Driver SEA
Driver SEA Calculation
Driver Inspections Indicator (DII)
Driver Review Indicator (DRI)
Driver Inspections Measure (DIM)
Driver Review Measure (DRM)
Moving Violations Indicator
Moving Violations Measure
Driver OOS Rate
Calculating Review Measures

Link to Help Guide - Table of Contents

DRIVER SEA

Within the Driver SEA, SafeStat evaluates a carrier's driver-related safety performance and compliance. The Driver SEA Value reflects a carrier's driver safety posture relative to its peers. SafeStat calculates the Driver SEA Value based on the Driver Inspections Indicator (DII), the Driver Review Indicator (DRI), and the Moving Violations Indicator (MVI). The DII is based on driver roadside OOS inspection violations. The DRI is based on the violations of driver-related acute and critical regulations discovered during a compliance review. The MVI is based on moving violations recorded in conjunction with roadside inspections. The sections that follow present the specific computations for each safety measure, indicator, and the Driver SEA Value. Figure 4-1 presents the computational hierarchy used to calculate a Driver SEA Value.
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Driver SEA Value

Figure 4-1. Driver SEA Value Computational Hierarchy  

Driver Inspections Indicator (DII)

Using driver roadside inspection data from inspections performed within the last 30 months, SafeStat calculates the DII for all carriers that have had a minimum of 3 driver inspections. SafeStat weights each inspection by its age and the number of driver OOS violations found, and then normalizes the weighted driver OOS results by the number of driver inspections to obtain a weighted driver OOS rate known as the Driver Inspections Measure (DIM). The DIM is adjusted upward in instances where the driver was found "jumping," or violating, OOS orders. Carriers with similar numbers of driver inspections are assigned to one of four groups. Within each group they are compared to one another and ranked by their DIM. SafeStat assigns a percentile number (from 0 to 100) based on that rank. The percentile number becomes the carrier's DII. A carrier must have 3 or more driver OOS inspections to have the potential to receive a deficient DII, i.e., 75 and higher.
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Driver Roadside Inspection Data

SafeStat uses only those roadside inspections that have been performed within the last 30 months and pertain to the driver, i.e., inspection levels 1, 2, and 3 when calculating the DIM. SafeStat uses the following data elements from roadside inspections in its calculations of the DIM:

  • Number of Driver OOS Violations
  • Number of Drivers Placed OOS
  • Number of Driver Inspections
  • Number of Violations of OOS Orders
    • Jumping Vehicle OOS Orders (this is done by the driver)
    • Jumping Driver OOS Orders.

Calculation of the Driver Inspections Measure (DIM)

SafeStat calculates the DIM by adding the time-weighted number of driver OOS inspections to the time-weighted number of driver OOS violations and then dividing by the total time-weighted number of driver inspections. It then adjusts this rate by the jumping OOS order multiplier (JOOM), which is based on the number of times the carrier's drivers were found in violation of OOS orders. The equation for the DIM is:

Driver Inspections Measure (DIM)

where JOOM is:
Number of Times of
Jumping OOS Orders
(JOOM)
0 1.0
1 1.2
2 1.4
3 1.6
4+ 2.0

SafeStat uses driver roadside inspection data from the last 30 months. It time-weights inspection data to give more importance to recent inspections. The use of total driver OOS violations in the formula has the effect of "severity weighting" the DIM. The following steps detail SafeStat's calculation of the DIM.
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A. Using the results of the levels 1, 2, and 3 driver inspections, aggregate each carrier’s inspections into three time periods based on the age of each inspection: 0 to 6 months, 7 to 18 months, and 19 to 30 months.

Aggregate each carrier’s inspections into three time periods based on the age

B. Aggregate the following for each time period:

Aggregate the following for each time period
*The limit for the maximum number of Driver OOS violations for any one inspection is 5.

C. Weight the time periods giving the most weight to most recent inspections (3 for 0 to 6 months, 2 for 7 to 18 months, and 1 for 19 to 30 months).

Weight the time periods giving the most weight to most recent inspections

D. Sum the weighted data for:
  1. Number of Driver OOS Violations
  2. Number of Drivers Placed OOS
  3. Number of Driver Inspections.

Sum the weighted data

E. Determine the number of inspections that uncovered violations of OOS orders [jumping vehicle OOS orders (396.9(c) and 396.9(c)(2)) and jumping driver OOS orders (395.13(d) and 392.5(c)2)] that have occurred within the last 30 months, and calculate the JOOM from the following table.

Number of Times of Jumping OOS Orders (JOOM)
0 1.0
1 1.2
2 1.4
3 1.6
4+ 2.0
Jumping OOS Orders
F. Calculate a driver OOS violation rate by adding the Time-Weighted Number of Driver OOS Violations and the Time-Weighted Number of Drivers Placed OOS and dividing the sum by the Time-Weighted Number of Driver Inspections. Adjust this rate by multiplying this number by the JOOM to arrive at the DIM.

Moving Violations Measure (MVM)

Calculation of the Driver Inspections Indicator (DII)

SafeStat uses the Driver Inspections Measure (DIM) along with the number of driver inspections performed within the last 30 months (without application of time weighting) to calculate the Driver Inspections Indicator (DII). The following steps detail the calculation of DII.

A. Using level 1, 2, and 3 inspections performed within the last 30 months, calculate the carrier's total number of driver inspections and assign the carrier to one of four peer groups. Withhold carriers with fewer than 3 driver inspections from further consideration.

Driver Inspections Indicator (DII)

B. For each group, rank carriers' DIM in ascending order. Transform the ranked measures to percentiles from the 0 percentile (representing the lowest DIM) to the 100th percentile (representing the highest DIM). Assign the percentile value to the DII. If a carrier as fewer than 3 driver OOS inspections then the DII will be capped at 74. Also, if carrier has no driver OOS inspections, then it will receive a DII of 0.

Driver Review Indicator (DRI)

Using the results from compliance reviews performed within the last 18 months, SafeStat calculates the DRI. SafeStat quantifies the number and severity of violations of driver-related acute/critical regulations (defined in Part 385 Appendix B of the FMCSR) cited at a carrier's most recent compliance review into the Driver Review Measure (DRM). All of the carriers' DRMs are compared to one another and are ranked on a percentile basis from 0 to 100. SafeStat assigns the percentile number to the DRI for each carrier with at least one violation of acute and critical regulations.
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Calculation of the Driver Review Indicator (DRI)

A. SafeStat calculates the Driver Review Measure (DRM) for each carrier as described in Appendix B

B. The Driver Review Indicator (DRI) is calculated by taking DRMs for all selected carriers (including those with DRMs of 0) and ranking them in ascending order. The ranked values are transformed into percentiles from 0 (representing the lowest DRM) to 100 (representing the highest DRM). Each carrier with a non-zero DRM is assigned a DRI equal to its percentile rank.

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Moving Violations Indicator (MVI)

Using (1) moving violation data collected in conjunction with roadside inspections within the last 30 months and (2) the number of drivers from the Motor Carrier Census, SafeStat calculates the MVI. For each carrier with a minimum of 3 moving violations, SafeStat weights each moving violation by its age, and then normalizes the weighted number of violations by the number of drivers to obtain the Moving Violations Measure (MVM). Carriers with similar numbers of violations are grouped, compared to one another by their MVM rates, and ranked by percentile within each group. SafeStat assigns a percentile number to each carrier's MVI, based on that rank.

Moving Violation Data

In calculating the MVI, SafeStat uses moving violations recorded in conjunction with roadside inspections over the last 30 months. There is a minimum number of moving violations per carrier (3 or more) required for SafeStat to consider the data sufficient. SafeStat uses the following data elements from roadside inspections in its calculations of the MVI:

  • Number of Moving Violations
  • Date of Moving Violation

Moving Violations are identified as follows:

Cite # Moving Violation
392.2C Failure to obey traffic control device
392.2FC Following Too Closely
392.2LC Improper Lane Change
392.2P Improper passing
392.2R Reckless Driving
392.2S Speeding
392.2T Improper turn
392.2Y Failure to yield right of way
392.4, 392.4A Use or Possession of Drugs
392.5, 392.5A Use or Possession of Alcohol

Census Driver Data

SafeStat computes the MVI using the number of moving violations normalized by the number of drivers contained in the Census data. The primary source of driver information in the Census is Forms MCS-150 and MCS-151. When the Census data on the number of drivers for a carrier are suspect, specific state/federal organizations are notified to obtain the most accurate value.

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Calculation of the Moving Violations Measure (MVM)

SafeStat calculates the MVM by adding the time-weighted number of moving violations and dividing by the number of drivers. The equation for MVM is:

MVM

SafeStat time-weights violation data to give more relevance to recent violations. The following steps detail SafeStat's calculation of the MVM.

A. Using the moving violations (MV) listed in roadside inspection data, aggregate each carrier's moving violations into three periods based on the age of each violation: 0 to 6 months, 7 to18 months, and 19 to 30 months.

Moving Violations

B. Multiply the appropriate time weight (3 for 0 to 6 months, 2 for 7 to 18 months, 1 for 19 to 30 months) by the number of moving violations in each of the three time periods and sum all three groups to obtain the time-weighted number of moving violations.

Obtain the time-weighted number of moving violations

TOP C. Divide the time-weighted number of moving violations by the number of drivers to obtain the MVM.

Divide the time-weighted number of moving violations by the number of 
drivers to obtain the MVM

Calculation of the Moving Violations Indicator (MVI)

SafeStat uses the MVM to calculate the MVI. The following steps detail SafeStat's calculation of MVI.

A. Determine the total number of moving violations for each carrier (no time weighting), and place each carrier into one of four groups shown below:

Determine the total number of moving violations for each carrier

B. Within each group, rank all the carriers' MVM values in ascending order. Transform the ranked values into percentiles from 0 percentile (representing the lowest MVM) to 100th percentile (representing the highest MVM). Assign the percentile value to the MVI.

Calculation of the Driver SEA Value

The Driver SEA Value establishes the carrier's safety status concerning driver operations. SafeStat uses the Driver Inspections Indicator (DII) and the Driver Review Indicator (DRI) and the Moving Violations Indicator (MVI) with their associated indicator weights to calculate the Driver SEA Value.

The Driver SEA Value calculation is the maximum of the DRI and DII and uses the MVI when its value is greater than the DRI and DII. If the MVI is greater than the maximum of the DRI and DII then the Driver SEA will equal the weighted average of the MVI and the maximum of the DII and DRI, (placing twice as much weight on the DII/DRI than the MVI).

If MVI > Highest of (DRI, DII)

Then Driver SEA Value = Highest of (DRI, DII) x 2 + MVI / 3

Otherwise Driver SEA Value = Highest of (DRI, DII)

If none of the indicators exist (DRI, DII, or MVI) then the carrier has insufficient data for SafeStat to calculate a Driver SEA Value.

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Driver OOS Rate

Driver OOS rate uses the last 30 months of data. This is the number of drivers placed OOS divided by the number of driver inspections. This rate is not time-weighted. The maximum number of violations that can be used in the calculation of OOS rate is five.

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Calculating Review Measures

Review measures, DRM, VRM, SMRM, and HMRM, are calculated for DRI in the Driver SEA, the VRI in the Vehicle SEA, and the SMRI and HMRI in the Safety Management SEA, respectively. Each of these four review measures has a specified set of associated acute and critical regulations. See Table B-1 at the end of this appendix for a list of associated acute and critical regulations. A review measure is scored based on the number and severity of each violation of associated acute and critical regulations. The following steps detail SafeStat's calculation of the carrier's review measure:

A. Identify all violations of acute and critical regulations related to the given review measure, should such violations exist. If a carrier does not have any violations of acute and critical regulations related to the measure, the review measure is assigned a value of 0. B. If the carrier has one or more violations of acute and critical regulations related to the measure, obtain the following information:

 

Violations of Critical Regulations:

# of Occurrences

 

 

# of Records Checked

 

 

 

 

Violations of Acute Regulations:

# of Occurrences

C. Assign the severity weight to each violation of acute and critical regulations using the Table B-1 at the end of this appendix.

Each violation of acute and critical regulations has a corresponding severity weight that depends on the nature of the violation. The severity weight for each violation was determined by the following criteria:

Severity weight

Criterion

1

Ratable violations of critical regulations that are compliance or paperwork oriented.

1

Non-ratable violations of acute and critical regulations.

2

Ratable violations of critical regulations that are performance oriented.

3

Ratable violations of all acute regulations.

D. Calculate the weighted Violation Value for each violation, as follows:

  • For each violation of critical regulations:

Violation Value = Severity Weight x (10 + (Violation Rate x 10))

where Violation Rate = # of Occurrences / # of Records Checked

For example, if a violation of a critical regulation was cited in the CR as having had occurred 10 times out of 20 records check (violation rate of 0.5) and was considered "performance oriented" (severity weight of 2), then

Violation Value = 2 x (10 + (0.5 x 10)) = 2 x (10 + 5) = 2 x 15 = 30

  • For each violation of acute regulations:

Violation Value = Severity Weight x (10 + # of Occurrences)

where # of Occurrences is set to a maximum of 10 and the severity weight of non-ratable and ratable violations of acute regulations are 1 and 3 respectively.

For example, if a violation of an acute regulation was cited in the CR as having had occurred 5 times then

Violation Value = 3 x (10 + 5) = 3 x 15 = 45

E. Obtain the carrier's review measure for the given SEA by summing all of the violation values associated with the measure. Using the two violation value examples in Step C of 30 and 45, SafeStat will calculate the review measure as 75 (=30 + 45).

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Table B-1: List of Violations and Severity Weights of Acute and Critical Regulations By Review Measure Type

Driver Review Measure
Primary Federal Section Description Acute/Critical Severity Weight
382.201 Using a driver known to have an alcohol concentration of 0.04 or greater. A 3
382.211 Using a driver who has refused to submit to an alcohol or controlled substances test required under part 382. A 3
382.213(b) Using a driver known to have used a controlled substance. A 3
382.215 Using a driver known to have tested positive for a controlled substance. A 3
382.309(a) Using a driver who has not undergone a return-to-duty alcohol. A 3
382.309(b) Using a driver who has not undergone a return-to-duty #10 controlled substances test with a result indicating a verified #10 negative result for controlled substances. A 3
382.503 Allowing a driver to perform safety sensitive function, after engaging in conduct prohibited by Subpart B, without being evaluated by a substances abuse professional, as required by § 382.605. C 2
382.505(a) Using a driver within 24 hours after being found to have an alcohol concentration of 0.02 or greater, but less than 0.04. A 3
382.605(c)(1) Using a driver who has not undergone a return-to-duty alcohol test with a result indicating an alcohol concentration of less than .02 or with verified negative test result, after engaging in conduct prohibited by part 382 subpart B. A 3
383.23(a) Operating a commercial motor vehicle without a valid commercial driver's license. C 2
383.37(a) Knowingly, allowing, requiring, permitting, or authorizing an employee with a Commercial Driver's License which is suspended, revoked, or canceled by a state or who is disqualified to operate a commercial motor vehicle. A 3
383.37(b) Knowingly, allowing, requiring, permitting, or authorizing an employee with more than one commercial driver's license to operate a commercial motor vehicle. A 3
383.51(a) Knowingly, allowing, requiring, permitting, or authorizing a driver to drive who is disqualified to drive a commercial motor vehicle. A 3
391.11(b)(4) Using a physically unqualified driver. A 3
391.15(a) Using a disqualified driver. A 3
392.2 Operating a motor vehicle not in accordance with the laws, ordinances, and regulations of the jurisdiction in which it is being operated. C 2
392.4(b) Requiring or permitting a driver to drive while under the influence of, or in possession of, a narcotic drug, amphetamine, or any other substance capable of rendering the driver incapable of safely operating a motor vehicle. A 3
392.5(b)(1) Requiring or permitting a driver to drive a motor vehicle while under the influence of, or in possession of, an intoxicating beverage. A 3
392.5(b)(2) Requiring or permitting a driver who shows evidence of having consumed an intoxicating beverage within 4 hours to operate a motor vehicle. A 3
392.6 Scheduling a run which would necessitate the vehicle being operated at speeds in excess of those prescribed. C 2
392.9(a)(1) Requiring or permitting a driver to drive without the vehicle's cargo being properly distributed and adequately secured. C 2
395.1(h)(1)(i) Requiring or permitting a driver to drive more than 15 hours. (driving in Alaska). C 2
395.1(h)(1)(ii) Requiring or permitting a driver to drive after having been on duty 20 hours. (driving in Alaska) C 2
395.1(h)(1)(iii) Requiring or permitting a driver to drive after having been on duty more than 70 hours in 7 consecutive days. (driving in Alaska) C 2
395.1(h)(1)(iv) Requiring or permitting a driver to drive after having been on duty more than 80 hours in 8 consecutive days. (driving in Alaska) C 2
395.3(a)(1) Requiring or permitting a driver to drive more than 10 hours. C 2
395.3(a)(2) Requiring or permitting a driver to drive after having been on duty 15 hours. C 2
395.3(b)(1) Requiring or permitting a driver to drive after having been on duty more than 60 hours in 7 consecutive days. C 2
395.3(b)(2) Requiring or permitting a driver to drive after having been on duty more than 70 hours in 8 consecutive days. C 2
395.8(e) False reports of records of duty status. C 2
Vehicle Review Measure
Primary Federal Section Description Acute/Critical Severity Weight
396.11(c) Failing to correct out-of-service defects listed by driver in a driver vehicle inspection report before the vehicle is operated again. A 3
396.17(g) Failing to promptly repair parts and accessories not meeting minimum periodic inspection standards. A 3
396.9(c)(2) No motor carrier shall require or permit any person to operate nor shall any person operate any motor vehicle declared and marked "out of service" until all repairs required by the "out of service notice" have been satisfactorily completed. A 3
Safety Management Review Measures
Primary Federal Section Description Acute/Critical Severity Weight
382.115(a) Failing to implement an alcohol and/or controlled substances testing program. A 3
382.301(a) Using a driver before the motor carrier has received a negative pre-employment controlled substance test result. C 2
382.303(a) Failing to conduct post accident testing on driver for alcohol and/or controlled substances. C 2
382.305 Failing to implement a random controlled substances and/or an alcohol testing program. A 3
382.305(b)(1) Failing to conduct random alcohol testing at an annual rate of not less than the applicable annual rate of the average number of driver positions. C 2
382.305(b)(2) Failing to conduct random controlled substances testing at an annual rate of not less than the applicable rate of the average number of driver positions. C 2
382.605(c)(2)(ii) Failing to subject a driver who has been identified as needing assistance to at least six unannounced follow-up alcohol and controlled substance tests in the first 12 months following the driver's return to duty. C 2
387.31(a) Operating a passenger carrying vehicle without having in effect the required minimum levels of financial responsibility. A 3
387.31(d) Failing to maintain at principal place of business required proof of financial responsibility for passenger vehicles. C 1
387.7(a) Operating a motor vehicle without having in effect the required minimum levels of financial responsibility coverage. A 3
387.7(d) Failing to maintain at principal place of business required proof of financial responsibility. C 1
390.15(b)(2) Failing to maintain copies of all accident reports required by State or other governmental entities or insurers. C 1
390.35 Making, or causing to make fraudulent or intentionally false statements or records and/or reproducing fraudulent records. A 3
391.45(a) Using a driver not medically examined and certified. C 2
391.45(b)(1) Using a driver not medically examined and certified each 24 months. C 2
391.51(a) Failing to maintain driver qualification file on each driver employed. C 1
391.51(b)(2) Failing to maintain inquiries into driver's driving record in driver's qualification file. C 1
391.51(b)(7) Failing to maintain medical examiner's certificate in driver's qualification file. C 1
395.8(a) Failing to require a driver to make a record of duty status. C 2
395.8(i) Failing to require a driver to forward within 13 days of completion, the original of the record of duty status. C 1
395.8(k)(1) Failing to preserve driver's record of duty status for 6 months. C 1
396.11(a) Failing to require driver to prepare driver vehicle inspection report. C 1
396.17(a) Using a commercial motor vehicle not periodically inspected. C 2
396.3(b) Failing to keep minimum records of inspection and vehicle maintenance. C 1
Hazardous Material Review Measure (Rateable)
Primary Federal Section Description Acute/Critical Severity Weight
171.15 Carrier failing to give immediate telephone notice of an incident involving hazardous materials. C 1
171.16 Carrier failing to make a written report of an incident involving hazardous materials. C 1
177.800(c) Failing to instruct a category of employees in hazardous materials regulations. C 1
177.817(a) Transporting a shipment of hazardous materials not accompanied by a properly prepared shipping paper C 1
177.817(e) Failing to maintain proper accessibility of shipping papers. C 1
177.823(a) Moving a transport vehicle containing hazardous material that is not properly marked or placarded. C 1
177.841(e) Transporting a package bearing a poison label in the same transport vehicle with material marked or known to be foodstuff, feed, or any edible material intended for consumption by humans or animals unless an exception in §177.841(e)(i) or (ii) is met. A 3
180.407(a) Transporting a shipment of hazardous material in a cargo tank that has not been inspected or retested in accordance with §180.407. C 2
180.407(c) Failing to periodically test and inspect a cargo tank. C 2
180.415 Failing to mark a cargo tank which passed an inspection or test required by § 180.407. C 1
180.417(a)(1) Failing to retain cargo tank manufacturer's data report or certificate and related papers, as required. C 1
180.417(a)(2) Failing to retain copies of cargo tank manufacturer's certificate and related papers (or alternative report) as required. C 1
397.13(a) Permitting a person to smoke or carry a lighted cigarette, cigar or pipe within 25 feet of a motor vehicle containing Class 1 materials, Class 5 materials, or flammable materials classified as Division 2.1, Class 3, Divisions 4.1 and 4.2. C 1
397.19(a) Failing to furnish a driver of motor vehicle transporting Division 1.1, 1.2, or 1.3 (explosive) materials with a copy of the rules of part 397 and/or emergency response instructions. C 1
397.5(a) Failing to ensure a motor vehicle containing Division 1.1, 1.2, or 1.3 (explosive) material is attended at all times by its driver or a qualified representative. A 3
397.67(d) Requiring or permitting the operation of a motor vehicle explosives in Division 1.1, 1.2, or 1.3 that is not accompanied by a written route plan. (critical) (Number checked is the number of instances checked for compliance with § 397.67(d).) C 1
397.7(a)(1) Parking a motor vehicle containing Division 1.1, 1.2, or 1.3 materials within 5 feet of traveled portion of highway. C 1
397.7(b) Parking a motor vehicle containing hazardous material(s) other than Division 1.1, 1.2, or 1.3 materials within 5 feet of traveled portion of highway or street. C 1

 

Hazardous Material Review Measure (Non-Ratable)
Primary Federal Section Secondary Federal Section Description Acute/Critical Severity Weight
107.502(b)   Manufacturing, assembling, certifying, inspecting, or repairing a cargo tank or cargo tank motor vehicle manufactured to a DOT specification, without registering. C 1
171.2(c)   Representing, marking, certifying, selling or offering a package or container as meeting the requirements of this subchapter, whether or not it is used or intended to be used for the transportation of a hazardous materials when it was not manufactured, fabricated, marked, maintained, reconditioned, repaired, or retested in accordance with this subchapter. A 1
172.200(a)   Offering a hazardous material without preparing a shipping paper. A 1
172.202(a)   Failing to enter the proper description of a hazardous material on a shipping paper. C 1
172.203(a)   Failing to enter on a shipping paper the notation "DOT-E" followed by the exemption number. C 1
172.203(c)(1)   Failing to enter the hazardous substance constituent on a shipping paper when not identified by the proper shipping name. C 1
172.203(d)   Failing to include on shipping papers for a shipment of radioactive material physical and chemical form, activity, and category of label. C 1
172.203(m)   Failing to enter the words "Poison Inhalation Hazard" or "Toxic Inhalation Hazard" on the shipping paper when required. A 1
172.203(n)   Failing to enter the word "HOT" on the shipping paper for elevated temperature materials as required. C 1
172.205(a)   Offering a hazardous waste without a hazardous waste manifest. C 1
172.205(b)   Failing to prepare the hazardous waste manifest in accordance with 40 CFR Part 262. C 1
172.301(a)(1)   Failing to properly mark a non-bulk package of hazardous material with the proper shipping name and identification number. C 1
172.313(a)   Failing to mark a package of hazardous materials with the words "Inhalation Hazard" when required. A 1
172.320(a)   Failing to mark a package containing Class 1 material with the appropriate EX-number. C 1
172.326   Failing to properly mark a portable tank of hazardous materials with the proper shipping name and identification number. C 1
172.326(c)(2)   Failing to provide to a motor carrier the required identification numbers for a portable tank. C 1
172.328(a)(1)   Failing to provide to a motor carrier the required identification numbers for cargo tank. C 1
172.400(a)   Failing to properly label a package of hazardous materials. C 1
172.403   Failing to affix the correct label to a package of radioactive material. C 1
172.506(a)(1)   Failing to provide the required placards to a motor carrier. C 1
172.600(c)(1)   Failing to provide emergency response information. C 1
172.604(a)   Failing to provide an emergency response telephone number. C 1
172.604(a)(1)   Failing to provide an emergency response telephone number which is monitored at all times that a hazardous material is in transit. C 1
172.604(a)(2)   Failing to provide the 24 hour emergency response telephone number of a person who is knowledgeable of the hazards and characteristics of the hazardous materials being shipped of a person who does not have comprehensive emergency response and accident mitigation information. C 1
172.704(a)   Failing to train hazardous material employees as required. Failing to train hazardous material employees as required. C 1
173.21(a)   Offering a forbidden material for transportation. A 1
173.21(e)   Offering for transportation materials which if combined, would likely cause a dangerous evolution of heat, flammable or poisonous gas or vapor, or a corrosive material A 1
173.22(a)(2)   Offering a hazardous material in an unauthorized package. A 1
173.24(b)(1)   Transporting hazardous materials in a portable tank which has an identifiable release of hazardous materials to the environment. A 1
173.24(b)(2)   Offering for transportation a hazardous material in a package which resulted in the effectiveness of the package being substantially reduced. A 1
173.24(b)(d)(2)   Loading a cargo tank with a hazardous material which exceeds the maximum weight of lading marked on the specification plate. A 1
173.30 177.834(g) Failing to brace containers of hazardous materials to prevent relative motion between containers. C 1
173.30 177.835(a) Loading into or on, or unloading a Class 1 (explosive) material from a motor vehicle with the engine running. C 1
173.30 177.848(d) Loading hazardous materials not in accordance with the segregation table. A 1
173.301(d)   Offering manifolded (interconnected) cylinders except as authorized. C 1
173.301(e)   Offering a charged/filled cylinder that has a container pressure at 70 degrees F (21.1 C) which exceeds its marked or designated service pressure. C 1
173.301(f)   Offering a charged/filled cylinder that has a container pressure at 130 degrees F (54.4C) which exceeds 5/4 times its marked or designated service pressure. C 1
173.301(g)   Offering a charged/filled cylinder with flammable, corrosive, or noxious gases without a prescribed valve protection device. A 1
173.301(i)   Offering a charged/filled cylinder that was manufactured outside the United States, not in accordance with prescribed DOT specifications. A 1
173.33(a)   Offering or accepting for transportation a hazardous material in an unauthorized cargo tank motor vehicle. A 1
173.33(a)(2)   Transporting or loading two or more materials in a cargo tank motor vehicle which resulted in an unsafe condition (fire, explosion, etc.) A 1
173.33(b)(1)   Transporting in a cargo tank motor vehicle a hazardous material which had a dangerous reaction when in contact with the tank. A 1
173.33(c)(5)   Loading a division 6.1 material in a cargo tank having a maximum allowable working pressure of less than 25 psig. A 1
173.33(e)   Transporting Division 6.1 material oxidizer liquid, liquid organic peroxide, or corrosive liquid in cargo tank piping without bottom damage protection devices meeting the requirements of §178.337-10 or § 178.345-8(b). A 1
173.34(a)   Offering a cylinder that is not free of leaks, bulges, defective valves or safety devices, or bears evidence of physical abuse. A 1
173.34(c)   Offering a charged/filled cylinder for which required markings have not been properly maintained. C 1
173.34(d)(4)   Offering a cylinder charged with fluorine equipped with a safety relief device. C 1
173.34(e)   Offering a cylinder that has not been retested and marked as required. A 1
173.40(d)   Offering a cylinder charged/filled with a poisonous material without providing additional protection as required. A 1
173.413   Using a Type B package not designed and constructed in accordance with all applicable requirements contained in 10 CFR 71. A 1
173.421   Offering a radioactive material described, marked and packaged as a limited quantity that exceeds .5 mr on the surface of a package. C 1
173.422   Offering a radioactive material for transportation not in proper condition for shipment. C 1
173.431(a)   Offering or accepting for transportation in a type A package a quantity greater than that authorized. A 1
173.431(b)   Offering for transportation in a type B package a quantity greater than that authorized. A 1
173.441   Offering a package of radioactive material that exceeds allowable external radiation levels. A 1
173.442(b)(1)   Offering a package of radioactive material exceeding 122 degrees Fahrenheit on the external surface of the package. (Non-exclusive use) C 1
173.442(b)(2)   Offering a package of radioactive material exceeding 185 degrees Fahrenheit on the external surface of the package. (Exclusive use) C 1
173.443(a)   Offering a package of radioactive material with removable contamination in excess of 22 dpm/square cm. C 1
173.443(b)   Offering a package of radioactive material with removable contamination in excess of 220 dpm/square cm. C 1
173.447   Storing in one area packages of radioactive material that exceed a total Transport Index of 50. A 1
173.457(b)(3)   Offering a fissile material, controlled shipment in a conveyance containing other packages of any Class 7 (radioactive) material required to bear one of the labels prescribed in 49 CFR 172.403. A 1
177.801   Transporting a forbidden material. A 1
177.824   Operating a specification cargo tank containing a hazardous material which does not conform to the retest and inspection requirements set forth in part 180. C 1
177.834(i)   Failing to attend a cargo tank during loading (or unloading). A 1
177.834(j)   Transporting a Division 6.1 or Class 3 or Class 8 material in a cargo tank while failing to have all manhole closures closed and secured (all valves and other closures in the liquid discharge system closed and free of leaks). A 1
180.3(a)   Representing, marking, certifying, selling or offering a package or container as meeting a requirement of 49 CFR part 180 or a DOT exemption issued under 49 CFR part 107, when it was not marked, maintained, reconditioned, repaired, or retested in accordance with part 180. A 1
180.405(b)   Marking or certifying a cargo tank to a specification no longer authorized. For marking or certification of 306, 307, and 312 series cargo tanks after 08/31/95. A 1
180.405(g)   Failing to equip a cargo tank with manhole assemblies conforming with § 178.345-5. Ensure the assembly does not meet an exception. C 1
180.405(h)   Failing to replace a reclosing pressure relief valve with a valve meeting the requirements of § 178.345-10. Note: Only applicable when valve is being replaced. There is no retrofit requirement. C 1
180.407(a)(1)   Offering a DOT specification cargo tank which has not successfully completed a test or inspection which has become due as specified in § 180.407(c). C 1
180.407(a)(2)   Subjecting a cargo tank to a pressure greater than its design pressure or maximum allowable working pressure (MAWP). Except during a pressure test, loading, or unloading. A 1
180.407(a)(3)   Performing or witnessing a test or inspection on a cargo tank without meeting the minimum qualifications prescribed in §180.409. C 1
180.407(b)(1)   Failing to test and inspect a cargo tank which shows evidence of bad dents, corroded or abraded areas, leakage, or any other condition that might render it unsafe for transportation. A 1
180.407(b)(2)   Failing to test and inspect a cargo tank which has been in an accident and has been damaged to an extent that may adversely affect its lading retention capability. A 1
180.407(b)(3)   Failing to conduct a pressure test in accordance with § 180.407(g) on a cargo tank which has been out of hazardous materials transportation service for a period of one year or more. A 1
180.407(b)(4)   Failing to test and inspect a cargo tank which has been modified from its original design specification. A 1
180.407(b)(5)   Failing to conduct a test or inspection on a cargo tank when required by the Department of Transportation. A 1
180.407(d)   Failing to perform an external visual inspection as prescribed. C 1
180.407(e)   Failing to perform an internal visual inspection as prescribed. C 1
180.407(f)   Failing to perform a lining inspection as prescribed. C 1
180.407(g)   Failing to perform a pressure retest as prescribed. C 1
180.407(g)(3)   Failing to perform a wet fluorescent magnetic particle test on an MC-330/331 cargo tank. C 1
180.407(h)   Failing to perform a leakage test as prescribed. C 1
180.407(i)   Failing to perform a thickness test as prescribed. C 1
180.413(b)(1)   Performing a repair of a non-ASME Code stamped cargo tank while failing to hold a valid ASME Certificate of Authorization for the use of the "U" Stamp or a National Board Certificate of Authorization for the use of the "R" stamp. Non-ASME tanks only. A 1
180.413(b)(2)   Performing a repair of an ASME Code "U" stamped cargo tank while failing to hold a valid National Board Certificate of Authorization for the use of the "R" stamp. ASME tanks only. A 1
180.413(b)(5)   Failing to perform a repair of an ASME Code "U" stamped cargo tank in accordance with the National Board Inspection Code ASME tanks only. A 1
180.413(b)(6)   Failing to verify the suitability of a repair affecting the structural integrity of the cargo tank by testing as prescribed in the applicable specification or in § 180.407(g)(1)(iv). C 1
180.413(c)   Failing to leak test repairs done to piping or valves. Note: Not a leakage test as prescribed in § 180.407(h). C 1
180.413(d)(1)   Performing a (stretching, modification, or rebarrelling) of a non-ASME Code stamped cargo tank while failing to hold a valid ASME Certificate of Authorization for the use of the "U" Stamp or a National Board Certificate of Authorization for the use of the "R" stamp. Non-ASME tanks only. A 1
180.413(d)(2)   Performing a stretching, modification, or rebarrelling of an ASME Code "U" stamped cargo tank while failing to hold a valid National Board Certificate of Authorization for the use of the "R" stamp. ASME tanks only A 1
180.413(d)(3)   Failing to performing a stretching, modification, or rebarrelling of a cargo tank to the applicable specification. A 1
180.413(d)(5)   Failing to have a stretching, modification, or rebarrelling of a cargo tank certified by a Design Certifying Engineer. A 1
180.413(d)(9)   Failing to perform a (stretching, modification, or rebarrelling) of an ASME Code "U" stamped cargo tank in accordance with the National Board Inspection Code. A 1
180.413(d)(10)   Failing to verify the suitability of a modification affecting the structural integrity of the cargo tank with respect to pressure by testing as prescribed in the applicable specification or in §180.407(g)(1)(iv). C 1
180.413(e)   Failing to retain records of repair, modification, stretching, or rebarrelling made to each tank, as required. C 1
180.417(b)(2)   Failing to retain a copy of test and inspection reports as required. C 1
180.417(c)(2)   Failing to retain a copy of the pressure test report as required. MC 330 and MC 331 cargo tanks only. C 1