DOT And 2006 In Review

Another year has come and gone, and just like 2005 it was another busy year for DOT. Here are highlights of the past year on issues that affected our members.

DOT Audits
This was a big item last year, and I fully expect it to continue in 2007. The audits were typically initiated as a security review, and while they were there, they reviewed other topics, such as shipping papers, driver qualification files, alcohol and substance abuse programs, hours of service records, vehicle files and other DOT items as they wished. Some audits were with one inspector and lasted a few hours, while in others two inspectors took two long days. Based on what they found and how they felt about the company, the penalties ranged from a few hundred dollars to as high as $16,000 per company. Most averaged $4,000 to $6,000 per audit.

Penalties Assessed
I am often asked by our members what kinds of penalties are assessed for items. DOT has published a list of baseline amounts or ranges for frequently cited violations. Here are a just a few selected examples that apply to our industry, out of the many listed in a table found in 49 CFR 107 Appendix A of Subpart D:

Failure to register as an offeror or carrier of hazardous materials and pay the registration fee: $1,000 + $500 for each year not registered.

Failure to provide hazmat training or recurrent training (general awareness, safety, function-specific or security awareness): $450 and up for each area.

Failure to provide security training when a security plan is required: $2,500.

Failure to develop a security plan or failure to adhere to the security plan: $3,000-$7,500, based on type of materials.

Failure to include a proper shipping name or using an incorrect shipping name on a shipping paper: $800-$1,600.

Failure to include a hazard class/division number on a shipping paper: $1,000-$2,000.

Failure to do a settled pressure test or recordkeeping for 30 days for acetylene cylinders filled: $5,000.

Failure to have a retester's identification number: $4,000.

Failure to conduct a complete external and internal examination of a cylinder during the retest: $2,100-$5,200.

Performing hydrostatic testing without confirming the accuracy of the test equipment: $2,100-$5,200.

Failure to condemn a cylinder when required (exceeding the permanent expansion values, internal or external corrosion limits, denting, bulging, etc.): $6,000-$10,000.

Failure to give immediate notification of a reportable hazardous materials incident: $3,000.