(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. |
authority: 49 U.S.C. 113,
504,
521,
5105,
5109,
5113,
13901,
13908,
31135,
31136,
31144,
31148,
31151,
31502; sec. 113(a), Pub. L. 103-311, 108 Stat. 1673, 1676; sec. 408, Pub. L. 104-88, 109 Stat. 803, 958; sec. 350, Pub. L. 107-87, 115 Stat. 833, 864; sec. 5205, Pub. L. 114-94, 129 Stat. 1312, 1537; and
49 CFR 1.87
source: 53 FR 50968, Dec. 19, 1988, unless otherwise noted.
cite as: 49 CFR 385.321