Historical textIn force on Oct. 1, 2001Source: annual CFR editions 2001–2002

Appendix A to Part 386 Appendix A to Part 386—Penalty Schedule; Violations of Notices and Orders

Wording in the annual edition revised as of Oct. 1, 2001, superseded by the 2003 annual edition.

govinfo, 2001 edition ↗

Compare with

Before Jan. 1, 2017 the record is one snapshot per annual CFR edition, revised as of October 1. This is the 2001 edition's wording. An amendment that took effect between Oct. 1, 2001 and Oct. 1, 2001 would not appear until the next edition, so check the citations below and the Federal Register for exact effective dates.

What changedOct. 1, 1998 wording → Oct. 1, 2001 wording+39 added−0 removedHide

I. Notice to Abate
a. 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.
b. Violation—failure to comply with specific actions prescribed in a notice of investigation, compliance order or consent order, other than cessation of violations of the regulations, which were determined to be essential to abatement of future violations.
Penalty—$1,100 per violation per day.
Maximum—$11,000.
II. Notice to Post
Violation— Failure to post notice of violation (i.e., notice of investigation) as prescribed.
Penalty—$550 (A separate violation may be charged each time a failure to post as ordered is discovered.)
III. Final Order
Violation— Failure to comply with final agency order, i.e., failure to pay the penalty assessed therein after notice and opportunity for hearing within time prescribed in the order.
Penalty— Automatic waiver of any reduction in the original claim found to be valid, and immediate restoration to the full amount assessed in the Claim Letter or Notice of Investigation.
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 $1,100 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 $11,000 per violation.
(This violation applies to motor carriers, including an independent contractor who is not a “driver,” as defined under paragraph IVa above.)
c. Violation— Operation of a commercial motor vehicle by a driver after the vehicle was placed out of service and before the required repairs are made.
Penalty—$1,100 each time the vehicle is so operated.
(This violation applies to drivers as defined in IVa above.)
d. Violation— Requiring or permitting the operation of a commercial motor vehicle placed out of service before the required repairs are made.
Penalty— Up to $11,000 each time the vehicle is so operated after notice of the defect is received.
(This violation applies to motor carriers, including an independent owner-operator who is not a “driver,” as defined in IVa above.)
e. Violation— Failure to return written certification of correction as required by the out-of-service order.
Penalty— Up to $550 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 IVc and IVd above, 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, i.e., failure to cease operations as ordered.
Penalty— Up to $11,000 per day the operation continues after the effective date and time of the order to cease.
h. Violation—Conducting operations during a period of suspension under §§ 386.83 or 386.84 for failure to pay penalties.
Penalty—Up to $10,000 for each day that operations are conducted during the suspension period.
[56 FR 10184, Mar. 11, 1991, as amended at 63 FR 12414, Mar. 13, 1998; 65 FR 78429, Dec. 15, 2000]

49 CFR Appendix A to Part 386 — Appendix A to Part 386—Penalty Schedule; Violations of Notices and Orders. Text in force on October 1, 2001. This wording effective October 1, 2001 to October 1, 2003. Source: govinfo, 2001 edition, https://www.govinfo.gov/app/details/CFR-2001-title49-vol4/CFR-2001-title49-vol4-part386. Retrieved from FMCSR.com, https://fmcsr.com/reg/appendix-a-to-part-386?asof=2001-10-01, on October 26, 2026. Unofficial compilation; verify against the official source.

I. Notice to Abate

a. 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.

b. Violation—failure to comply with specific actions prescribed in a notice of investigation, compliance order or consent order, other than cessation of violations of the regulations, which were determined to be essential to abatement of future violations.

Penalty—$1,100 per violation per day.

Maximum—$11,000.

II. Notice to Post

Violation— Failure to post notice of violation (i.e., notice of investigation) as prescribed.

Penalty—$550 (A separate violation may be charged each time a failure to post as ordered is discovered.)

III. Final Order

Violation— Failure to comply with final agency order, i.e., failure to pay the penalty assessed therein after notice and opportunity for hearing within time prescribed in the order.

Penalty— Automatic waiver of any reduction in the original claim found to be valid, and immediate restoration to the full amount assessed in the Claim Letter or Notice of Investigation.

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 $1,100 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 $11,000 per violation.

(This violation applies to motor carriers, including an independent contractor who is not a “driver,” as defined under paragraph IVa above.)

c. Violation— Operation of a commercial motor vehicle by a driver after the vehicle was placed out of service and before the required repairs are made.

Penalty—$1,100 each time the vehicle is so operated.

(This violation applies to drivers as defined in IVa above.)

d. Violation— Requiring or permitting the operation of a commercial motor vehicle placed out of service before the required repairs are made.

Penalty— Up to $11,000 each time the vehicle is so operated after notice of the defect is received.

(This violation applies to motor carriers, including an independent owner-operator who is not a “driver,” as defined in IVa above.)

e. Violation— Failure to return written certification of correction as required by the out-of-service order.

Penalty— Up to $550 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 IVc and IVd above, 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, i.e., failure to cease operations as ordered.

Penalty— Up to $11,000 per day the operation continues after the effective date and time of the order to cease.

h. Violation—Conducting operations during a period of suspension under §§ 386.83 or 386.84 for failure to pay penalties.

Penalty—Up to $10,000 for each day that operations are conducted during the suspension period.

[56 FR 10184, Mar. 11, 1991, as amended at 63 FR 12414, Mar. 13, 1998; 65 FR 78429, Dec. 15, 2000]

Amendment history

24 distinct wordings on file since Oct. 1, 1996

Dec. 30, 2024 → presenteCFR, day-precisediff vs. previous
[80 FR 18155, Apr. 3, 2015, as amended at 81 FR 41463, June 27, 2016; 82 FR 17590, Apr. 12, 2017; 83 FR 60750, Nov. 27, 2018; 84 FR 37076, July 31, 2019; 86 FR 1760, Jan. 11, 2021; 86 FR 23256, May 3, 2021; 87 FR 15870, Mar. 21, 2022; 88 FR 1129, Jan. 6, 2023; 88 FR 89564, Dec. 28, 2023; 89 FR 106298, Dec. 30, 2024]
Dec. 28, 2023 → Dec. 30, 2024eCFR, day-precisediff vs. previous
[80 FR 18155, Apr. 3, 2015, as amended at 81 FR 41463, June 27, 2016; 82 FR 17590, Apr. 12, 2017; 83 FR 60750, Nov. 27, 2018; 84 FR 37076, July 31, 2019; 86 FR 1760, Jan. 11, 2021; 86 FR 23256, May 3, 2021; 87 FR 15870, Mar. 21, 2022; 88 FR 1129, Jan. 6, 2023; 88 FR 89564, Dec. 28, 2023]
Jan. 6, 2023 → Dec. 28, 2023eCFR, day-precisediff vs. previous
[80 FR 18155, Apr. 3, 2015, as amended at 81 FR 41463, June 27, 2016; 82 FR 17590, Apr. 12, 2017; 83 FR 60750, Nov. 27, 2018; 84 FR 37076, July 31, 2019; 86 FR 1760, Jan. 11, 2021; 86 FR 23256, May 3, 2021; 87 FR 15870, Mar. 21, 2022; 88 FR 1129, Jan. 6, 2023]
March 21, 2022 → Jan. 6, 2023eCFR, day-precisediff vs. previous
[80 FR 18155, Apr. 3, 2015, as amended at 81 FR 41463, June 27, 2016; 82 FR 17590, Apr. 12, 2017; 83 FR 60750, Nov. 27, 2018; 84 FR 37076, July 31, 2019; 86 FR 1760, Jan. 11, 2021; 86 FR 23256, May 3, 2021; 87 FR 15870, Mar. 21, 2022]
May 3, 2021 → March 21, 2022eCFR, day-precisediff vs. previous
[80 FR 18155, Apr. 3, 2015, as amended at 81 FR 41463, June 27, 2016; 82 FR 17590, Apr. 12, 2017; 83 FR 60750, Nov. 27, 2018; 84 FR 37076, July 31, 2019; 86 FR 1760, Jan. 11, 2021; 86 FR 23256, May 3, 2021]
Jan. 11, 2021 → May 3, 2021eCFR, day-precisediff vs. previous
[80 FR 18155, Apr. 3, 2015, as amended at 81 FR 41463, June 27, 2016; 82 FR 17590, Apr. 12, 2017; 83 FR 60750, Nov. 27, 2018; 84 FR 37076, July 31, 2019; 86 FR 1760, Jan. 11, 2021]
July 31, 2019 → Jan. 11, 2021eCFR, day-precisediff vs. previous
[80 FR 18155, Apr. 3, 2015, as amended at 81 FR 41463, June 27, 2016; 82 FR 17590, Apr. 12, 2017; 83 FR 60750, Nov. 27, 2018; 84 FR 37076, July 31, 2019]
Nov. 27, 2018 → July 31, 2019eCFR, day-precisediff vs. previous
[80 FR 18155, Apr. 3, 2015, as amended at 81 FR 41463, June 27, 2016; 82 FR 17590, Apr. 12, 2017; 83 FR 60750, Nov. 27, 2018]
April 24, 2017 → Nov. 27, 2018eCFR, day-precisediff vs. previous
[80 FR 18155, Apr. 3, 2015, as amended at 81 FR 41463, June 27, 2016; 82 FR 17590, Apr. 12, 2017]
April 12, 2017 → April 24, 2017eCFR, day-precisediff vs. previous
[80 FR 18155, Apr. 3, 2015, as amended at 81 FR 41463, June 27, 2016]
Jan. 1, 2017 → April 12, 2017eCFR, day-precisediff vs. previous
[80 FR 18155, Apr. 3, 2015, as amended at 81 FR 41463, June 27, 2016]
Oct. 1, 2016 → Jan. 1, 2017annual edition 2016diff vs. previous
[80 FR 18155, Apr. 3, 2015, as amended at 81 FR 41463, June 27, 2016]
Oct. 1, 2015 → Oct. 1, 2016annual edition 2015diff vs. previous
[80 FR 18155, Apr. 3, 2015]
Oct. 1, 2014 → Oct. 1, 2015annual edition 2014diff vs. previous
[56 FR 10184, Mar. 11, 1991, as amended at 63 FR 12414, Mar. 13, 1998; 65 FR 78429, Dec. 15, 2000; 68 FR 15383, Mar. 31, 2003; 70 FR 28486, May 18, 2005; 72 FR 55102, Sept. 28, 2007; 73 FR 76820, Dec. 17, 2008; 77 FR 24872, Apr. 26, 2012; 78 FR 60233, Oct. 1, 2013; 79 FR 3541, Jan. 22, 2014]
Oct. 1, 2013 → Oct. 1, 2014annual edition 2013diff vs. previous
[56 FR 10184, Mar. 11, 1991, as amended at 63 FR 12414, Mar. 13, 1998; 65 FR 78429, Dec. 15, 2000; 68 FR 15383, Mar. 31, 2003; 70 FR 28486, May 18, 2005; 72 FR 55102, Sept. 28, 2007; 73 FR 76820, Dec. 17, 2008; 77 FR 24872, Apr. 26, 2012; 78 FR 60233, Oct. 1, 2013]
Oct. 1, 2012 → Oct. 1, 2013annual edition 2012diff vs. previous
[56 FR 10184, Mar. 11, 1991, as amended at 63 FR 12414, Mar. 13, 1998; 65 FR 78429, Dec. 15, 2000; 68 FR 15383, Mar. 31, 2003; 70 FR 28486, May 18, 2005; 72 FR 55102, Sept. 28, 2007; 73 FR 76820, Dec. 17, 2008; 77 FR 24872, Apr. 26, 2012]
Oct. 1, 2009 → Oct. 1, 2012annual editions 2009–2011diff vs. previous
[56 FR 10184, Mar. 11, 1991, as amended at 63 FR 12414, Mar. 13, 1998; 65 FR 78429, Dec. 15, 2000; 68 FR 15383, Mar. 31, 2003; 70 FR 28486, May 18, 2005; 72 FR 55102, Sept. 28, 2007; 73 FR 76820, Dec. 17, 2008]
Oct. 1, 2007 → Oct. 1, 2009annual editions 2007–2008diff vs. previous
[56 FR 10184, Mar. 11, 1991, as amended at 63 FR 12414, Mar. 13, 1998; 65 FR 78429, Dec. 15, 2000; 68 FR 15383, Mar. 31, 2003; 70 FR 28486, May 18, 2005; 72 FR 55102, Sept. 28, 2007]
Oct. 1, 2006 → Oct. 1, 2007annual edition 2006diff vs. previous
[56 FR 10184, Mar. 11, 1991, as amended at 63 FR 12414, Mar. 13, 1998; 65 FR 78429, Dec. 15, 2000; 68 FR 15383, Mar. 31, 2003; 70 FR 28486, May 18, 2005]
Oct. 1, 2005 → Oct. 1, 2006annual edition 2005diff vs. previous
[56 FR 10184, Mar. 11, 1991, as amended at 63 FR 12414, Mar. 13, 1998; 65 FR 78429, Dec. 15, 2000; 68 FR 15383, Mar. 31, 2003]
Oct. 1, 2003 → Oct. 1, 2005annual editions 2003–2004diff vs. previous
[56 FR 10184, Mar. 11, 1991, as amended at 63 FR 12414, Mar. 13, 1998; 65 FR 78429, Dec. 15, 2000; 68 FR 15383, Mar. 31, 2003]
Oct. 1, 2001 → Oct. 1, 2003annual editions 2001–2002diff vs. previousviewing
[56 FR 10184, Mar. 11, 1991, as amended at 63 FR 12414, Mar. 13, 1998; 65 FR 78429, Dec. 15, 2000]
Oct. 1, 1998 → Oct. 1, 2001annual editions 1998–2000diff vs. previous
[56 FR 10184, Mar. 11, 1991, as amended at 63 FR 12414, Mar. 13, 1998]
Oct. 1, 1996 → Oct. 1, 1998annual edition 1996
[56 FR 10184, Mar. 11, 1991]

A new entry appears whenever the regulatory words change between government snapshots. Day-precise from the eCFR (2017 onward); before that, one snapshot per annual CFR edition (revised as of October 1). Bracketed citations are the Federal Register history printed with the section.