Civil Penalty Cases: Nationwide
PHMSA uses several different enforcement tools to assure safe operation and deter non-compliance. Examples of these tools are Corrective Action Orders, Consent Orders, Compliance Orders, Notices of Amendment, and civil penalties. The civil penalty case reports on this page provide a summary of those enforcement cases which involve a civil penalty. Civil penalty cases are summarized in two different tabs below.
For a given year, this table shows the number of civil penalty cases initiated (or opened), including the total amount of civil penalties proposed for the year. Proposed civil penalties are communicated to operators in Notices of Probable Violation. In addition, this table shows the number and percent of corresponding cases that have been closed (resolved), along with the percent of cases which are still pending.
| Year Opened |
Cases Opened |
Penalties Proposed |
Corresponding Cases Closed |
% Cases Closed |
% Cases Pending |
|---|---|---|---|---|---|
| 2002 | 46 | $1,758,950 | 45 | 98% | 2% |
| 2003 | 33 | $1,025,000 | 33 | 100% | 0% |
| 2004 | 64 | $2,247,300 | 59 | 92% | 8% |
| 2005 | 80 | $4,557,950 | 69 | 86% | 14% |
| 2006 | 34 | $3,331,800 | 19 | 56% | 44% |
| 2007 | 45 | $4,288,800 | 8 | 18% | 82% |
| 2008 | 24 | $8,719,600 | 0 | 0% | 100% |
| 2009 | 35 | $6,200,100 | 1 | 3% | 97% |
| Totals | 361 | $32,129,500 | 234 | 65% | 35% |
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.
Proposed civil penalties are those penalties that may be recommended for probable violations identified during inspections, investigations, or other means. Proposed penalties are communicated to operators in Notices of Probable Violation. Operators have the right to respond to these allegations before a penalty is assessed in a Final Order. Civil penalties are described in 49 CFR 190.22 through 190.227.
This table shows the number of civil penalty cases initiated (opened) in a given year that have been resolved (closed), including the amount of civil penalties assessed and the amount actually collected from operators for the year. Assessed civil penalties are communicated to operators in Final Orders. This table also shows the percent of civil penalties proposed in Notice Letters that end up being assessed in Final Orders, as well as the percent of assessed civil penalties that end up being collected. For example, for cases opened in 2004 that have closed to date, 77% of the originally proposed civil penalties have been assessed and 100% of the total penalties assessed have been collected from operators. These figures will change as additional cases are closed and payments are received from operators.
| Year Opened | Cases Closed To Date |
Penalties Proposed |
Penalties Assessed |
% of Proposed Penalties that were Assessed |
Penalties Collected | % of Assessed Penalties that were Collected |
|---|---|---|---|---|---|---|
| 2002 | 45 | $1,748,950 | $1,263,350 | 72% | $1,173,387 | 93% |
| 2003 | 33 | $1,025,000 | $937,750 | 91% | $941,791 | 100% |
| 2004 | 59 | $1,865,800 | $1,444,800 | 77% | $1,444,800 | 100% |
| 2005 | 69 | $3,202,450 | $2,891,700 | 90% | $2,892,124 | 100% |
| 2006 | 19 | $863,800 | $831,300 | 96% | $831,300 | 100% |
| 2007 | 8 | $426,800 | $426,800 | 100% | $426,800 | 100% |
| 2008 | 0 | |||||
| 2009 | 1 | $18,800 | $18,800 | 100% | ||
| Totals | 234 | $9,151,600 | $7,814,500 | 85% | $7,710,202 | 99% |
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.
Assessed civil penalties are those civil penalties established after the operator had an opportunity to defend its actions or provide further clarifying information. In no case can the assessed amount exceed the originally proposed amount. However, in some cases, civil penalties are reduced due to new evidence or information that alters the underlying factual allegations in the case.
Collected civil penalties are the amounts actually paid by pipeline operators. Collected civil penalties are equivalent to the assessed civil penalty amount in nearly all cases. Occasionally the collected civil penalty amount exceeds the assessed civil penalty. This occurs when an operator is late in making payments, thereby incurring interest charges and administrative fees. In rare instances, a civil penalty may not be collected due to a company no longer being in business.
Note: These tables do 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.
Also see
- Enforcement Home Page
- Inspection and Enforcement Process Flow Chart
- Additional Information on Regulatory Enforcement Mechanisms and Operator Compliance
- Enforcement Information on a Specific Pipeline Operator
- National Pipeline Mapping System
Sources
- PHMSA Safety Monitoring and Reporting Tool (SMART) for the Pipeline Safety Enforcement Tracking System as of November 10, 2009.
For comments and questions on the enforcement information presented on this site, please send us feedback.
Information provided on this website is intended to enhance public understanding of PHMSA's enforcement program. Aggregate and company-specific statistical information reflecting PHMSA's enforcement actions is provided beginning with 2002. Key documents associated with new administrative enforcement cases are provided beginning with 2007. Agency orders issued since 2002 are also provided. The search feature may not retrieve every document associated with each individual enforcement action. Enforcement data is updated monthly as additional cases are initiated and other cases are resolved. Historical totals will change over time to reflect changes in case status.