Safety Management SEA Calculation
Enforcement History Indicator (EHI)
HM Inspections Indicator (HMII)
HM Review Indicator (HMRI)
HM Review Measure (HMRM)
Safety Management Review Indicator (SMRI)
Enforcement Severity Measure (ESM)
Calulating Review Measures
Safety Management
SEA
The Safety Management SEA Value reflects the carrier's
safety management posture relative to its peers. The Safety Management SEA Value
is based on the Enforcement History Indicator (EHI), the Hazardous Material
Review Indicator (HMRI), and the Safety Management Review Indicator (SMRI). The
EHI uses the Enforcement Severity Measure (ESM) based on the
results of violations cited in closed enforcement cases. The HMRI and the
SMRI use violations of hazardous material-related acute, critical and
severe regulations and violations of safety management-related acute and
critical regulations, respectively, that were discovered during a
compliance review. The sections that follow present the specific
computations for each safety measure, indicator, and the SEA value within
the Safety Management SEA. Figure 6-1 shows the computational hierarchy
used to calculate a Safety Management SEA Value.
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Enforcement History Indicator (EHI)
Closed enforcement cases result in penalties based on major violations of the FMCSR/HMR. These violations are discovered during compliance reviews and terminal audits. The FMCSA initiates the enforcement case against the carrier and tracks it from initiation through settlement. A carrier's closed enforcement case history may contain a pattern of violations that indicates a serious lack of commitment to safety on the part of the carrier's management. The purpose of this indicator is to measure the historical pattern of safety enforcement. SafeStat calculates the EHI based on a carrier's closed enforcement case history over the past 6 years. Closed enforcement cases in this time frame are time and severity weighted and an ESM is calculated. All carriers with ESMs are compared to one another and ranked on a percentile basis. SafeStat then assigns a percentile number to each such carrier's EHI based on that rank.
Calculation of the Enforcement Severity Measure (ESM)
SafeStat requires that a carrier had at least 1 enforcement case that has been initiated and closed within the last 30 months or at least 2 enforcement cases closed within the past 6 years to calculate the ESM. Each closed enforcement case initiated on a carrier over the past 6 years is assigned a time weight and a severity weight. SafeStat multiplies these weights together to obtain an enforcement case value for each closed enforcement case. It then adds the enforcement case values to get the ESM. The equation for each carrier is:
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The following steps detail SafeStat's calculation
of the ESM.
 |
# of Different Violations Cited |
Severity Weight Cases |
 |
|---|---|---|---|
| 1 | 1 | ||
| 2 to 3 | 2 | ||
| 4+ | 3 |
Calculation of the Enforcement History Indicator (EHI)
SafeStat assigns an EHI to a carrier based on a
percentile ranking of its Enforcement Severity Measure (ESM), the age of
the most recent closed enforcement case, and whether the most recent
subsequent compliance review resulted in violations of acute/critical
regulations. The following steps detail SafeStat's calculation of EHI and
ensure that only carriers with closed enforcement cases initiated by a CR
or terminal audit within in the past 30 months will be eligible to receive
a high EHI of 75 and higher:
HM Review Indicator (HMRI)
Using results from compliance reviews performed within the last 18 months, SafeStat calculates the HMRI. SafeStat quantifies the number and severity of violations hazardous material-related acute, critical, and severe regulations cited at a carrier’s most recent compliance review to obtain an HM Review Measure (HMRM). Ratable violations of acute and critical regulations are defined in Part 385 Appendix B of the FMCSR and hazardous material-related severe regulations are defined in Chapter 13 of the US DOT FMCSA Field Operations Training Manual. All violations used are listed in Tables B-1 to B-5 in Appendix B of this document. SafeStat calculates the HMRM for each HM carrier as described in Appendix B. All of the carriers’ HMRMs are compared to one another and are ranked on a percentile basis from 0 to 100. SafeStat assigns the percentile number to the HMRI for each carrier with at least 1 violation of acute, critical, or severe regulations.
Safety Management Review Indicator (SMRI)
Using the results from compliance reviews performed within the last 18 months, SafeStat calculates the SMRI. SafeStat quantifies the number and severity of violations of safety management-related acute and critical regulations (defined in Part 385 Appendix B of the FMCSR) cited at a carrier's most recent CR into the Safety Management Review Measure (SMRM). SafeStat calculates the SMRMs for each carrier as described in Appendix B. All of the carriers' SMRMs are compared to one another and are ranked on a percentile basis from 0 to100. SafeStat assigns a percentile number to the SMRI for each carrier with at least one violation of acute and critical regulations.
HM Inspections Indicator (HMII)
The HMII is based on roadside inspections and the
resulting Hazardous Material Out-of-Service (HMOOS) violations. It was
used in earlier versions of SafeStat (versions 3 & 4), but its use has
been suspended from the algorithm. This indicator was found to be
ineffective in identifying unsafe motor carriers. While there is still
merit for incorporating an indicator based on HMOOS violations,
improvements need to be made to the normalization data before
reconsidering the inclusion of the indicator. See Appendix C for more
details. It is important to note that roadside HMOOS violations are
currently used in the Driver and Vehicle Inspection Indicators (DII and
VII).
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Calculation of Safety Management SEA Value
The Safety Management SEA Value establishes the
carrier's safety status concerning its safety management practices.
SafeStat uses the Enforcement History Indicator (EHI), the HM Review
Indicator (HMRI), and the Safety Management Review Indicator (SMRI) to
calculate the Safety Management SEA Value.
The Safety Management SEA calculation is the highest of the EHI, HMRI and SMRI.
If only one of the three indicators (EHI, HMRI, or
SMRI) exists, then that indicator is assigned that the Safety Management
SEA Value. If none of the indicators exists, then the carrier has
insufficient data for SafeStat to calculate a Safety Management SEA
Value.
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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, critical, and severe regulations. See Table B-1 at the end of
this appendix for a list of associated acute, critical and severe
regulations. A review measure is scored based on the number and severity
of each violation of associated acute, critical and severe regulations.
The following steps detail SafeStat's calculation of the carrier's review
measure:
|
|
Violations of Critical Regulations: |
# of Occurrences |
|
|
|
# of Records Checked |
|
|
|
|
|
|
Violations of Acute Regulations: |
# of Occurrences |
- 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
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 (Violations of Acute/Critical Regulations) | |||
| 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 (Violations of Hazardous Material-Related Severe Regulations) | ||||
| Primary Federal Section | Secondary Federal Section | Description | Similar to 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 | |
*Indicates whether the violation of the severe
regulation is calculated the same as a violation of an acute regulation
(A) or a violation of a critical regulation (C).