Enforcement

Scope

Enforcement tools such as violations, penalties, and fines may be used for hazmat shippers and carriers after an audit, investigation, or as a result of a roadside inspection.

Regulatory citations

• 49 CFR 107.305 — Investigations
• 49 CFR 107.329 — Maximum penalties
• Appendix A to Subpart D of Part 107 — Guidelines for civil penalties

Key definitions

• Investigation: Includes investigations and inspections authorized under the regulations.
• Person: An individual, firm, co-partnership, corporation, company, association, or joint-stock association (including any trustee, receiver, assignee, or similar representative); or a government or Indian tribe (or an agency or instrumentality of any government or Indian tribe) that transports a hazardous material to further a commercial enterprise or offers a hazardous material for transportation in commerce. Person does not include the following:
  • The United States Postal Service.
  • Any agency or instrumentality of the Federal government, for the purposes of 49 U.S.C. 5123 (civil penalties) and 5124 (criminal penalties.).
  • Any government or Indian tribe that transports hazardous material for a governmental purpose.

Summary of requirements

The U.S. Department of Transportation's Pipeline and Hazardous Materials Safety Administration (PHMSA) is responsible for maintaining and updating the Hazardous Materials Regulations in 49 CFR 100-180. PHMSA also has an enforcement office that inspects entities that offer hazardous materials for transportation; and that manufacture, requalify, rebuild, repair, recondition, or retest packaging (other than cargo tanks and tank cars) used to transport hazardous materials.

Other federal agencies enforce the Hazardous Materials Regulations for the different modes of transport that they regulate, such as the Federal Motor Carrier Safety Administration (FMCSA) for highway transport, Federal Aviation Administration (FAA) for air, Federal Railroad Administration (FRA) for rail, and Coast Guard for water.

States also adopt and enforce the federal Hazardous Materials Regulations. State enforcement of the Hazardous Materials Regulations concentrates primarily on highway transport. For information on state hazardous materials requirements see State Information.

Some Indian tribes, counties, and cities also enforce the Hazardous Materials Regulations. What they enforce and the penalties they impose will vary.

Violations. Information on federal civil and criminal violations of the Hazardous Materials Regulations can be found in Part 107, Subpart D of the Hazardous Materials Regulations. In 107.329 a person who violates a requirement in the regulations is liable for a civil penalty of not more than $89,678. However, if the violation results in death, serious illness or injury, or substantial destruction of property the maximum penalty is $209,249. If the violation is related to training the minimum penalty is $540. When the violation is a continuing one, each day of the violation constitutes a separate offense.

Examples of PHMSA violations and possible penalties can be found in Appendix A to Subpart D of Part 107 of the Hazardous Materials Regulations. This appendix provides guidelines to be used by PHMSA's Office of Hazardous Materials Safety in making initial determinations for civil penalties.