Compromise Order - 25-0089-CR-SO - R Carter and Associates Inc
On February 26, 2025, an Investigator from PHMSA's Office of Hazardous Materials Safety Field Operations ("OHMSFO") conducted an inspection at Respondent's facility in Prichard, Alabama, pursuant to 49 U.S.C. § 5121 and 49 CFR § 107.305. PHMSA's Investigator reported one (1) alleged violation of the HMR. At the conclusion of the compliance inspection, PHMSA's Investigator conducted an "exit briefing," during which the Investigator discussed the alleged violation and the required corrective actions with Respondent's representatives.
Upon completion of the inspection, the Investigator submitted a report to the Director of OHMSFO's Southern Region, who reviewed the report for accuracy and sufficiency of evidence. Based on that review, the Director referred the matter to PHMSA's Office of Chief Counsel, thereby recommending the initiation of a civil penalty action against Respondent, pursuant to 49 CFR § 107.311.
Based on a preliminary assessment of the apparent nature, circumstances, extent, and gravity of the probable violations, as set forth in the Investigator's report, on April 21, 2025, an attorney from PHMSA's Office of Chief Counsel issued a Notice of Probable Violation ("Notice"), alleging one (1) violation of the HMR, and proposing a $4,200 civil penalty. Respondent replied via email on April 29, 2025.
Respondent provided full corrective action prior to the issuance of the Notice. In its initial response to the Notice, Respondent provided financial documents (federal tax returns, a profit & loss statement, and a current balance sheet), which indicated that Respondent qualified for financial hardship considerations. For those financial hardship considerations, and in the interest of settling the matter, PHMSA's attorney offered at 50% penalty reduction from the Notice, for a new total penalty of $2,100.