Violation code

397.3AU

Failing to comply with Alliance for Uniform HM Registration requirements

Not in SMSNon-OOS· FMCSA A&I All Violations

397.3AU is a HazMat violation under 49 CFR §397.3AU. It is not scored in the SMS. Nationally it was cited 149 times in the last five years, with an OOS rate of 0.0%.

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National roadside inspection stats

as of 9/20/2026

Inspections

149

that found this code

Violations

149

total written

OOS rate

0.0%

0 OOS

Source: FMCSA roadside inspection data (last 5 years). The OOS rate is the share of these violations that led the officer to mark the driver or vehicle out of service.

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Not used in SMS BASIC scoring

Recorded on your inspection report and visible on the PSP, but contributes 0 points to CSA BASIC scores — even if cited Out-of-Service.

Violation group: HazMat
Regulation §: 397.3AU
Severity weight: N/A
Used in SMS: No
Status: Active
Updated: 9/20/2026

Last updated September 2026

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What 397.3AU means — and how to avoid it

In plain English

In plain terms, 397.3AU is cited for failing to comply with Alliance for Uniform HM Registration requirements. It falls under the FMCSA rules on hazardous materials transportation.

What the inspector checks

•Correct placarding for the material and quantity
•Shipping papers accessible and accurate
•Package marking, labeling, and securement

How to prevent it

✓Verify placards match the shipping papers before leaving
✓Keep shipping papers within reach and in order
✓Confirm proper packaging and emergency info

How it affects your CSA

0 CSA points

397.3AU is not scored in the SMS. It adds 0 CSA points — even if written out-of-service — but it still appears on the inspection report and the driver’s PSP.

General guidance from the violation’s FMCSA classification — not legal advice, and not a substitute for the inspector’s findings or 49 CFR.

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Challenging 397.3AU through FMCSA DataQs

If this violation was written incorrectly, here are the angles trucking-safety managers use to contest it. Playbook: Hazardous Materials.

Common ways to challenge this code

Shipment was not placardable
The materials transported did not exceed the threshold quantities requiring placards under 49 CFR Part 172 Subpart F.
Evidence that wins
- ✓Shipping papers showing UN number, hazard class, and quantity
- ✓Manufacturer's product specification sheet
Administrative HazMat code (not in SMS)
This administrative code is on the inspection report but does not contribute to CSA BASIC scoring per FMCSA SMS Methodology Appendix A.
Evidence that wins
- ✓FMCSA SMS Methodology Appendix A reference

Common pitfalls — avoid these

⚠Administrative HazMat codes still appear on the PSP record even when not scored in SMS

⚡ Draft a challenge for 397.3AU →Read the DataQs guide first

Other HazMat codes

Codes under the same FMCSA violation group

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Frequently asked questions about 397.3AU

What does violation 397.3AU mean?

397.3AU is the FMCSA roadside-inspection violation code for "Failing to comply with Alliance for Uniform HM Registration requirements", part of the HazMat group, cited under 49 CFR §397.3AU.

What BASIC does 397.3AU affect?

397.3AU is not scored in any CSA BASIC. It is recorded on the inspection report and appears on the PSP, but it contributes 0 points to a carrier's SMS BASIC percentiles.

Is 397.3AU an out-of-service (OOS) violation?

No. 397.3AU is not an out-of-service violation, so on its own it does not trigger an out-of-service order at the roadside.

How many CSA points does 397.3AU add?

397.3AU adds 0 CSA points because it is not used in SMS scoring, even when written out of service.

How can a driver prevent 397.3AU?

Verify placards match the shipping papers before leaving; Keep shipping papers within reach and in order; Confirm proper packaging and emergency info.

Can 397.3AU be challenged through DataQs?

Yes. If you believe 397.3AU was recorded in error, you can file a Request for Data Review (RDR) through the FMCSA DataQs system with supporting evidence. A successful challenge can remove or correct the violation on your record.

Keep going

CSA points calculator How to challenge a violation Draft a DataQs letter for 397.3AU Carrier CSA lookup CSA glossary

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