49 CFR § 385.321 - Safety audit: Failure.

# 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 automaticfailure 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]