[Code of Federal Regulations]
[Title 49, Volume 5]
[Revised as of October 1, 2007]
From the U.S. Government Printing Office via GPO Access
[CITE: 49CFR386.11]

[Page 261-262]
 
                        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
    (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) Notice of Violation. The Agency may issue a Notice of Violation 
as a means of notifying any person subject to the rules in this part 
that it has received information (i.e., from an investigation, audit, or 
any other source) wherein it has been alleged the person has violated 
provisions of the FMCSRs, HMRs, or FMCCRs. The notice of violation 
serves as an informal mechanism to address compliance deficiencies. If 
the alleged deficiency is not addressed to the satisfaction of the 
Agency, formal enforcement action may be taken in accordance with 
paragraph (c) of this section. A notice of violation is not a 
prerequisite to the issuance of a

[[Page 262]]

Notice of Claim. The notice of violation will address the following 
issues, as appropriate:
    (1) The specific alleged violations.
    (2) Any specific actions the Agency determines are appropriate to 
remedy the identified problems.
    (3) The means by which the notified person can inform the Agency 
that it has received the notice of violation and either has addressed 
the alleged violation or does not agree with the Agency's assertions in 
the notice of violation.
    (4) Any other relevant information.
    (c) Civil penalty proceedings. These proceedings are commenced by 
the issuance of a Notice of Claim.
    (1) Each Notice of Claim must contain the following:
    (i) A statement setting forth the facts alleged.
    (ii) A statement of the provisions of law allegedly violated by the 
respondent.
    (iii) The proposed civil penalty and notice of the maximum amount 
authorized to be claimed under statute.
    (iv) The time, form, and manner whereby the respondent may pay, 
contest, or otherwise seek resolution of the claim.
    (2) In addition to the information required by paragraph (c)(1) of 
this section, the Notice of Claim may contain such other matters as the 
Agency deems appropriate.
    (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 Agency may require the respondent to post a copy of the 
Notice of Claim in such place or places and for such duration as the 
Agency may determine appropriate to aid in the enforcement of the law 
and regulations.

[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; 70 FR 28480, May 18, 
2005]