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Civil penalties: fines that can range from $250 to $55,000 per violation, per day. These penalties are usually imposed against the company. Criminal penalties: for knowing and willing violations of the regulations. Fines can range up to $250,000 for individuals or $500,000 for corporations. In addition, anyone found guilty of a criminal penalty may face up to 10 years in prison. The minimum fine for training violations is $495. PHMSA is adjusting the maximum and minimum civil penalties effective December 31, 2009
Below is a list of Alleged Violations/Final Penalties: |
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| Who? | What they did: | Ouch! |
| Shipper | Filled and offered flammable liquids, n.o.s., 3, in intermediate bulk containers (IBCs) that were unauthorized because they had not been reinspected and retested at the required interval; failed to register with PHMSA. [173.35(a), 180.352, 107.608(b)] Case No. 05-0536-SIBC-SW | $4200 |
| Cylinder Retester | Represented, marked, and certified DOT specification cylinders as requalified when they were not hydrostatically tested at the minimum test pressure; failed to maintain complete and accurate records of cylinder requalification. [180.205(g)(5), 180.215(b)(1)and(2), 180.209(a)(1)] Case No. 06-0174-CR-SW | $2650 |
| Shipper | Failed to register with PHMSA; failed to provide general awareness, function-specific, safety, and security awareness training; offered sodium hydroxide, solid, 8, in a package that was not marked with the proper shipping name and UN identification number for the material; offered sodium hydroxide, solid, 8, accompanied by a shipping paper that failed to provide a shipper's certification. [107.608(a)and(b), 172.702(a), 172.204(a), 172.301(a), 172.704(a)(1)-(4)] Case No. 06-0016-SD-SO | $3200 |
| Shipper | Failed to provide general awareness, function-specific, safety, and security awareness training; offered adhesives, 3, accompanied by a shipping paper that failed to indicate the shipping description in the proper sequence; failed to register with PHMSA. [172.702(b), 172.704(a)(1)-(4), 172.202(b), 107.608(a) and (b)] Case No. 06-0207-SD-SO | $1323 |
| Shipper | Failed to provide general awareness, function-specific, safety, and security awareness training; offered hazardous materials, accompanied by shipping papers that failed to provide the (1) proper shipping name, (2) hazard class, and (3) packing group for the materials; offered corrosive liquid, n.o.s., 8, in packages that were not marked with the proper shipping name and UN identification number for the material; offered hazardous material in UN-certified 20-gallon closed-head plastic drums that were not closed in accordance with the manufacturer's closure notification. [172.702(b), 172.202(a)(1), (2), and (4), 172.704(a)(1)-(4), 172.301(a)(1), 173.22(a)(4), 173.24(f)(2)] Case No. 06-0067-SBD-SW | $5950 |
| Cylinder Retester | Failed to verify the accuracy of the test equipment to within one percent of the calibrated cylinder's pressure and corresponding expansion values, and failed to calibrate the test equipment at a pressure within 500 psig of the actual test pressure for test pressures at or above 3,000 psig; represented, marked, and certified cylinders as successfully retested, when requalification testing was performed by unauthorized personnel; offered oxygen, refrigerated liquid, 2.2, helium, refrigerated liquid, 2.2, acetylene, dissolved, 2.1, and nitrogen, refrigerated liquid, 2.2, accompanied by shipping papers that failed to provide complete descriptions of the materials and also identified non-hazardous material as hazardous; failed to provide recurrent hazmat training or create and retain training records; failed to remove a cylinder containing oxygen, refrigerated liquid from the motor vehicle prior to discharging its contents; failed to maintain current copies of the regulations applicable to requalification and marking activities at that location; failed to maintain complete and accurate records of cylinder requalification. [180.205(g)(4), 177.834(h), 172.200(a), 172.702(b), 180.215(b)(2), 180.205(b), 172.202(a) and (b), 172.704(d), 172.704(c)(2), 180.215(a)(4), 180.205(g)(3)(i)] Case No. 05-0610-CRS-EA | $5000 |
| Shipper | Failed to develop and adhere to a security plan; failed to provide general awareness, function-specific, and security awareness training; failed to provide cylinder owners written notification that their cylinders were condemned; failed to demonstrate the accuracy of the pressure indicating device on the test equipment by calibrating at a pressure that was within 500 psig of the actual test pressure for test pressures at or above 3,000 psig. [172.800(b), 172.802(b), 172.702(b), 172.704(a)(1), (2) and (4), 180.205(i)(2), 180.205(g)(3)(i)] Case No. 05-0393-SC-SO | $8150 |
| Freight Forwarder | Offered paint, 3, accompanied by a shipping paper that failed to provide the proper shipping name and packing group for the material and included an emergency response telephone number of an organization that had not accepted responsibility for providing detailed emergency response information; failed to develop and adhere to a security plan, or provide security training; failed to register with PHMSA. [172.201(a)(4), 172.704(a)(4) and (5), 172.800(b), 172.202(a)(1) and (4), 107.608(b), 172.604(b)] Case No. 05-0191-FF-SW | $2400 |
| Cylinder Retester | (Cylinder Retester) Failed to condemn DOT special permit cylinders for either excessive elastic expansion or excessive permanent expansion; failed to perform cylinder requalification testing at the minimum required test pressure; failed to notify cylinder owners in writing that their cylinders have been condemned. [180.205(i)(1)(v)(A) and (vii), 180.209(a)(1), 180.205(i)(2)] Case No. 06-0291-CR-SW | $9789 |
| Shipper | Offered fireworks, 1.4G, accompanied by a shipping paper that failed to include the net explosive mass; offered fireworks, 1.4G, in unauthorized combination packaging marked UN4G that was not configured in accordance with the tested design. [172.202(a)(5)(i), 173.62(b), 173.22(a)(2)] Case No. 05-0537-SE-EA | $7847 |
| Cylinder Retester | Failed to mark DOT 3HT cylinders with low stress stamps. [180.213(c)(2)] Case No. 06-0122-CR-SO | $3600 |
| Shipper | Offered radioactive materials, special form n.o.s. in a Type B package without registering as a user with the U.S. NRC as a party to the packaging approval. [173.415(c), 173.416(a), 173.471(a)] Case No. 97-125-RMS-HQ | $1875 |
| Shipper | Offered radioactive material, accompanied by a shipping paper that failed to indicate (1) the proper shipping name, (2) hazard class, (3) UN identification number for the material, (4) the reportable quantity, (5) the activity contained in each package, (6) the correct category of label, and (7) an emergency response telephone number; failed to provide general awareness and function-specific training or provide certification as part of the training records; failed to indicate the activity in SI units and the Transport Index rounded up to the next tenth on the radioactive material hazard labels; failed to maintain emergency response information for each material at the facility and failed to provide emergency response information to its drivers; offered radioactive material in a Type B package without being registered with the Nuclear Regulatory Commission (NRC) as a user of the package. [172.702(b), 173.471(a), 172.704(d), 172.604, 172.203(d)(4) and (5), 172.203(c)(2), 172.602(a) and (c), 172.704(a)(1) and (2), 172.202(a)(1)-(3), 172.403(b), 172.403(g)(2), 172.201(d)] Case No. 00-010-RMS-HQ | $16,500 |
| Shipper | Failed to register with PHMSA; offered flammable liquid, n.o.s. (naphtha solution), 3, in UN-certified 55-gallon drums that were not closed in accordance with the manufacturer's closure notification. [107.608(a), 173.22(a)(4), 173.24(f)(2)] Case No. 06-0003-SD-EA | $2000 |
| Cylinder Retester | Represented, marked, and certified cylinders as successfully requalified when they were not tested at the required minimum test pressure; failed to mark a DOT-3HT cylinder with low-stress steel stamps and failed to accurately record the cylinder's service pressure in the test record; failed to provide security awareness training. [180.209(a)(1), 180.213(c)(2), 172.702(b), 172.704(a)(4)] Case No. 06-0290-CR-SW | $7575 |
| Jerrican Manufacturer | Represented, marked, certified, and sold plastic jerricans as meeting the UN3H1/Y standard, when the material of construction was changed from the original design and no additional design qualification testing was performed; represented, marked, certified, and sold plastic jerricans as meeting the UN3H1 standard, when required periodic testing was not conducted; failed to provide general awareness, function-specific, safety, and security awareness training or create and maintain training records. [178.601(d) and (e), 178.606(a), 178.605(a), 178.604(a), 178.603(a), 172.702(a), 172.704(d), 172.704(a)(1)-(4)] Case No. 05-0385-JM-EA |
$12,000 |
| Freight Forwarder | Failed to register with PHMSA; offered corrosive liquid, acidic, inorganic, n.o.s. (nitric acid), 8, accompanied by a shipping paper that failed to provide the basic hazardous material shipping description , included additional information within the shipping description, and provided an unauthorized emergency response telephone number; failed to provide general awareness, function-specific, safety, and security awareness training. [107.608(a) and (b), 172.702(b), 172.202(b), 172.202(a)(1), (3), and (4), 172.704(a)(1)-(4), 172.604(a) and (b), 172.200(a), 172.201(a)(4), IMDG Part 3, Chapter 3.1, Note 3.1.2, Chapter 5.4, Notes 5.4.1.4.1 and 5.4.1.4.2] Case No. 05-0567-FF-WE | $4700 |
| Shipper | Failed to register with PHMSA; failed to provide general awareness, function-specific, and safety training. [107.608(b), 172.702(a), 172.704(a)(1)-(3)] Case No. 06-0041-SDIBC-SW | $825 |
| Shipper | Offered and transported corrosive liquid, basic, inorganic, n.o.s. (sodium hydroxide), 8, in unauthorized non-UN standard combination packages. [173.22(a)(2), 173.202] Case No. 06-0309-SB-SO | $3500 |
| Cylinder Retester | Failed to calibrate the test equipment at a pressure within 500 psig of the actual test pressure for test pressures at or above 3,000 psig; failed to maintain complete and accurate records of daily calibration; failed to retain copies of shipping papers for a minimum of 375 days. [180.205(g)(3)(i), 180.215(b)(1), 172.201(e)] Case No. 05-0606-CRS-CE | $3800 |
| Shipper | Represented, marked, and certified combination packages as meeting the UN4G/Y11 standard when the package design had not been subjected to required periodic testing; offered organic peroxide, type D, liquid (methyl ethyl ketone peroxide, less than 40%), 5.2, in unauthorized combination packaging that had not been subjected to required periodic testing; failed to mark UN4G combination packaging with the correct year of manufacture. [178.2(b), 178.2(a)(2), 178.601(e), 178.503(a)(6), 173.225(a), 173.22(a)(2)] Case No. 07-0039-BMS-EA | $10,540 |
| Cylinder Retester | Failed to verify the accuracy of the test equipment to within 500 psig of the actual test pressure for test pressures at or above 3,000 psig; failed to calibrate prior to test; failed to condemn DOT specification and special permit cylinders for excessive permanent expansion; failed to maintain complete and accurate records of cylinder requalification. [180.205(g)(3)(i), 180.205(g)(4), 180.205(i)(1)(iv), 180.215(b)(2), DOT-SP 10147 paragraph 7(b)] Case No. 05-0578-CR-EA | $9600 |
| Compressed Gas Carrier | Transported in commerce liquefied petroleum gas, 2.1, in non-DOT/UN standard storage tanks charged to more than five percent of their water capacity. [173.315(j)(4)] Case No. 04-0543-CC-SW | $3500 |
| Shipper | Failed to register with PHMSA; offered ammonium nitrate-fuel oil mixture, 1.5D, without providing a hazardous material shipping paper; failed to provide general awareness, function-specific, safety, and security awareness training. [107.608(a) and (b), 172.202, 172.203, 172.702(b), 172.704(a)(1)-(4)] Case No. 06-0009-SE-SO | $4725 |
| Shipper | Failed to register with PHMSA; offered and transported corrosive solid, n.o.s. (sodium hydroxide), 8, in UN-certified fiber drums in an amount that exceeded the certified gross weight limit of the drums; failed to provide general awareness, function-specific, safety, and security awareness training. [107.608(a) and (b), 173.213, 173.22(a)(2), 172.702(b), 172.704(a)(1)-(4)] Case No. 06-0317-SD-SO | $2962 |
| Cylinder Retester | Represented, marked, and certified DOT 4–series cylinders as visually requalified without having a retester’s identification number (RIN); failed to check cylinder tare weights when requalifying DOT 4-series cylinders with an external visual inspection in lieu of hydrostatic testing; failed to maintain complete and accurate records of visual inspection; offered liquefied petroleum gas, 2.1, accompanied by a shipping paper that provided an unauthorized emergency response telephone number; failed to provide recurrent hazmat training. [180.205(b), 180.209(a)(1), 180.209(g), 180.215(b)(2), 172.604(b), 172.702(b), 172.704(c)(2)] Case No. 06-0059-CR-SW | $8595 |
| Shipper | Failed to register with PHMSA; offered oxidizing, liquid, corrosive, n.o.s., 5.1, in UN-certified 55-gallon closed-head plastic drums that were not closed in accordance with the manufacturer's closure notification; offered hazardous material accompanied by a shipping paper that failed to provide the proper shipping name in association with UN identification number. [107.608(b), 173.22(a)(4), 173.24(f)(2), 172.202(a)(1)] Case No. 05-0551-SD-SO | $1550 |
| Shipper | Failed to register with PHMSA; offered gas cartridges, 2.1, accompanied by a shipping paper that failed to provide (1) the proper shipping name for the material and (2) an emergency response telephone number; failed to provide general awareness, function-specific, safety, and security awareness training. [107.608(a) and (b), 172.202(a)(1), 172.604(a), 172.704(a)(1)-(4), 172.702(b)] Case No. 06-0188-SB-SO | $2365 |
| Shipper | Failed to register with PHMSA; offered corrosive solid, acidic, inorganic, n.o.s. (monopersulfate compound), 8, in unauthorized non-UN standard plastic pails; offered corrosive solid, acidic, inorganic, n.o.s. (monopersulfate compound), 8, in packagings that were not marked with the proper shipping name of the material; failed to provide general awareness, function-specific, safety, and security awareness training or retain hazmat training records. [107.608(a) and (b), 173.213, 173.22(a), 172.301(a), 172/702(a), 172.704(a)(1)-(4), 172.704(d)] Case No. 05-0549-SP-CE | $4300 |
In the United States, the Department of Transportation regulates the transportation of hazardous materials by all modes of transportation. Failure to comply with 49 CFR may result in penalties. There are two types of penalties, Civil penalties and Criminal penalties.