49 CFR 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 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.