Title 49

PART 107 APPENDIX A



Appendix A to Subpart D of Part 107 - Guidelines for Civil Penalties

49:2.1.1.1.4.4.25.24.1 : Appendix A

Appendix A to Subpart D of Part 107 - Guidelines for Civil Penalties

I. This appendix sets forth the guidelines PHMSA uses (as of October 2, 2013) in making initial baseline determinations for civil penalties. The first part of these guidelines is a list of baseline amounts or ranges for frequently-cited probable violations. Following the list of violations are general guidelines PHMSA uses in making penalty determinations in enforcement cases.

II. List of Frequently Cited Violations
Violation description Section or cite Baseline assessment
General Requirements
A. Registration Requirements: Failure to register as an offeror or carrier of hazardous material and pay registration fee: 107.608, 107.612.
1. Small business or not-for-profit $1,200 + $600 each additional year.
2. All others $3,500 + $1,000 each additional year.
B. Training Requirements:
1. Failure to provide initial training to hazmat employees (general awareness, function-specific, safety, and security awareness training): 172.702.
a. More than 10 hazmat employees $1,500 for each area.
b. 10 hazmat employees or fewer $1,000 for each area.
2. Failure to provide recurrent training to hazmat employees (general awareness, function-specific, safety, and security awareness training). 172.702 $1,000 for each area.
3. Failure to provide in-depth security training when a security plan is required but has not been developed. 172.702 Included in penalty for no security plan.
4. Failure to provide in-depth security training when a security plan is required and has been developed. 172.702 $3,100.
5. Failure to create and maintain training records: 172.704.
a. More than 10 hazmat employees $1,000.
b. 10 hazmat employees or fewer $600.
C. Security Plans:
1. Failure to develop a security plan; failure to adhere to security plan: 172.800
a. Section 172.504 Table 1 materials $9,300.
b. Packing Group I $7,500.
c. Packing Group II $5,600.
d. Packing Group III $3,700.
2. Incomplete security plan or incomplete adherence (one or more of four required elements missing) One-quarter (25 percent) of above for each element.
3. Failure to update a security plan to reflect changing circumstances 172.802(b) One-third (33 percent) of baseline for no plan.
4. Failure to put security plan in writing; failure to make all copies identical 172.800(b) One-third (33 percent) of baseline for no plan.
D. Notification to a Foreign Shipper: Failure to provide a foreign offeror or forwarding agent written information of HMR requirements applicable to a shipment of hazardous materials within the United States, at the place of entry into the United States: 171.22(f).
1. Packing Group I and § 172.504 Table 1 materials $9,300 .*
2. Packing Group II $5,500 .*
3. Packing Group III $1,800 .*
* The baseline applied to the importer shall be equal to or less than the baseline applied to the foreign offeror or forwarding agent.