The General factor: what auditors check

What records does the auditor check for this factor?

• Proof of the required minimum levels of financial responsibility (insurance filings)
• Your USDOT number registration and biennial update (MCS-150) accuracy
• USDOT number marking on each commercial motor vehicle
• Accident register and copies of accident reports required under Part 390

Common failures on the General factor

• Operating without the required minimum financial responsibility in effect (§ 387.7(a) — an acute, automatic-failure violation)
• Not keeping proof of financial responsibility at the principal place of business (§ 387.7(d))
• Making fraudulent or intentionally false statements on a required record (§ 390.35)
• Failing to maintain copies of required accident reports (§ 390.15(b)(2))

How is the General factor scored?

In a new-entrant safety audit, each acute violation is assessed 1.5 points and each critical violation 1 point (49 CFR Appendix A to Part 385). Points for General come from acute and critical violations of Parts 387 and 390 found in your records.

Acute and critical violations under the General factor

This factor is scored from 6 acute/critical regulations on the official list in 49 CFR Appendix B to Part 385, including 2 that can automatically fail the audit under 49 CFR 385.321.

• § 387.7(a) — Operating a motor vehicle without having in effect the required minimum levels of financial responsibility coverage (automatic-failure)
• § 387.7(d) — Failing to maintain at principal place of business required proof of financial responsibility (critical)
• § 387.31(a) — Operating a passenger carrying vehicle without having in effect the required minimum levels of financial responsibility (automatic-failure)
• § 387.31(d) — Failing to maintain at principal place of business required proof of financial responsibility for passenger carrying vehicles (critical)
• § 390.15(b)(2) — Failing to maintain copies of all accident reports required by State or other governmental entities or insurers (critical)
• § 390.35 — Making, or causing to make fraudulent or intentionally false statements or records and/or reproducing fraudulent records (acute)