Does the Hazardous Materials factor apply to my carrier?

Only if you transport hazardous materials. If you do, the audit reviews the HMRs across Parts 171, 177, 180, and 397, per 49 CFR Appendix A to Part 385.

Do I need a hazmat security plan?

If you transport the hazardous materials that require one, yes — transporting them without a conforming security plan under § 172.800(b) is an acute violation on the audit's acute/critical list.

§ Factor 5 — Hazardous Materials

The Hazardous Materials factor: what auditors check

The Hazardous Materials factor applies only if you transport hazardous materials. It covers general HMR requirements (Part 171), carriage by public highway (Part 177), continuing qualification and maintenance of packagings (Part 180), and hazmat routing and training (Part 397). Auditors check shipping papers, security plans, training records, and cargo-tank inspection records.

What records does the auditor check for this factor?

Shipping papers prepared and retained as required (Part 177)
A hazardous-materials security plan conforming to Subpart I (§ 172.800)
Security-awareness and function-specific training records (§ 172.704)
Cargo-tank periodic test and inspection records (§ 180.407)

Common failures on the Hazardous Materials factor

Transporting hazardous materials without a required security plan (§ 172.800(b)) — acute
Failing to provide security-awareness training (§ 172.704)
Failing to give immediate notice of a hazardous-materials incident (§ 171.15)
Failing to periodically test and inspect a cargo tank (§ 180.407)

How is the Hazardous Materials factor scored?

Points for Hazardous Materials come from acute and critical violations of Parts 171, 172, 173, 177, 180, and 397. This factor is scored only for carriers that transport hazardous materials.

Acute and critical violations under the Hazardous Materials factor

This factor is scored from 33 acute/critical regulations on the official list in 49 CFR Appendix B to Part 385.

§ 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 (acute)
§ 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 or street (critical)
§ 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 (critical)
§ 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 (critical)
§ 397.19(a) — Failing to furnish 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 (critical)
§ 397.67(d) — Requiring or permitting the operation of a motor vehicle containing explosives in Class 1, Divisions 1.1, 1.2, or 1.3 that is not accompanied by a written route plan (critical)
§ 171.15 — Carrier failing to give immediate telephone notice of an incident involving hazardous materials (critical)
§ 171.16 — Carrier failing to make a written report of an incident involving hazardous materials (critical)
§ 172.313(a) — Accepting for transportation or transporting a package containing a poisonous-by-inhalation material that is not marked with the words “Inhalation Hazard” (acute)
§ 172.704(a)(4) — Failing to provide security awareness training (critical)
§ 172.704(a)(5) — Failing to provide in-depth security awareness training (critical)
§ 172.800(b) — Transporting hazardous materials without a security plan (or without one conforming to Subpart I, or failure to adhere to a required security plan) (acute)

Common questions

Does the Hazardous Materials factor apply to my carrier?: Only if you transport hazardous materials. If you do, the audit reviews the HMRs across Parts 171, 177, 180, and 397, per 49 CFR Appendix A to Part 385.
Do I need a hazmat security plan?: If you transport the hazardous materials that require one, yes — transporting them without a conforming security plan under § 172.800(b) is an acute violation on the audit's acute/critical list.

Prep your own new-entrant audit

The CarrierReady Audit-Prep Kit gives you fillable templates mapped to all six factors — driver qualification files, a written maintenance program, a drug-and-alcohol testing policy, an accident register, and a document-by-document checklist.

See the kit

Primary sources

49 CFR Appendix A to Part 385 — verified as of 2026-07-04

CarrierReady is an independent audit-preparation tool — not legal advice, and not affiliated with, endorsed by, or connected to the FMCSA or any government agency; always verify against the official regulations at ecfr.gov.