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  • § 386.1
    Scope of the rules in this part.
  • § 386.2
  • § 386.3
    Separation of functions.
  • § 386.4
    Appearances and rights of parties.
  • § 386.5
    Form of filings and extensions of time.
  • § 386.6
  • § 386.7
    Filing of documents.
  • § 386.8
    Computation of time.
  • § 386.11
    Commencement of proceedings.
  • § 386.12
  • § 386.13
    Petitions to review and request for hearing: Driver qualification proceedings.
  • § 386.14
  • § 386.15
  • § 386.16
    Action on replies to the Notice of Claim.
  • § 386.17
  • § 386.18
    Payment of the claim.
  • § 386.22
    Settlement agreements and their contents.
  • § 386.31
    Official notice.
  • § 386.34
  • § 386.35
    Motions to dismiss and motions for a more definite statement.
  • § 386.36
    Motions for final agency order.
  • § 386.37
  • § 386.38
    Scope of discovery.
  • § 386.39
    Protective orders.
  • § 386.40
    Supplementation of responses.
  • § 386.41
    Stipulations regarding discovery.
  • § 386.42
    Written interrogatories to parties.
  • § 386.43
    Production of documents and other evidence; entry upon land for inspection and other purposes; and physical and mental examination.
  • § 386.44
    Request for admissions.
  • § 386.45
    Motion to compel discovery.
  • § 386.46
  • § 386.47
    Use of deposition at hearings.
  • § 386.48
    Medical records and physicians' reports.
  • § 386.49
    Form of written evidence.
  • § 386.51
    Amendment and withdrawal of pleadings.
  • § 386.52
    Appeals from interlocutory rulings.
  • § 386.53
    Subpoenas, witness fees.
  • § 386.54
    Administrative Law Judge.
  • § 386.55
    Prehearing conferences.
  • § 386.56
  • § 386.57
    Proposed findings of fact, conclusions of law.
  • § 386.58
    Burden of proof.
  • § 386.61
  • § 386.62
    Review of administrative law judge's decision.
  • § 386.63
    Decision on review.
  • § 386.64
  • § 386.65
    Failure to comply with final order.
  • § 386.66
    Motions for rehearing or for modification.
  • § 386.67
    Judicial review.
  • § 386.71
  • § 386.72
    Imminent hazard.
  • § 386.73
    Operations out of service and record consolidation proceedings (reincarnated carriers).
  • § 386.81
  • § 386.82
    Civil penalties for violations of notices and orders.
  • § 386.83
    Sanction for failure to pay civil penalties or abide by payment plan; operation in interstate commerce prohibited.
  • § 386.84
    Sanction for failure to pay civil penalties or abide by payment plan; suspension or revocation of registration.

Part 386

§ 386.14: Reply.

(a) Time for reply to the Notice of Claim. Respondent must serve a reply to the Notice of Claim in writing within 30 days following service of the Notice of Claim. The reply is to be served in accordance with § 386.6 upon the Service Center indicated in the Notice of Claim.

(b) Options for reply. The respondent must reply to the Notice of Claim within the time allotted by choosing one of the following:

(1) Paying the full amount asserted in the Notice of Claim in accordance with § 386.18 of this part;

(2) Contesting the claim by requesting administrative adjudication pursuant to paragraph (d) of this section; or

(3) Seeking binding arbitration in accordance with the Agency's program. Although the amount of the proposed penalty may be disputed, referral to binding arbitration is contingent upon an admission of liability that the violations occurred.

(c) Failure to answer the Notice of Claim. (1) Respondent's failure to answer the Notice of Claim in accordance with paragraph (a) may result in the issuance of a Notice of Default and Final Agency Order by the Field Administrator. The Notice of Default and Final Agency Order will declare respondent to be in default and further declare the Notice of Claim, including the civil penalty proposed in the Notice of Claim, to be the Final Agency Order in the proceeding. The Final Agency Order will be effective five days following service of the Notice of Default and Final Agency Order.

(2) The default constitutes an admission of all facts alleged in the Notice of Claim and a waiver of respondent's opportunity to contest the claim. The default will be reviewed by the Assistant Administrator in accordance with § 386.64(b), and the Final Agency Order may be vacated where a respondent demonstrates excusable neglect, a meritorious defense, or due diligence in seeking relief.

(3) Failure to pay the civil penalty as directed in a Final Agency Order constitutes a violation of that order, subjecting the respondent to an additional penalty as prescribed in Subpart G of this part.

(d) Request for administrative adjudication. The respondent may contest the claim and request administrative adjudication pursuant to paragraph (b)(2) of this section. An administrative adjudication is a process to resolve contested claims before the Assistant Administrator, Administrative Law Judge, or Hearing Officer. Once an administrative adjudication option is elected, it is binding on the respondent.

(1) Contents. In addition to the general requirements of this section, the reply must be in writing and state the grounds for contesting the claim and must raise any affirmative defenses the respondent intends to assert. Specifically, the reply:

(i) Must admit or deny each separately stated and numbered allegation of violation in the claim. A statement that the person is without sufficient knowledge or information to admit or deny will have the effect of a denial. Any allegation in the claim not specifically denied in the reply is deemed admitted. A mere general denial of the claim is insufficient and may result in a default being entered by the Agency decisionmaker upon motion by the Field Administrator.

(ii) Must include all known affirmative defenses, including those relating to jurisdiction, limitations, and procedure.

(iii) Must state which one of the following options respondent seeks:

(A) To submit written evidence without hearing; or

(B) An informal hearing; or

(C) A formal hearing.

(2) [Reserved]

Citation: [70 FR 28481, May 18, 2005]


Although we make every effort to assure that the information we provide is complete and accurate, it is not intended to take the place of published agency regulations. Regulations issued by the U.S. Department of Transportation and its Operating Administrations are published in the Federal Register and compiled in the U.S. Code of Federal Regulations (CFR). Copies of appropriate volumes of the CFR in book format may be purchased from the Superintendent of Documents, U.S. Government Printing Office, or examined at many libraries.

The CFR may also be viewed online at

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