[Code of Federal Regulations]
[Title 49, Volume 4]
[Revised as of October 1, 2004]
From the U.S. Government Printing Office via GPO Access
[CITE: 49CFR386.11]

[Page 1031-1032]
 
                        TITLE 49--TRANSPORTATION
 
                      DEPARTMENT OF TRANSPORTATION
 
PART 386_RULES OF PRACTICE FOR MOTOR CARRIER, BROKER, FREIGHT FORWARDER, 
AND HAZARDOUS MATERIALS PROCEEDINGS--Table of Contents
 
            Subpart B_Commencement of Proceedings, Pleadings
 
Sec. 386.11  Commencement of proceedings.


    (a) Driver qualification proceedings. These proceedings are 
commenced by the issuance of a determination by the Director, Office of 
Truck and Bus Standards and Operations, in a case arising under Sec. 
391.47 of this chapter or by the issuance of a letter of 
disqualification.
    (1) Such determination and letters must be accompanied by the 
following:
    (i) A citation of the regulation under which the action is being 
taken;
    (ii) A copy of all documentary evidence relied on or considered in 
taking such action, or in the case of voluminous evidence a summary of 
such evidence;
    (iii) Notice to the driver and motor carrier involved in the case 
that they may petition for review of the action;
    (iv) Notice that a hearing will be granted if the Assistant 
Administrator determines there are material factual issues in dispute;
    (v) Notice that failure to petition for review will constitute a 
waiver of the right to contest the action; and

[[Page 1032]]

    (vi) Notice that the burden or proof will be on the petitioner in 
cases arising under Sec. 391.47 of this chapter.
    (2) At any time before the close of hearing, upon application of a 
party, the letter or determination may be amended at the discretion of 
the administrative law judge upon such terms as he/she approves.
    (b) Civil forfeitures. These proceedings are commenced by the 
issuance of a Claim Letter or a Notice of Investigation.
    (1) Each claim letter must contain the following:
    (i) A statement of the provisions of law alleged to have been 
violated;
    (ii) A brief statement of the facts constituting each violation;
    (iii) Notice of the amount being claimed, and notice of the maximum 
amount authorized to be claimed under the statute;
    (iv) The form in which and the place where the respondent may pay 
the claim; and
    (v) Notice that the respondent may, within 15 days of service, 
notify the claimant that the respondent intends to contest the notice, 
and that if the notice is contested the respondent will be afforded an 
opportunity for a hearing.
    (2) In addition to the information required by paragraph (b)(1) of 
this section, the letter may contain such other matters as the FMCSA 
deems appropriate, including a notice to abate.
    (3) In proceedings for collection of civil penalties for violations 
of the motor carrier safety regulations under the Motor Carrier Safety 
Act of 1984, the claimant may require the respondent to post a copy of 
the claim letter in such place or places and for such duration as the 
claimant may determine appropriate to aid in the enforcement of the law 
and regulations.
    (c) Notice of investigation. This is a notice to respondent that the 
FMCSA has discovered violations of the Federal Motor Carrier Safety 
Regulations, Hazardous Materials Regulations, or Commercial Regulations 
under circumstances which may require a compliance order and/or monetary 
penalties. The proposed form of the compliance order will be included in 
the notice. The Assistant Administrator may issue a Notice of 
Investigation in his or her own discretion or upon a complaint filed 
pursuant to Sec. 386.12.
    (1) Each notice of investigation must include the following:
    (i) A statement of the legal authority and jurisdiction for the 
institution of the proceedings;
    (ii) The name and address of each motor carrier, broker, or freight 
forwarder against whom relief is sought;
    (iii) One or more clear, concise, and separately numbered paragraphs 
stating the facts alleged to constitute a violation of the law;
    (iv) The relief demanded which, where practical, should be in the 
form of an order for the Assistant Administrator's signature, and which 
shall fix a reasonable time for abatement of the violations and may 
specify actions to be taken in order to abate the violations;
    (v) A statement that the rules in this part require a reply to be 
filed within 30 days of service of the notice of investigation, and
    (vi) A certificate that the notice of investigation was served in 
accordance with Sec. 386.31.
    (2) At any time before the close of hearing or upon application of a 
party, the notice of investigation may be amended at the discretion of 
the administrative law judge upon such terms as he/she deems 
appropriate.
    (3) A Claim Letter may be combined with a Notice of Investigation in 
a single proceeding. In such proceeding, the 30-day reply period in 
paragraph (c)(1) of this section shall apply.
    (4) A notice to abate contained in a Claim Letter or Notice of 
Investigation shall specify what must be done by the respondent, a 
reasonable time within which abatement must be achieved, and that 
failure to abate subjects the respondent to additional penalties as 
prescribed in subpart G of this part.

[50 FR 40306, Oct. 2, 1985, as amended at 53 FR 2036, Jan. 26, 1988; 56 
FR 10182, Mar. 11, 1991; 65 FR 7756, Feb. 16, 2000]