49 CFR 385.321 - What failures of safety management practices disclosed by the safety audit will result in a notice to a new entrant that its USDOT new entrant registration will be revoked?

§ 385.321 What failures of safety management practices disclosed by the safety audit will result in a notice to a new entrant that its USDOT new entrant registration will be revoked?

(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]