
From the U.S. Code Online via GPO Access
[wais.access.gpo.gov]
[Laws in effect as of January 23, 2000]
[Document not affected by Public Laws enacted between
  January 23, 2000 and December 4, 2001]
[CITE: 49USC521]

 
                        TITLE 49--TRANSPORTATION
 
                SUBTITLE I--DEPARTMENT OF TRANSPORTATION
 
                      CHAPTER 5--SPECIAL AUTHORITY
 
                        SUBCHAPTER II--PENALTIES
 
Sec. 521. Civil penalties

    (a)(1) A person required under section 504 of this title to make, 
prepare, preserve, or submit to the Secretary of Transportation a record 
about rail carrier transportation, that does not make, prepare, 
preserve, or submit that record as required under that section, is 
liable to the United States Government for a civil penalty of $500 for 
each violation.
    (2) A rail carrier, and a lessor, receiver, or trustee of that 
carrier, violating section 504(c)(1) of this title, is liable to the 
Government for a civil penalty of $100 for each violation.
    (3) A rail carrier, a lessor, receiver, or trustee of that carrier, 
a person furnishing cars or protective service against heat or cold, and 
an officer, agent, or employee of one of them, required to make a report 
to the Secretary or answer a question, that does not make a report to 
the Secretary or does not specifically, completely, and truthfully 
answer the question, is liable to the Government for a civil penalty of 
$100 for each violation.
    (4) A separate violation occurs for each day a violation under this 
subsection continues.
    (5) Trial in a civil action under this subsection is in the judicial 
district in which the rail carrier has its principal operating office or 
in a district through which the railroad of the rail carrier runs.
    (b)(1)(A) If the Secretary finds that a violation of a provision of 
subchapter III of chapter 311 (except sections 31138 and 31139) or 
section 31302, 31303, 31304, 31305(b), 31310(g)(1)(A),\1\ or 31502 of 
this title, or a violation of a regulation issued under any of those 
provisions, has occurred, the Secretary shall issue a written notice to 
the violator. Such notice shall describe with reasonable particularity 
the nature of the violation found and the provision which has been 
violated. The notice shall specify the proposed civil penalty, if any, 
and suggest actions which might be taken in order to abate the 
violation. The notice shall indicate that the violator may, within 15 
days of service, notify the Secretary of the violator's intention to 
contest the matter. In the event of a contested notice, the Secretary 
shall afford such violator an opportunity for a hearing, pursuant to 
section 554 of title 5, following which the Secretary shall issue an 
order affirming, modifying, or vacating the notice of violation.
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    \1\ See References in Text note below.
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    (B) Nonapplicability to reporting and recordkeeping violations.--
Subparagraph (A) shall not apply to reporting and recordkeeping 
violations.
    (2) Civil Penalty.--
        (A) In general.--Except as otherwise provided in this 
    subsection, any person who is determined by the Secretary, after 
    notice and opportunity for a hearing, to have committed an act that 
    is a violation of regulations issued by the Secretary under 
    subchapter III of chapter 311 (except sections 31138 and 31139) or 
    section 31502 of this title shall be liable to the United States for 
    a civil penalty in an amount not to exceed $10,000 for each offense. 
    Notwithstanding any other provision of this section (except 
    subparagraph (C)), no civil penalty shall be assessed under this 
    section against an employee for a violation in an amount exceeding 
    $2,500.
        (B) Recordkeeping and reporting violations.--A person required 
    to make a report to the Secretary, answer a question, or make, 
    prepare, or preserve a record under section 504 of this title or 
    under any regulation issued by the Secretary pursuant to subchapter 
    III of chapter 311 (except sections 31138 and 31139) or section 
    31502 of this title about transportation by motor carrier, motor 
    carrier of migrant workers, or motor private carrier, or an officer, 
    agent, or employee of that person--
            (i) who does not make that report, does not specifically, 
        completely, and truthfully answer that question in 30 days from 
        the date the Secretary requires the question to be answered, or 
        does not make, prepare, or preserve that record in the form and 
        manner prescribed by the Secretary, shall be liable to the 
        United States for a civil penalty in an amount not to exceed 
        $500 for each offense, and each day of the violation shall 
        constitute a separate offense, except that the total of all 
        civil penalties assessed against any violator for all offenses 
        related to any single violation shall not exceed $5,000; or
            (ii) who knowingly falsifies, destroys, mutilates, or 
        changes a required report or record, knowingly files a false 
        report with the Secretary, knowingly makes or causes or permits 
        to be made a false or incomplete entry in that record about an 
        operation or business fact or transaction, or knowingly makes, 
        prepares, or preserves a record in violation of a regulation or 
        order of the Secretary, shall be liable to the United States for 
        a civil penalty in an amount not to exceed $5,000 for each 
        violation, if any such action can be shown to have 
        misrepresented a fact that constitutes a violation other than a 
        reporting or recordkeeping violation.

        (C) Violations pertaining to cdls.--Any person who is determined 
    by the Secretary, after notice and opportunity for a hearing, to 
    have committed an act which is a violation of section 31302, 31303, 
    31304, 31305(b), or 31310(g)(1)(A) of this title shall be liable to 
    the United States for a civil penalty not to exceed $2,500 for each 
    offense.
        (D) Determination of amount.--The amount of any civil penalty, 
    and a reasonable time for abatement of the violation, shall by 
    written order be determined by the Secretary, taking into account 
    the nature, circumstances, extent, and gravity of the violation 
    committed and, with respect to the violator, the degree of 
    culpability, history of prior offenses, ability to pay, effect on 
    ability to continue to do business, and such other matters as 
    justice and public safety may require. In each case, the assessment 
    shall be calculated to induce further compliance.

    (3) The Secretary may require any violator served with a notice of 
violation to post a copy of such notice or statement of such notice in 
such place or places and for such duration as the Secretary may 
determine appropriate to aid in the enforcement of subchapter III of 
chapter 311 (except sections 31138 and 31139) or section 31302, 31303, 
31304, 31305(b), or 31502 of this title, as the case may be.
    (4) Such civil penalty may be recovered in an action brought by the 
Attorney General on behalf of the United States in the appropriate 
district court of the United States or, before referral to the Attorney 
General, such civil penalty may be compromised by the Secretary.
    (5)(A) If, upon inspection or investigation, the Secretary 
determines that a violation of a provision of subchapter III of chapter 
311 (except sections 31138 and 31139) or section 31302, 31303, 31304, 
31305(b), or 31502 of this title or a regulation issued under any of 
those provisions, or combination of such violations, poses an imminent 
hazard to safety, the Secretary shall order a vehicle or employee 
operating such vehicle out of service, or order an employer to cease all 
or part of the employer's commercial motor vehicle operations. In making 
any such order, the Secretary shall impose no restriction on any 
employee or employer beyond that required to abate the hazard. 
Subsequent to the issuance of the order, opportunity for review shall be 
provided in accordance with section 554 of title 5, except that such 
review shall occur not later than 10 days after issuance of such order.
    (B) In this paragraph, ``imminent hazard'' means any condition of 
vehicle, employee, or commercial motor vehicle operations which 
substantially increases the likelihood of serious injury or death if not 
discontinued immediately.
    (6) Criminal Penalties.--
        (A) In general.--Any person who knowingly and willfully violates 
    any provision of subchapter III of chapter 311 (except sections 
    31138 and 31139) or section 31502 of this title, or a regulation 
    issued under any of those provisions shall, upon conviction, be 
    subject for each offense to a fine not to exceed $25,000 or 
    imprisonment for a term not to exceed one year, or both, except 
    that, if such violator is an employee, the violator shall only be 
    subject to penalty if, while operating a commercial motor vehicle, 
    the violator's activities have led or could have led to death or 
    serious injury, in which case the violator shall be subject, upon 
    conviction, to a fine not to exceed $2,500.
        (B) Violations pertaining to cdls.--Any person who knowingly and 
    willfully violates--
            (i) any provision of section 31302, 31303(b) or (c), 31304, 
        31305(b), or 31310(g)(1)(A) of this title or a regulation issued 
        under such section, or
            (ii) with respect to notification of a serious traffic 
        violation as defined under section 31301 of this title, any 
        provision of section 31303(a) of this title or a regulation 
        issued under section 31303(a),

    shall, upon conviction, be subject for each offense to a fine not to 
    exceed $5,000 or imprisonment for a term not to exceed 90 days, or 
    both.

    (7) The Secretary shall issue regulations establishing penalty 
schedules designed to induce timely compliance for persons failing to 
comply promptly with the requirements set forth in any notices and 
orders under this subsection.
    (8) Prohibition on operation in interstate commerce after nonpayment 
of penalties.--
        (A) In general.--An owner or operator of a commercial motor 
    vehicle against whom a civil penalty is assessed under this chapter 
    or chapter 51, 149, or 311 of this title and who does not pay such 
    penalty or fails to arrange and abide by an acceptable payment plan 
    for such civil penalty may not operate in interstate commerce 
    beginning on the 91st day after the date specified by order of the 
    Secretary for payment of such penalty. This paragraph shall not 
    apply to any person who is unable to pay a civil penalty because 
    such person is a debtor in a case under chapter 11 of title 11, 
    United States Code.
        (B) Regulations.--Not later than 12 months after the date of the 
    enactment of this paragraph, the Secretary, after notice and an 
    opportunity for public comment, shall issue regulations setting 
    forth procedures for ordering commercial motor vehicle owners and 
    operators delinquent in paying civil penalties to cease operations 
    until payment has been made.

    (9) Any aggrieved person who, after a hearing, is adversely affected 
by a final order issued under this section may, within 30 days, petition 
for review of the order in the United States Court of Appeals in the 
circuit wherein the violation is alleged to have occurred or where the 
violator has his principal place of business or residence, or in the 
United States Court of Appeals for the District of Columbia Circuit. 
Review of the order shall be based on a determination of whether the 
Secretary's findings and conclusions were supported by substantial 
evidence, or were otherwise not in accordance with law. No objection 
that has not been urged before the Secretary shall be considered by the 
court, unless reasonable grounds existed for failure or neglect to do 
so. The commencement of proceedings under this subsection shall not, 
unless ordered by the court, operate as a stay of the order of the 
Secretary.
    (10) All penalties and fines collected under this section shall be 
deposited into the Highway Trust Fund (other than the Mass Transit 
Account).
    (11) In any action brought under this section, process may be served 
without regard to the territorial limits of the district of the State in 
which the action is brought.
    (12) In any proceeding for criminal contempt for violation of an 
injunction or restraining order issued under this section, trial shall 
be by the court, or, upon demand of the accused, by a jury, conducted in 
accordance with the provisions of rule 42(b) of the Federal Rules of 
Criminal Procedure.
    (13) The provisions of this subsection shall not affect chapter 51 
of this title or any regulation promulgated by the Secretary under 
chapter 51.
    (14) As used in this subsection, the terms ``commercial motor 
vehicle'', ``employee'', ``employer'', and ``State'' have the meaning 
such terms have under section 31132 of this title.

(Pub. L. 97-449, Jan. 12, 1983, 96 Stat. 2435; Pub. L. 98-554, title II, 
Sec. 213(b), Oct. 30, 1984, 98 Stat. 2842; Pub. L. 99-570, title XII, 
Sec. 12012, Oct. 27, 1986, 100 Stat. 3207-184; Pub. L. 101-500, 
Sec. 15(e)(2), Nov. 3, 1990, 104 Stat. 1220; Pub. L. 102-548, Sec. 2(b), 
Oct. 28, 1992, 106 Stat. 3648; Pub. L. 103-272, Secs. 4(j)(11)(D), 
5(m)(11), July 5, 1994, 108 Stat. 1368, 1376; Pub. L. 104-287, 
Sec. 5(4), Oct. 11, 1996, 110 Stat. 3389; Pub. L. 105-178, title IV, 
Sec. 4015(a), (b), June 9, 1998, 112 Stat. 411; Pub. L. 106-159, title 
II, Secs. 206(b), 208, Dec. 9, 1999, 113 Stat. 1763, 1764.)

                                          Historical and Revision Notes
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---------------------------------
           Revised  Section                    Source (U.S. Code)              
 Source (Statutes at Large)
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---------------------------------
521...................................  49:1655(f)(2).                   Oct. 1
5, 1966, Pub. L. 89-670, Sec.
                                                                          6(f)(
2), 80 Stat. 940.
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---------------------------------

    The section is included because 49:1655(f)(2) gave the same 
administrative powers exercised by the Interstate Commerce Commission 
under certain sections of title 49 to the Secretary of Transportation to 
carry out duties transferred to the Secretary by 49:1655(e). See the 
revision notes for section 501 of the revised title for an explanation 
of the transfer under 49:1655(f)(2). The powers of the Commission have 
been codified in subtitle IV of the revised title. The comparable 
provisions of title 49 that are represented by the section may be found 
as follows:

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---------------------------------
                                                                               
                        Revised
                Section 521                                       49 U.S. Code 
                        Section
-------------------------------------------------------------------------------
---------------------------------
(a)........................................  20(7)(a), (c)-(e).                
                            11901
(b)........................................  322(h).                           
                            11901
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---------------------------------

    See the revision notes for the revised section for an explanation of 
changes made in the text. Changes not accounted for in those revision 
notes are as follows:
    In subsection (a)(3), the words ``against heat and cold'' are 
inserted for consistency with sections 11105 and 11901 of the revised 
title.
    Subsection (b) does not apply to motor carriers of migrant workers 
and motor private carriers because 49:322(h) (1st sentence) only applies 
to motor carriers and 49:304(a)(3) and (3a) do not apply 49:322(h) (1st 
sentence) to motor carriers of migrant workers and motor private 
carriers. The reference to 49:303(c), 306(a)(1), and 309(a)(1) is 
omitted as not applicable to this chapter.

                       References in Text

    Section 31310(g)(1)(A), referred to in subsec. (b)(1)(A), was 
redesignated section 31310(i)(1)(A), by Pub. L. 106-159, title II, 
Sec. 201(b)(1), Dec. 9, 1999, 113 Stat. 1759.
    The date of the enactment of this paragraph, referred to in subsec. 
(b)(8)(B), is the date of enactment of Pub. L. 106-159, which was 
approved Dec. 9, 1999.
    The Federal Rules of Criminal Procedure, referred to in subsec. 
(b)(12), are set out in the Appendix to Title 18, Crimes and Criminal 
Procedure.


                               Amendments

    1999--Subsec. (b)(5)(B). Pub. L. 106-159, Sec. 208, substituted 
``substantially increases the likelihood of'' for ``is likely to result 
in''.
    Subsec. (b)(8) to (14). Pub. L. 106-159, Sec. 206(b), added par. (8) 
and redesignated former pars. (8) to (13) as (9) to (14), respectively.
    1998--Subsec. (b)(1)(A). Pub. L. 105-178, Sec. 4015(a)(1), struck 
out ``fix a reasonable time for abatement of the violation,'' before 
``specify the proposed civil penalty''.
    Subsec. (b)(1)(B). Pub. L. 105-178, Sec. 4015(a)(2), added subpar. 
(B) and struck out former subpar. (B) which read as follows: ``The 
Secretary shall, not later than 60 days after November 3, 1990, 
establish operational procedures to require a highway safety specialist 
or other appropriate representative of the Secretary to initiate, at the 
time of a safety review, compliance review, or other inspection or audit 
activity, or within a reasonable time thereafter, an enforcement action 
whenever any of the offenses referred to in paragraph (2)(A) and (B) can 
be documented, except recordkeeping violations not specified by the 
Secretary as serious. The procedures shall--
        ``(i) specify those serious recordkeeping violations for which 
    an enforcement action shall be initiated, including instances in 
    which the falsification of records of duty status or drivers' 
    medical certificates is required or permitted, and such other 
    recordkeeping violations as the Secretary determines to be serious; 
    and
        ``(ii) authorize, but not require, initiation of an enforcement 
    action for recordkeeping violations not specified by the Secretary 
    as serious.''
    Subsec. (b)(2)(A). Pub. L. 105-178, Sec. 4015(b)(1), added subpar. 
(A) and struck out heading and text of former subpar. (A). Text read as 
follows: ``Except as otherwise provided in this subsection, any person 
who is determined by the Secretary, after notice and opportunity for a 
hearing, to have committed an act which is a violation of a 
recordkeeping requirement issued by the Secretary under subchapter III 
of chapter 311 (except sections 31138 and 31139) or section 31502 of 
this title or which is a violation of chapter 59 of this title shall be 
liable to the United States for a civil penalty not to exceed $500 for 
each offense. Each day of a violation shall constitute a separate 
offense, except that the total of all civil penalties assessed against 
any violator for all offenses relating to any single violation shall not 
exceed $2,500. If the Secretary determines that a serious pattern of 
safety violations, other than recordkeeping requirements, exists or has 
occurred, the Secretary may assess a civil penalty not to exceed $1,000 
for each offense; except that the maximum fine for each such pattern of 
safety violations shall not exceed $10,000. If the Secretary determines 
that a substantial health or safety violation exists or has occurred 
which could reasonably lead to, or has resulted in, serious personal 
injury or death, the Secretary may assess a civil penalty not to exceed 
$10,000 for each offense. Notwithstanding any other provision of this 
section (other than subparagraph (B)), except for recordkeeping 
violations, no civil penalty shall be assessed under this section 
against an employee for a violation unless the Secretary determines that 
such employee's actions constituted gross negligence or reckless 
disregard for safety, in which case such employee shall be liable for a 
civil penalty not to exceed $1,000.''
    Subsec. (b)(2)(B) to (D). Pub. L. 105-178, Sec. 4015(b)(2), (3), 
added subpar. (B) and redesignated former subpars. (B) and (C) as (C) 
and (D), respectively.
    1996--Subsec. (b)(1)(B). Pub. L. 104-287 substituted ``November 3, 
1990'' for ``the date of enactment of this subparagraph'' in 
introductory provisions.
    1994--Subsec. (b)(1)(A). Pub. L. 103-272, Sec. 5(m)(11)(A), 
substituted ``a provision of subchapter III of chapter 311 (except 
sections 31138 and 31139) or section 31302, 31303, 31304, 31305(b), 
31310(g)(1)(A), or 31502 of this title'' for ``section 3102 of this 
title or the Motor Carrier Safety Act of 1984 or section 12002, 12003, 
12004, 12005(b), or 12008(d)(2) of the Commercial Motor Vehicle Safety 
Act of 1986'' and ``any of those provisions'' for ``such sections or 
Act''.
    Subsec. (b)(2)(A). Pub. L. 103-272, Sec. 5(m)(11)(B), substituted 
``under subchapter III of chapter 311 (except sections 31138 and 31139) 
or section 31502 of this title'' for ``pursuant to section 3102 of this 
title or the Motor Carrier Safety Act of 1984''.
    Pub. L. 103-272, Sec. 4(j)(11)(D), substituted ``chapter 59 of this 
title'' for ``section 508 of this title''.
    Subsec. (b)(2)(B). Pub. L. 103-272, Sec. 5(m)(11)(C), substituted 
``section 31302, 31303, 31304, 31305(b), or 31310(g)(1)(A) of this 
title'' for ``section 12002, 12003, 12004, 12005(b), or 12008(d)(2) of 
the Commercial Motor Vehicle Safety Act of 1986''.
    Subsec. (b)(3). Pub. L. 103-272, Sec. 5(m)(11)(D), substituted 
``subchapter III of chapter 311 (except sections 31138 and 31139) or 
section 31302, 31303, 31304, 31305(b), or 31502 of this title'' for 
``section 3102 of this title or the Motor Carrier Safety Act of 1984 or 
section 12002, 12003, 12004, or 12005(b) of the Commercial Motor Vehicle 
Safety Act of 1986''.
    Subsec. (b)(5)(A). Pub. L. 103-272, Sec. 5(m)(11)(E), substituted 
``a provision of subchapter III of chapter 311 (except sections 31138 
and 31139) or section 31302, 31303, 31304, 31305(b), or 31502 of this 
title'' for ``section 3102 of this title or the Motor Carrier Safety Act 
of 1984 or section 12002, 12003, 12004, or 12005(b) of the Commercial 
Motor Vehicle Safety Act of 1986'' and ``any of those provisions'' for 
``such sections or Act''.
    Subsec. (b)(6)(A). Pub. L. 103-272, Sec. 5(m)(11)(F), substituted 
``subchapter III of chapter 311 (except sections 31138 and 31139) or 
section 31502 of this title'' for ``section 3102 of this title, the 
Motor Carrier Safety Act of 1984'', ``any of those provisions'' for 
``such section or Act'', and ``shall be subject'' for ``shall be 
liable''.
    Subsec. (b)(6)(B)(i). Pub. L. 103-272, Sec. 5(m)(11)(G), substituted 
``section 31302, 31303(b) or (c), 31304, 31305(b), or 31310(g)(1)(A) of 
this title'' for ``section 12002, 12003(b), 12003(c), 12004, 12005(b), 
or 12008(d)(2) of the Commercial Motor Vehicle Safety Act of 1986''.
    Subsec. (b)(6)(B)(ii). Pub. L. 103-272, Sec. 5(m)(11)(H), 
substituted ``section 31301 of this title'' for ``section 12019 of such 
Act'', ``section 31303(a) of this title'' for ``section 12003(a) of such 
Act'', and ``section 31303(a)'' for ``such section 12003(a)''.
    Subsec. (b)(12). Pub. L. 103-272, Sec. 5(m)(11)(I), substituted 
``chapter 51 of this title'' for ``any provision of the Hazardous 
Materials Transportation Act (49 U.S.C. App. 1801-1812)'' and ``chapter 
51'' for ``such Act''.
    Subsec. (b)(13). Pub. L. 103-272, Sec. 5(m)(11)(J), substituted 
``section 31132 of this title'' for ``section 204 of the Motor Carrier 
Safety Act of 1984''.
    1992--Subsec. (b)(2)(A). Pub. L. 102-548 inserted ``or which is a 
violation of section 508 of this title'' after ``Act of 1984''.
    1990--Subsec. (b)(1). Pub. L. 101-500 designated existing provisions 
as subpar. (A) and added subpar. (B).
    1986--Subsec. (b)(1). Pub. L. 99-570, Sec. 12012(a), inserted ``or 
section 12002, 12003, 12004, 12005(b), or 12008(d)(2) of the Commercial 
Motor Vehicle Safety Act of 1986'' after ``the Motor Carrier Safety Act 
of 1984'' and substituted ``such sections'' for ``such section''.
    Subsec. (b)(2). Pub. L. 99-570, Sec. 12012(b), (f)(1), inserted 
heading, designated existing provisions as subpars. (A) and (C) with 
corresponding headings, added subpar. (B), in subpar. (A) indented such 
subparagraph and aligned it with subpar. (B), and inserted exception 
relating to subpar. (B).
    Subsec. (b)(3). Pub. L. 99-570, Sec. 12012(c), inserted ``or section 
12002, 12003, 12004, or 12005(b) of the Commercial Motor Vehicle Safety 
Act of 1986'' after ``the Motor Carrier Safety Act of 1984''.
    Subsec. (b)(5)(A). Pub. L. 99-570, Sec. 12012(d), inserted ``or 
section 12002, 12003, 12004, or 12005(b) of the Commercial Motor Vehicle 
Safety Act of 1986'' after ``the Motor Carrier Safety Act of 1984'' and 
substituted ``such sections'' for ``such section''.
    Subsec. (b)(6). Pub. L. 99-570, Sec. 12012(e), (f)(2), (g)(1), 
inserted heading, designated existing provisions as subpar. (A) with 
corresponding heading, added subpar. (B), in subpar. (A) indented such 
subparagraph and aligned it with subpar. (B), and substituted ``to a 
fine'' for ``for a fine'' in two places.
    Subsec. (b)(13). Pub. L. 99-570, Sec. 12012(g)(2), substituted 
``section 204'' for ``section 4''.
    1984--Subsec. (b)(1). Pub. L. 98-554 substituted provisions relating 
to notice to violators and opportunity for hearings for former 
provisions which set forth penalties for failure to make reports and 
keep records.
    Subsec. (b)(2). Pub. L. 98-554 substituted provisions setting forth 
amount of civil penalties for former provisions which related to the 
place of trial and manner of service of process for violations of 
recordkeeping and reporting provisions.
    Subsec. (b)(3) to (13). Pub. L. 98-554 added pars. (3) to (13).


                     Minimum and Maximum Assessments

    Pub. L. 106-159, title II, Sec. 222, Dec. 9, 1999, 113 Stat. 1769, 
provided that:
    ``(a) In General.--The Secretary of Transportation should ensure 
that motor carriers operate safely by imposing civil penalties at a 
level calculated to ensure prompt and sustained compliance with Federal 
motor carrier safety and commercial driver's license laws.
    ``(b) Establishment.--The Secretary--
        ``(1) should establish and assess minimum civil penalties for 
    each violation of a law referred to in subsection (a); and
        ``(2) shall assess the maximum civil penalty for each violation 
    of a law referred to in subsection (a) by any person who is found to 
    have committed a pattern of violations of critical or acute 
    regulations issued to carry out such a law or to have previously 
    committed the same or a related violation of critical or acute 
    regulations issued to carry out such a law.
    ``(c) Extraordinary Circumstances.--If the Secretary determines and 
documents that extraordinary circumstances exist which merit the 
assessment of any civil penalty lower than any level established under 
subsection (b), the Secretary may assess such lower penalty. In cases 
where a person has been found to have previously committed the same or a 
related violation of critical or acute regulations issued to carry out a 
law referred to in subsection (a), extraordinary circumstances may be 
found to exist when the Secretary determines that repetition of such 
violation does not demonstrate a failure to take appropriate remedial 
action.
    ``(d) Report to Congress.--
        ``(1) In general.--The Secretary shall conduct a study of the 
    effectiveness of the revised civil penalties established in the 
    Transportation Equity Act for the 21st Century [Pub. L. 105-178, see 
    Tables for classification] and this Act [see Tables for 
    classification] in ensuring prompt and sustained compliance with 
    Federal motor carrier safety and commercial driver's license laws.
        ``(2) Submission to congress.--The Secretary shall transmit the 
    results of such study and any recommendations to Congress by 
    September 30, 2002.''


                    Report; Penalties; Effectiveness

    Section 213(d) of Pub. L. 98-554 directed Secretary of 
Transportation to conduct a study of effectiveness of civil and criminal 
penalties established by amendments made by section 213 of Pub. L. 98-
554 in deterring violations of commercial motor vehicle safety 
regulations issued under title II of Pub. L. 98-554 and in effectively 
prosecuting such violations when they occur, which study was to examine 
the effectiveness of penalties in effect before Oct. 30, 1984, in 
comparison to the penalties established by the amendments made by title 
II of Pub. L. 98-554, and was to further investigate the need for, and 
make recommendations concerning, increased fine levels for civil and 
criminal penalties, and the need for additional categories of civil and 
criminal penalties to deter further, and prosecute effectively, 
violations of such commercial motor vehicle safety regulations, and 
further directed Secretary to submit to Congress a report on the 
findings of this study, together with legislative recommendations, not 
later than 2 years after Oct. 30, 1984.

                  Section Referred to in Other Sections

    This section is referred to in section 31144 of this title.
