(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 Sec. 385.321--Violations That Will Result in Automatic
Failure of the New Entrant Safety Audit------------------------------------------------------------------------
Guidelines for determining
Violation automatic failure of the
safety audit------------------------------------------------------------------------1. Sec. 382.115(a)/Sec. 382.115(b)-- Single occurrence.
Failing to implement an alcohol and/or
controlled substances testing program
(domestic and foreign motor carriers,
respectively).2. Sec. 382.201--Using a driver known to Single occurrence.
have an alcohol content of 0.04 or
greater to perform a safety-sensitive
function.3. Sec. 382.211--Using a driver who has Single occurrence.
refused to submit to an alcohol or
controlled substances test required under
part 382.
4. Sec. 382.215--Using a driver known to Single occurrence.
have tested positive for a controlled
substance.5. Sec. 382.305--Failing to implement a Single occurrence.
random controlled substances and/or
alcohol testing program.6. Sec. 383.3(a)/Sec. 383.23(a)-- Single occurrence.
Knowingly using a driver who does not
possess a valid CDL.7. Sec. 383.37(b)-Knowingly allowing, Single occurrence.
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.8. Sec. 383.51(a)--Knowingly allowing, Single occurrence. This
requiring, permitting, or authorizing a violation refers to a
driver to drive who is disqualified to driver operating a CMV as
drive a commercial motor vehicle. defined under Sec. 383.5.9. Sec. 387.7(a)--Operating a motor Single occurrence.
vehicle without having in effect the
required minimum levels of financial
responsibility coverage.10. Sec. 387.31(a)--Operating a Single occurrence.
passenger carrying vehicle without having
in effect the required minimum levels of
financial responsibility.11. Sec. 391.15(a)--Knowingly using a Single occurrence.
disqualified driver.12. Sec. 391.11(b)(4)--Knowingly using a Single occurrence. This
physically unqualified driver. violation refers to a
driver operating a CMV as
defined under Sec. 390.5.13. Sec. 395.8(a)--Failing to require a Requires a violation
driver to make a record of duty status. threshold (51% or more of
examined records) to
trigger automatic failure.14. Sec. 396.9(c)(2)--Requiring or Single occurrence.
permitting the operation of a commercial
motor vehicle declared ``out-of-service''
before repairs are made.15. Sec. 396.11(a)(3)--Failing to Single occurrence.
correct out-of-service defects listed by
driver in a driver vehicle inspection
report before the vehicle is operated.16. Sec. 396.17(a)--Using a commercial Requires a violation
motor vehicle not periodically inspected. 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]