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§385.321 — Safety audit: Failure

(a)

General. The failures of safety management practices consist of a lack of basic safety management controls as described in Appendix A of this part or failure to comply with one or more of the regulations set forth in paragraph (b) of this section and will result in a notice to a new entrant that its USDOT new entrant registration will be revoked.

(b)

Automatic failure of the audit. A new entrant will automatically fail a safety audit if found in violation of any one of the following 16 regulations:

Table to §385.321 — Violations That Will Result in Automatic Failure of the New Entrant Safety Audit

	Violation	Guidelines for determining automatic failure of the safety audit
	1. §382.115(a)/§382.115(b) — Failing to implement an alcohol and/or controlled substances testing program (domestic and foreign motor carriers, respectively)	Single occurrence.
	2. §382.201 — Using a driver known to have an alcohol content of 0.04 or greater to perform a safety-sensitive function	Single occurrence.
	3. §382.211 — Using a driver who has refused to submit to an alcohol or controlled substances test required under part 382	Single occurrence.
	4. §382.215 — Using a driver known to have tested positive for a controlled substance	Single occurrence.
	5. §382.305 — Failing to implement a random controlled substances and/or alcohol testing program	Single occurrence.
	6. §383.3(a)/§383.23(a) — Knowingly using a driver who does not possess a valid CDL	Single occurrence.
	7. §383.37(b)-Knowingly allowing, requiring, permitting, or authorizing an employee to operate a commercial motor vehicle with a commercial learner's permit or commercial driver's license which is disqualified by a State, has lost the right to operate a CMV in a State or who is disqualified to operate a commercial motor vehicle	Single occurrence.
	8. §383.51(a) — Knowingly allowing, requiring, permitting, or authorizing a driver to drive who is disqualified to drive a commercial motor vehicle	Single occurrence. This violation refers to a driver operating a CMV as defined under §383.5.
	9. §387.7(a) — Operating a motor vehicle without having in effect the required minimum levels of financial responsibility coverage	Single occurrence.
	10. §387.31(a) — Operating a passenger carrying vehicle without having in effect the required minimum levels of financial responsibility	Single occurrence.
	11. §391.15(a) — Knowingly using a disqualified driver	Single occurrence.
	12. §391.11(b)(4) — Knowingly using a physically unqualified driver	Single occurrence. This violation refers to a driver operating a CMV as defined under §390.5.
	13. §395.8(a) — Failing to require a driver to make a record of duty status	Requires a violation threshold (51% or more of examined records) to trigger automatic failure.
	14. §396.9(c)(2) — Requiring or permitting the operation of a commercial motor vehicle declared "out-of-service" before repairs are made	Single occurrence.
	15. §396.11(a)(3) — Failing to correct out-of-service defects listed by driver in a driver vehicle inspection report before the vehicle is operated	Single occurrence.
	16. §396.17(a) — Using a commercial motor vehicle not periodically inspected	Requires a violation threshold (51% or more of examined records) to trigger automatic failure.

[73 FR 76489, Dec. 16, 2008, as amended at 77 FR 26989, May 8, 2012; 80 FR 59073, Oct. 1, 2015]

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