As a freight forwarder, assisting or willingly permitting a person to get service at less than the required rate | $971 for the first violation, up to $3,879 for each subsequent violation |
| Getting or attempting to get service from a freight forwarder at less than the required rate | $971 for the first violation, up to $3,879 for each subsequent violation |
| Description | Civil Penalty |
|---|---|
| Knowingly violating or authorizing, consenting to, or permitting a violation of 49 U.S.C. 14103 relating to loading and unloading motor vehicles | $19,389 per violation |
| Description | Civil Penalty |
|---|---|
| Disclosing information in violation of 49 U.S.C. 14908 without the permission of the shipper or consignee | $3,879 |
| Violating 49 U.S.C. 131-149, a related regulation, or a condition of registration | $971 per violation, unless another penalty is provided in 49 U.S.C. 149 |
| A director, officer, receiver, trustee, lessee, agent, or employee of a carrier that is a corporation violating 49 U.S.C. 131-149 | Penalties of 49 U.S.C. 149 that apply to a corporation |
:
enforcement-dot
FOUNDATIONAL LEARNING
- Violations of the FMCSRs and HMRs can result in civil penalties and fines from the FMCSA.
- The penalty amount is based on several factors such as the nature and gravity of the violation.
The Federal Motor Carrier Safety Administration (FMCSA) is authorized to levy fines and penalties against motor carriers, drivers, and other entities who violate the Federal Motor Carrier Safety Regulations (FMCSRs), Hazardous Materials Regulations (HMRs), or FMCSA commercial regulations. These are known as “civil” penalties and are regulated under Part 386 and its appendices.
A civil penalty is a monetary fine imposed by a government agency as compensation for violations. A civil penalty is not the same as a criminal punishment because it cannot carry jail time or other legal penalties.
Fines and penalties issued to drivers after roadside inspections do not fall under FMCSA jurisdiction. Such fines are levied based on state law and there is no uniform fine schedule across states.
How are civil penalties determined?
The regulations in Part 386 generally list the maximum civil penalties that may be levied for various violations, although in some cases they also contain a minimum amount as well. These amounts are established by Congress in the statutes that grant enforcement powers to the FMCSA.
The actual civil penalties that get assessed against a motor carrier, driver, or other entity may depend on a variety of factors, including:
- The nature of the violations,
- The gravity of the violations*,
- The violator’s degree of culpability,
- The violator’s history of prior offenses,
- The effect on the violator’s ability to continue to do business, and
- Other factors “as justice and public safety may require.”
*In the case of drivers who exceed the driving-time limit by more than three hours (called an “egregious” violation), the gravity will be deemed high enough to deserve maximum penalties.
In addition to these, certain civil penalties concerning household goods are also based on the degree of harm caused to a shipper and whether the shipper was adequately compensated before the civil penalty was assessed.
Note that “ability to pay” is not taken into account except in the case of violations of insurance requirements under Part 387.
What if a fine goes unpaid?
A commercial motor vehicle owner or operator who fails to pay a civil penalty in full within 90 days after the deadline specified in a final order from the FMCSA is prohibited from operating in interstate commerce starting on the 91st day. Similarly, a broker, freight forwarder, for-hire motor carrier, foreign motor carrier, or foreign motor private carrier that fails to meet that 90-day deadline will have its registration suspended. (386.83 and 386.84)
The following tables summarize the civil penalty amounts found in Part 386.
| Violation | Description | Civil Penalty |
|---|---|---|
| Recordkeeping | Failing to prepare or maintain a required record or preparing or maintaining a required record that is incomplete, inaccurate, or false. | $1,496 for each day of violation, up to $14,960 |
| Knowing falsification of records | Knowingly falsifying, destroying, mutilating, or changing a required report or record; knowingly making a false or incomplete record about an operation or business fact or transaction; or knowingly making, preparing, or preserving a record in violation of a Department of Transportation regulation or order. | $14,960 |
| Non-recordkeeping | Violating a non-recordkeeping requirement of Parts 382, 385, or 390-399 | $18,170 per violation |
| Non-recordkeeping violations by drivers | A driver violating a non-recordkeeping requirement of Parts 382, 385, or 390–399 | $4,543 |
| Driving during alcohol out-of-service (OOS) order | A driver placed OOS for 24 hours for violating the alcohol prohibitions in 392.5(a) or (b) who drives during that time | $3,740, up to $7,481 |
| Commercial driver’s license (CDL) and Clearinghouse violations | Any person violating the Drug & Alcohol Clearinghouse rules in Part 382, Subpart G, or the CDL rules in Part 383, Subparts B, C, E, F, G, or H | $7,481 |
| Violations of OOS orders by CDL holders | A CDL holder convicted of violating an OOS order | $3,740, up to $7,481 |
| An employer of a CDL holder knowingly allowing, requiring, permitting, or authorizing the employee to operate a CMV while the CDL holder is subject to an OOS order | $7,481, up to $37,400 | |
| Railroad-crossing violations | An employer of a CDL holder knowingly allowing, requiring, permitting, or authorizing the employee to operate a CMV in violation of a federal, state, or local law or regulation pertaining to railroad-highway grade crossings | $19,389 |
| Financial responsibility | Failing to maintain the levels of financial responsibility required under Part 387 | $19,933 per day |
| Violation of Hazardous Materials Regulations (HMRs) by motor carriers, drivers, shippers, or other persons who transport hazardous materials or cause them to be transported on highways by commercial vehicle | Violating rules related to the transport or shipment of hazardous materials | $96,624 per violation per day |
| Knowingly violating rules related to hazardous materials training | $582, up to $96,624, per violation | |
| Knowingly violating rules related 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 transport or shipment of hazardous materials | $96,624 per violation | |
| Violating applicable FMCSRs while transporting hazardous materials | $96,624 | |
| Any of the above four HMR violations resulting in death, serious illness, severe injury to any person, or substantial destruction of property | $225,455 additional per offense | |
| Motor carrier operating with an Unsatisfactory safety rating | Operating a commercial motor vehicle (CMV) in interstate commerce after receiving a final unsatisfactory safety rating | $32,208 per day |
| Operating a CMV designed or used to transport hazardous materials for which placarding is required, after receiving a final unsatisfactory safety rating | $96,624 per offense per day, or $225,455 if the violation results in death, serious illness, severe injury, or substantial destruction of property | |
| Copying of records and access to equipment, lands, and buildings | Failing to allow the FMCSA or other authorized personnel to inspect and copy any record or inspect and examine equipment, lands, buildings, and other property | $1,496 per offense per day, up to $14,960 |
| Evasion of compliance | Attempting to evade compliance with regulations | At least $2,577 but not more than $6,441 for the first violation and at least $3,219 but not more than $9,652 for a subsequent violation |
| Recordkeeping under commercial regulations | Failing to prepare or retain a report or answer a question within 30 days, filing a false report, destroying, or changing a report, making a false or incomplete entry about a business-related fact, or preparing or preserving a record in violation of 49 U.S.C. 131-149 or related regulations | Minimum $1,496 per violation, up to $9,652 per violation |
| Violation | Description | Civil Penalty |
|---|---|---|
| Notices to abate | Failing to stop violating the regulations in the time prescribed in the notice | Reinstatement of any deferred assessment or payment of a penalty (or portion thereof) |
| Subpoenas | Failing to respond to an FMCSA subpoena to appear and testify or produce records | Minimum of $1,288, up to $12,882 per violation |
| Final orders | Failing to comply with an FMCSA final order | The full penalty that was originally assessed |
| Out-of-service/suspension orders | Driving a CMV while subject to an OOS order (driver) | $2,232 per violation |
| Requiring or allowing a driver to drive a CMV while subject to an OOS order (motor carrier) | $22,324 per violation | |
| Operating an out-of-service CMV or intermodal equipment before required repairs are made (driver) | $2,232 per violation | |
| Requiring or allowing a driver to drive an out-of-service CMV or intermodal equipment before required repairs are made (motor carrier) | $22,324 per violation | |
| Failing to return written certification of correction required by the OOS order | $1,116 per violation | |
| Knowingly falsifying written certification of correction as required by the OOS order | $2,232 per violation, up to $22,324 | |
| Operating in violation of an order to cease all or part of the employer’s CMV or intermodal equipment operations | $32,208 per day | |
| Conducting operations during a period of suspension for failure to pay penalties, or while registration is revoked or suspended | $18,170 to $28,304 per day | |
| Operating as a “reincarnated” carrier to avoid compliance under 386.73 | $28,304 per day |
| Violation | Description | Civil Penalty |
|---|---|---|
| Registration | Operating as a carrier for the transportation of property without complying with registration requirements. | Minimum $12,882 per violation |
| Operating as a broker without complying with registration or financial security requirements. | $12,882 per violation | |
| Operating as a carrier of passengers without complying with registration requirements | Minimum $21,208 per violation | |
| Violating 49 U.S.C. 131-149, a related regulation, or a condition of registration | $971 per violation, unless another penalty is provided in 49 U.S.C. 149 | |
| Hazardous wastes | Operating as a carrier or broker for the transportation of hazardous wastes in violation of registration requirements | Minimum $25,767 per violation, up to $51,533 per violation |
| Foreign carrier registration/authority | Operating as a foreign carrier or foreign private carrier of property without complying with registration requirements | Minimum $12,882 per violation |
| Operating as a foreign carrier or foreign private carrier without authority and beyond the commercial zones | $17,717 for an intentional violation, $44,294 for a pattern of intentional violations |
| Violation | Description | Civil Penalty |
|---|---|---|
| Shipper protection | As a motor carrier or freight forwarder of household goods (or receiver or trustee), failing to comply with any regulation relating to the protection of individual shippers | Minimum $1,937 per violation |
| Weight falsification | Falsifying (or authorizing the falsification of) documents used in the transportation of household goods by carrier or freight forwarder to evidence the weight of a shipment | Minimum $3,879 for the first violation, $9,695 for each subsequent violation |
| Service charges | Charging for services which are not performed or are not reasonably necessary in the safe and adequate movement of the shipment | Minimum $3,879 for the first violation, $9,695 for each subsequent violation |
| Failing to deliver | Violating a contract for shipment of household goods in interstate commerce by knowingly or willfully failing to deliver the goods to the destination when charges have been estimated by the carrier and the shipper has tendered a payment | $19,389 per violation per day, and/or suspension of registration for up to 36 months |
| Estimating costs | As a broker for transportation of household goods, making an estimate of the transportation cost before entering into an agreement with a motor carrier to provide the transportation | $14,960 per violation |
| Registration | Providing transportation of household goods, or providing broker services for such transportation, without being properly registered | $37,400 per violation |
| Description | Civil Penalty |
|---|---|
| Knowingly accepting or receiving from a carrier a rebate or offset against the rate specified in a tariff for the transportation of property delivered to the carrier | 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 |
| Offering, soliciting, or receiving transportation of property at a different rate than the required tariff rate | $193,890 per violation |
| Offering, soliciting, or receiving a rebate or concession related to motor carrier transportation under 49 U.S.C. 135, or assisting or permitting another person to get that transportation at less than the required tariff rate | $387 for the first violation, $484 for each subsequent violation |
| As a freight forwarder, assisting or willingly permitting a person to get service at less than the required rate | $971 for the first violation, up to $3,879 for each subsequent violation |
| Getting or attempting to get service from a freight forwarder at less than the required rate | $971 for the first violation, up to $3,879 for each subsequent violation |
| Description | Civil Penalty |
|---|---|
| Knowingly violating or authorizing, consenting to, or permitting a violation of 49 U.S.C. 14103 relating to loading and unloading motor vehicles | $19,389 per violation |
| Description | Civil Penalty |
|---|---|
| Disclosing information in violation of 49 U.S.C. 14908 without the permission of the shipper or consignee | $3,879 |
| Violating 49 U.S.C. 131-149, a related regulation, or a condition of registration | $971 per violation, unless another penalty is provided in 49 U.S.C. 149 |
| A director, officer, receiver, trustee, lessee, agent, or employee of a carrier that is a corporation violating 49 U.S.C. 131-149 | Penalties of 49 U.S.C. 149 that apply to a corporation |
RELATED TOPICS
J. J. Keller is the trusted source for DOT / Transportation, OSHA / Workplace Safety, Human Resources, Construction Safety and Hazmat / Hazardous Materials regulation compliance products and services. J. J. Keller helps you increase safety awareness, reduce risk, follow best practices, improve safety training, and stay current with changing regulations.
Copyright 2024 J. J. Keller & Associate, Inc. For re-use options please contact copyright@jjkeller.com or call 800-558-5011.