1. Global Threat Reduction Initiative 2013 National Transportation Security Symposium June 4, 2013 Washington, DC
John Hardridge
Lead Hazmat Transportation Specialist
Hazardous Materials Division
Federal Motor Carrier Safety Administration

2. RAM Transportation
Attention Grabbing Slide – Just Pause.

3. Strategic Plan Initiatives
Raise the bar for motor carriers to enter the industry
Maintain a high standard of safety and compliance to remain in the industry
Remove unsafe drivers and carriers from the roadways
The Strategic Plan presents a new comprehensive direction to focus its efforts on outreach, oversight, and enforcement resources directed at the entire CMV transportation life-cycle. It establishes a framework that places safety as the highest priority and employs three core principles:
Raising the bar to entry
Requiring to maintain high safety standards
Removing high risk carriers and drivers
The Agency will continue to strengthen its Federal, State and local partnerships; reach out to all stakeholders, the public, industry and related associations, victims and advocacy groups, in order to eliminate severe crashes, injuries, and fatalities involving CMVs, thereby, achieving a safer transportation environment.
The commercial motor vehicle industry (CMV) is a vital part of the Nation’s economic strength and security. Commercial trucks and buses are an integral part of everyday life and livable communities. The Agency’s goal is to make our roadways safer for the public and the CMV industry.

4. Today’s Topics Roadside Inspections Top 10 Violations
HM Safety Permits
Transportation Fees
Compliance, Safety and Accountability (CSA)
Incidents
Transportation Reporting Requirements
We will address all of these topics as we move through the presentation.

5. FY 2012 Level VI Roadside Inspections
Roadside Inspections, Level VI ( Fiscal)
Level VI Inspections
Fed
State
Total
% of Total
1801
100%
Point of Origin
976
54.19%
En Route
825
45.81%
Point of Destination 0%
Unknown Location
Level VI Inspections with No Viol
1746
96.95%
Level VI Inspections with Viol 55
3.05%
Level VI Inspections with OOS Violations 21
1.17%
These numbers have remained fairly constant over the years. The carriers transporting HRCQ and undergoing Level VI inspections are among the safest on the road, with a combined OOS rate of less than 1 percent.

6. Top 10 Violations at Roadside
# of Inspections
# of Violations
% of Total Violations
OOS Violations
% of OOS
1. . Inspection/repair and maintenance parts and accessories 9 10
15.38% 3
30.00%
2. Failure to secure brake hose/tubing against mechanical damage 4 7
10.77%
42.86%
3. Brake tubing and hose adequacy 5
7.69% 1
20.00%
4. Brake connections with leaks/constrictions
6.15% 2
50.00%
5. Driver not in possession of training certificate
4.62% 0%
6. Failing to maintain Safety Permit on Vehicle
7. Improper medical examiners certificate form
8. Inoperative required lamps
9. Brakes (General)
3.08%
10. Flat tire or Fabric Exposed
100.00%
62 % of all violations encountered during a Level VI inspection are accounted for in the top 10 violations.
The top 10 also account for over 90% of the OOS violations.

7. HM Safety Permit
Presently, there are 42 motor carriers that have HM Safety Permits, due to the fact that they transport HRCQ RAM
The HM Safety Permit Program in Part 385 of the Federal Motor Carrier Safety Regulations (FMCSR) requires certain motor carriers to obtain a permit to transport certain types and quantities of HM, as follows:
After the date following January 1, 2005, that a motor carrier is required to file a Motor Carrier Identification Report Form (MCS-150) according to the schedule set forth in §390.19(a) of this chapter, the motor carrier may not transport in interstate or intrastate commerce any of the following hazardous materials, in the quantity indicated for each, unless the motor carrier holds a safety permit:(a) A highway route-controlled quantity of a Class 7 (radioactive) material, as defined in § of this title;(b) More than 25 kg (55 pounds) of a Division 1.1, 1.2, or 1.3 (explosive) material or an amount of a Division 1.5 (explosive) material requiring placarding under part 172 of this title;(c) More than one liter (1.08 quarts) per package of a “material poisonous by inhalation,” as defined in §171.8 of this title, that meets the criteria for “hazard zone A,” as specified in § (a) or § (a) of this title;(d) A “material poisonous by inhalation,” as defined in §171.8 of this title, that meets the criteria for “hazard zone B,” as specified in § (a) or § (a) of this title in a bulk packaging (capacity greater than 450 L [119 gallons]);(e) A “material poisonous by inhalation,” as defined in §171.8 of this title, that meets the criteria for “hazard zone C,” or “hazard zone D,” as specified in § (a) of this title, in a packaging having a capacity equal to or greater than 13,248 L (3,500) gallons; or(f) A shipment of compressed or refrigerated liquefied methane or liquefied natural gas, or other liquefied gas with a methane content of at least 85 percent, in a bulk packaging having a capacity equal to or greater than 13,248 L (3,500 gallons).

8. State Fees: 49 U.S.C. 5125(f)
(f) Fees.--(1) A State, political subdivision of a State, or Indian tribe may impose a fee related to transporting hazardous material only if the fee is fair and used for a purpose related to transporting hazardous material, including enforcement and planning, developing, and maintaining a capability for emergency response.
States and other political jurisdictions may impose fees on HM transporters, but the fees must be used for purposes specifically related to HM transportation. Depositing the money in a “general fund” does not meet this test, so the fees must go into a specific fund.

9. Fatigued Driving (HOS) Driver Fitness
CSA BASICs
Unsafe Driving
Fatigued Driving (HOS)
Driver Fitness
Controlled Substances and Alcohol
Vehicle Maintenance
Hazardous Materials
Crash History
There are 7 BASICs: Behavioral Analysis Safety Improvement Categories. At this time, neither the Crash nor Hazmat BASICs are available for public viewing. The HM BASIC is available to motor carriers at this time as it is being tested. The HM BASIC is scheduled to go “live” in June 2012.
Crash BASIC: Same problem as when it was a SEA under SAFESTAT. Accountability is not addressed in the present system. Discussions are taking place within FMCSA at this time to address this problem.
HM BASIC: Formerly the Cargo Related BASIC, due to problems encountered, cargo securement violations are being pulled from this BASIC and the Cargo Related BASIC will become a new HM BASIC. The cargo securement information will be moved to the Vehicle BASIC. It is planned that this will occur by June 2012.

10. CSA BASIC THRESHOLD PERCENTILEs
BASIC Passenger HM All Other
Carriers Carriers Carriers
Unsafe Driving
Fatigued Driving
Crash
Driver Fitness
Controlled Sub/Alc
Vehicle Maintenance
Hazmat Compliance
See slides 14, 15 and 16 for the criteria for a motor carrier to fall into the “HM Carriers” threshold, and for its violations to appear in the HM BASIC.
We will discuss in a few minutes.

11. HM Carriers in SMS: April 2013
Total: 10,670
High Risk:
Crash BASIC alerts:
Warning letter:
Focused Review:
Full Review:
High Risk:
Crash OR Fatigue OR Unsafe is at or above 85, plus 1 other deficient BASIC above the All Other Motor Carrier Threshold. OR
Any 4 or more deficient BASICS above the All Other Motor Carrier Threshold
Mandatory and Past Due High Risk Carrier Investigation Policy:
Mandatory: High Risk 2 consecutive months AND no full or Focused CR within last 24 months
Past Due: Mandatory status exceeding 12 months
Investigation Selection Rules:
Full CR Required:
4 or more BASICS at or above the thresholds
High risk New Entrant
Passenger carriers with no full CR within last 12 months
HM Safety Permitted carrier without a Satisfactory rating
Carriers with Unsatisfactory ratings issued prior to 2001
Full CR Recommended:
3 BASICS at or above the threshold
Direct Notice of Violation (NOV):
Roadside deficient Driver Fitness BASIC only
Focused CR:
In all other cases, except deficient in Crash BASIC only
May receive a Focused or Full CR.
Warning Letters:
Are not sent to High-risk or Carriers with 3 or more BASICs above the deficiency threshold. Those motor carriers are immediately prioritized for a Full or Focused CR.

12. CSA Changes: Continued
While the new HM Compliance BASIC identifies fewer total HM inspections, it identifies more HM inspections with violations, which means it better identifies the carriers with HM compliance problems. Correspondingly, the HM Compliance BASIC identifies carriers with higher HM violation rates (33.8% vs. 29.1%) and HM OOS rates (5.4% vs. 4.0%). This finding demonstrates that the HM Compliance BASIC is more effective at identifying carriers with HM compliance problems. The HM Compliance BASIC percentile ranks will not be public for one year to ensure that stakeholders understand that BASIC, the regulations that underpin it, and that it accomplishes the Agency’s goal of better identifying carriers with HM compliance problems.

13. SMS HM Threshold Definition
Received 2 roadside inspections within last 24-months, with 1 in last 12-months, where “placarding required” is indicated; AND
Placarded inspections must represent at least 5% of total vehicle inspections for the carrier; OR
All CVSA Levels of Inspection: I – VI count.
I: Full Driver and Vehicle
II: Driver and Vehicle Walk-Around
III: Driver-only
IV: Special Study
V: Vehicle-only
VI: HRCQ RAM
VII: State-Specific (Not counted for threshold inclusion)

14. SMS HM Threshold Definition Continued
Holds a valid Hazardous Materials Safety Permit per 49 CFR Part 385
These are two additional stand-alone conditions that would put a motor carrier into the HM Carriers threshold.

15. SMS HM BASIC Carrier Definition
Received 5 inspections with violations in last 24-months where placards were indicated
CVSA Inspection Levels:
I – Full Inspection
II – Driver / Vehicle Walk-Around
V – Vehicle Only
VI – RAM
This is different than the threshold. All inspections that indicate “placarding” from CVSA Inspection Levels I, II, V and VI are considered. In order to have a score in this BASIC, the motor carrier will have to have at least 5 placarded inspections within the previous 24-months.

16. CY 2012 Incidents By Highway
In CY 2012, only 6 highway incidents involving Class 7 Radioactive Materials were reported.
None were HRCQ
None involved a release of RAD
Two were undeclared shipments of Excepted RAD
Class 7 incidents are rare. There were only 3 in There were no releases of materials, no injuries or deaths, and no property damage caused by these incidents. One incident was due to the material to be undeclared.

17. Part 397 Reporting Requirements
… each carrier who accepts for transportation a highway route controlled quantity of Class 7 (radioactive) material must, within 90 days following the acceptance of the package, file the following information … with the Federal Motor Carrier Safety Administration, Office of Enforcement and Compliance (MC-EC), 1200 New Jersey Ave., SE., Washington, DC
Except for packages shipped in compliance with the physical security requirements of the U.S. Nuclear Regulatory Commission in 10 CFR part 73

18. Part 397 Reporting Requirements
The route plan, including all required amendments reflecting the routes actually used;
A statement identifying the names and addresses of the shipper, carrier and consignee; and
A copy of the shipping paper or the description of the Class 7 (radioactive) material.

19. Part 385 Transportation Requirements
Information that must be carried in the vehicle:
A copy of the safety permit or another document showing the permit number
A written route plan; and
The telephone number, including area code or country code, of an employee of the motor carrier or representative of the motor carrier who is familiar with the routing of the permitted material.
(a) Information that must be carried in the vehicle. During transportation, the following must be maintained in each commercial motor vehicle that transports a hazardous material listed in § and must be made available to an authorized official of a Federal, State, or local government agency upon request. (1) A copy of the safety permit or another document showing the permit number, provided that document clearly indicates the number is the FMCSA Safety Permit number;(2) A written route plan that meets the requirements of § of this chapter for highway route-controlled Class 7 (radioactive) materials or § of this chapter for Division 1.1, 1.2, and 1.3 (explosive) materials; and(3) The telephone number, including area code or country code, of an employee of the motor carrier or representative of the motor carrier who is familiar with the routing of the permitted material. The motor carrier employee or representative must be able to verify that the shipment is within the general area for the expected route for the permitted material. The telephone number, when called, must be answered directly by the motor carrier or its representative at all times while the permitted material is in transportation including storage incidental to transportation. Answering machines are not sufficient to meet this requirement.

20. Part 385 Transportation Requirements
HRCQ Vehicle Inspection
Before transporting, the motor carrier must have a pre-trip inspection performed on each motor vehicle to be used to transport HRCQ; and
The inspection must be made in accordance with the requirements of the North American Standard Out-of-Service Criteria and Level VI Inspection Procedures and Out-of-Service Criteria for Commercial Highway Vehicles Transporting Transuranics and HRCQ (April 1, 2012)
(b)(1) Inspection of vehicle transporting Class 7 (radioactive) materials. Before a motor carrier may transport a highway route controlled quantity of a Class 7 (radioactive) material, the motor carrier must have a pre-trip inspection performed on each motor vehicle to be used to transport a highway route controlled quantity of a Class 7 (radioactive) material, in accordance with the requirements of the “North American Standard Out-of-Service Criteria and Level VI Inspection Procedures and Out-of-Service Criteria for Commercial Highway Vehicles Transporting Transuranics and Highway Route Controlled Quantities of Radioactive Materials as defined in 49 CFR Part ,” January 1, 2004, which is incorporated by reference. The Director of the Federal Register has approved the materials incorporated by reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Information and copies may be obtained from the Commercial Vehicle Safety Alliance, th Street, NW, Suite 803, Washington, DC Phone number (202) (2) All materials incorporated by reference are available for inspection at the Federal Motor Carrier Safety Administration, Office of Enforcement and Compliance (MC-EC), 1200 New Jersey Ave., SE., Washington, DC ; and the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call (202) , or go to:

21. Part 385 Transportation Requirements
Additional Requirements:
The operator must follow the communications plan and is required to make contact with the carrier at the beginning and end of each duty tour, and at the pickup and delivery of each permitted load.
Contact may be by telephone, radio or via an electronic tracking or monitoring system.
The motor carrier or driver must maintain a record of communications for 6 months after the initial acceptance of a shipment..
(b)(1) Inspection of vehicle transporting Class 7 (radioactive) materials. Before a motor carrier may transport a highway route controlled quantity of a Class 7 (radioactive) material, the motor carrier must have a pre-trip inspection performed on each motor vehicle to be used to transport a highway route controlled quantity of a Class 7 (radioactive) material, in accordance with the requirements of the “North American Standard Out-of-Service Criteria and Level VI Inspection Procedures and Out-of-Service Criteria for Commercial Highway Vehicles Transporting Transuranics and Highway Route Controlled Quantities of Radioactive Materials as defined in 49 CFR Part ,” January 1, 2004, which is incorporated by reference. The Director of the Federal Register has approved the materials incorporated by reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Information and copies may be obtained from the Commercial Vehicle Safety Alliance, th Street, NW, Suite 803, Washington, DC Phone number (202) (2) All materials incorporated by reference are available for inspection at the Federal Motor Carrier Safety Administration, Office of Enforcement and Compliance (MC-EC), 1200 New Jersey Ave., SE., Washington, DC ; and the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call (202) , or go to:

22. Part 385 Transportation Requirements
Record of Communications Must Contain:
The name of the driver,
Identification of the vehicle,
Permitted material(s) being transported, and
the date, location, and time of each required contact.
(1) The operator of a motor vehicle used to transport a hazardous material listed in § must follow the communications plan required in § (b)(2) to make contact with the carrier at the beginning and end of each duty tour, and at the pickup and delivery of each permitted load. Contact may be by telephone, radio or via an electronic tracking or monitoring system. The motor carrier or driver must maintain a record of communications for 6 months after the initial acceptance of a shipment of hazardous material for which a safety permit is required. The record of communications must contain the name of the driver, identification of the vehicle, permitted material(s) being transported, and the date, location, and time of each contact required under this section.(2) The motor carrier should contact the Transportation Security Administration's Transportation Security Coordination Center ( or ) at any time the motor carrier suspects its shipment of a hazardous material listed in § is lost, stolen or otherwise unaccounted for.

23. Part 385 Transportation Requirements
For Lost, Stolen or Misplaced Shipments:
The motor carrier should contact the Transportation Security Administration's Transportation Security Coordination Center ( or ) at any time the motor carrier suspects its shipment of a hazardous material listed in § is lost, stolen or otherwise unaccounted for.
(1) The operator of a motor vehicle used to transport a hazardous material listed in § must follow the communications plan required in § (b)(2) to make contact with the carrier at the beginning and end of each duty tour, and at the pickup and delivery of each permitted load. Contact may be by telephone, radio or via an electronic tracking or monitoring system. The motor carrier or driver must maintain a record of communications for 6 months after the initial acceptance of a shipment of hazardous material for which a safety permit is required. The record of communications must contain the name of the driver, identification of the vehicle, permitted material(s) being transported, and the date, location, and time of each contact required under this section.(2) The motor carrier should contact the Transportation Security Administration's Transportation Security Coordination Center ( or ) at any time the motor carrier suspects its shipment of a hazardous material listed in § is lost, stolen or otherwise unaccounted for.

24. The Goal
To prevent serious highway incidents and accidents involving the transportation of Radioactive Materials
This is what we strive to do everyday we approach the doors of DOT. A serious highway incident is one that:
PHMSA defines "serious incidents" as incidents that involve:
a fatality or major injury caused by the release of a hazardous material,
the evacuation of 25 or more persons as a result of release of a hazardous material or exposure to fire,
a release or exposure to fire which results in the closure of a major transportation artery,
the alteration of an aircraft flight plan or operation,
the release of radioactive materials from Type B packaging,
the release of over 11.9 gallons or 88.2 pounds of a severe marine pollutant, or
the release of a bulk quantity (over 119 gallons or 882 pounds) of a hazardous material.

25. Contact Information
John Hardridge
Lead Hazmat Transportation Specialist
Hazardous Materials Division
U. S. Department of Transportation
Federal Motor Carrier Safety Administration
1200 New Jersey Avenue, SE
MC-ECH, West Building
Washington, DC 20590