###### Editorial Note on [Part 385](/current/title-49/part-385?toc=1)

#### Editorial Note:

Nomenclature changes to part 385 appear at [66 FR 49872](https://www.federalregister.gov/citation/66-FR-49872), Oct. 1, 2001.

#### § 385.321 What failures of safety management practices disclosed by the safety audit will result in a notice to a new entrant that its USDOT new entrant registration will be revoked?

(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](/on/2024-09-24/title-49/part-385/appendix-Appendix%20A%20to%20Part%20385) or failure to comply with one or more of the regulations set forth in [paragraph (b)](/on/2024-09-24/title-49/section-385.321#p-385.321(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](/on/2024-09-24/title-49/section-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](/on/2024-09-24/title-49/section-382.115)(a)/[§ 382.115(b)](/on/2024-09-24/title-49/section-382.115#p-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](/on/2024-09-24/title-49/section-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](/on/2024-09-24/title-49/section-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](/on/2024-09-24/title-49/section-382.215)—Using a driver known to have tested positive for a controlled substance | Single occurrence. |
| 5. [§ 382.305](/on/2024-09-24/title-49/section-382.305)—Failing to implement a random controlled substances and/or alcohol testing program | Single occurrence. |
| 6. [§ 383.3](/on/2024-09-24/title-49/section-383.3)(a)/[§ 383.23(a)](/on/2024-09-24/title-49/section-383.23#p-383.23(a))—Knowingly using a driver who does not possess a valid CDL | Single occurrence. |
| 7. [§ 383.37(b)](/on/2024-09-24/title-49/section-383.37#p-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)](/on/2024-09-24/title-49/section-383.51#p-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](/on/2024-09-24/title-49/section-383.5). |
| 9. [§ 387.7(a)](/on/2024-09-24/title-49/section-387.7#p-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)](/on/2024-09-24/title-49/section-387.31#p-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)](/on/2024-09-24/title-49/section-391.15#p-391.15(a))—Knowingly using a disqualified driver | Single occurrence. |
| 12. [§ 391.11(b)(4)](/on/2024-09-24/title-49/section-391.11#p-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](/on/2024-09-24/title-49/section-390.5). |
| 13. [§ 395.8(a)](/on/2024-09-24/title-49/section-395.8#p-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)](/on/2024-09-24/title-49/section-396.9#p-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)](/on/2024-09-24/title-49/section-396.11#p-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)](/on/2024-09-24/title-49/section-396.17#p-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](https://www.federalregister.gov/citation/73-FR-76489), Dec. 16, 2008, as amended at [77 FR 26989](https://www.federalregister.gov/citation/77-FR-26989), May 8, 2012; [80 FR 59073](https://www.federalregister.gov/citation/80-FR-59073), Oct. 1, 2015]