Stakeholder Communications

This table provides the total number of Cases opened for each year, and a count of how many of these Cases were closed at the time this report was generated. For example, there were 239 Cases opened in the year 2004. Of those 239 Cases, 192 have been closed as of the date this report was generated.

This table shows the year-by-year status of enforcement cases involving a Corrective Action Order. A Corrective Action Order usually addresses issues resulting from an accident, spill, or other significant, immediate, or imminent safety or environmental concern. For example, in 2002 PHMSA issued 7 Corrective Action Orders. To date, 5 (71%) of these CAOs have been closed, and 2 (29%) are still open. Sometimes Corrective Action Orders require long-term actions by operators and thus may be open for extended periods of time.

This table shows the year-by-year status of enforcement cases where alleged violations resulted in a proposed Compliance Order requiring the operator to take one or more corrective actions. For example, in 2002, there were 34 Notices of Probable Violation that contained one or more compliance orders to address operator non-compliance. To date, 29 (85%) of these Cases have been closed, while 5 (15%) remain open. Compliance Orders are often combined with other enforcement action, including civil penalties.

This table shows the year-by-year status of enforcement cases where a Notice of Amendment has been issued alleging that an operator's written plans or procedures fail to meet regulatory requirements and proposing that they be amended. For example, in 2002 PHMSA issued 84 Notices of Amendment to operators alleging inadequate policies or procedures. To date, 74 (88%) of these Cases have been closed, and 10 (12%) remain open.

This table shows the year-by-year status of enforcement Cases where one or more alleged violations resulted in civil penalties. For example in 2002, 45 Cases with proposed civil penalties were opened. Of these 45 Cases, 42 (or 93%) have been closed to date. For the 42 closed Cases, the total proposed civil penalties in the Notices of Probable Violation were $1,407,950, and the total assessed civil penalties in the Final Orders were $1,143,350. "Assessed civil penalties" are those final civil penalties that are established after the operator had an opportunity to defend its actions or provide further clarifying information. In some cases, civil penalties are reduced due to this new information that the operator provides. For example, for Cases opened in 2002 that have closed to date, 81% of the originally proposed civil penalties have been assessed. This figure will change as additional Cases are eventually closed. This table does not reflect certain major enforcement actions in which monetary penalties have been collected through alternative means. For example, PHMSA has made formal and informal referrals to the U. S. Department of Justice involving criminal prosecution or injunctive relief and the collection of damages through civil litigation.

In cases where there is both a civil penalty and a compliance order, an enforcement case will remain open even after the civil penalty has been paid if the terms of the compliance order have not been satisfied.