Coming soon: New FMCSA enforcement playbook
The DOT is soon expected to issue a new rule that will affect how the Federal Motor Carrier Safety Administration (FMCSA) writes new guidance and runs enforcement cases. Though it may sound like inside-baseball, for motor carriers it could change the outcome of audits, investigations, and even settlement talks.
According to the DOT, the new “rule on rules” is aimed at making the enforcement process more fair, well-documented, and based on clear legal authority, not a game of “gotcha.” The rule was proposed a year ago and recently got the White House’s stamp of approval, clearing the way for final publication.
No fishing
As proposed, the rule directs the FMCSA and other DOT agencies to avoid “fishing expeditions” without enough evidence in hand to support an enforcement claim. It also spells out what an enforcement notice should include — what rule you allegedly violated, the key facts, and what rights you have to challenge it and “avoid unfair surprise.”
Transparency is another key component. The rule will require agencies to share potentially exculpatory evidence — basically, information in the government’s hands that could help you defend yourself or reduce the penalty. The proposed version of the rule states that “making affirmative disclosures of exculpatory evidence in all enforcement actions will contribute to the [DOT’s] goal of open and fair investigations and administrative enforcement proceedings.”
The rule is also expected to reinforce the fact that guidance documents — including interpretations issued by the FMCSA and often published along with FMCSA regulations — are not legally binding. In addition, agencies will need to take additional steps in the guidance development process, such as doing cost-benefit analyses and legal review, and getting public input.
Many of the changes in the proposed rule were in place prior to 2021 but were rescinded by the previous administration.
A new era for enforcement
One of the most intriguing changes in the rule will allow motor carriers to petition the DOT to argue that their staff violated procedural requirements. If the carrier wins, the proposed remedies go beyond a scolding for the investigators. They could include:
- Removing the enforcement team,
- Excluding certain issues or evidence,
- Ordering certain factual findings, or
- Restarting the enforcement action from the beginning or from an earlier point in the proceedings.
FMCSA enforcement cases dropped dramatically last year even without the new rule; the future may hold even fewer once the proposed changes go into effect.
Key to remember: A new “rule on rules” from the DOT is expected soon, and it could change the FMCSA’s enforcement playbook.
























































