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§385.321 Safety audit: Failure.

RegSenseEnglishFleet SafetyFederal Motor Carrier Safety Administration (FMCSA), DOTCFR RegulationsFocus AreaCFR SectionEnforcement - DOTNew entrant requirements - Motor CarrierTransportationBusiness planning - Motor CarrierUSA

(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
ViolationGuidelines 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.

[67 FR 31984, May 13, 2002; 73 FR 76489, Dec. 16, 2008; 77 FR 26989, May 8, 2012; 80 FR 59073, Oct. 1, 2015; 89 FR 90620, Nov. 18, 2024]

['Enforcement - DOT', 'Business planning - Motor Carrier']
['New entrant requirements - Motor Carrier']
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