Historical textIn force on June 1, 2010Source: annual CFR editions 2009–2011
§ 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?
Wording in the annual edition revised as of Oct. 1, 2009, superseded by the 2012 annual edition.
Before Jan. 1, 2017 the record is one snapshot per annual CFR edition, revised as of October 1. This is the 2009 edition's wording. An amendment that took effect between Oct. 1, 2009 and June 1, 2010 would not appear until the next edition, so check the citations below and the Federal Register for exact effective dates.
49 CFR § 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?. Text in force on June 1, 2010. This wording effective October 1, 2009 to October 1, 2012. Source: govinfo, 2009 edition, https://www.govinfo.gov/app/details/CFR-2009-title49-vol5/CFR-2009-title49-vol5-sec385-321. Retrieved from FMCSR.com, https://fmcsr.com/reg/385.321?asof=2010-06-01, on October 26, 2026. Unofficial compilation; verify against the official source.
(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:
| Violation | Guidelines for determining automaticfailure 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(a)—Knowingly allowing, requiring, permitting, or authorizing an employee with a commercial driver's license which is suspended, revoked, or canceled by 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(c)—Failing to correct out-of-service defects listed by driver in a driver vehicle inspection report before the vehicle is operated again | 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. |
[73 FR 76489, Dec. 16, 2008]
Amendment history
5 distinct wordings on file since Oct. 1, 2002- [73 FR 76489, Dec. 16, 2008, as amended at 77 FR 26989, May 8, 2012; 80 FR 59073, Oct. 1, 2015]
- [73 FR 76489, Dec. 16, 2008, as amended at 77 FR 26989, May 8, 2012; 80 FR 59073, Oct. 1, 2015]
- [73 FR 76489, Dec. 16, 2008, as amended at 77 FR 26989, May 8, 2012]
- [73 FR 76489, Dec. 16, 2008]
- Oct. 1, 2002 → Oct. 1, 2009annual editions 2002–2008
A new entry appears whenever the regulatory words change between government snapshots. Day-precise from the eCFR (2017 onward); before that, one snapshot per annual CFR edition (revised as of October 1). Bracketed citations are the Federal Register history printed with the section.