The Driver Qualification Files

The Department of Transportation (DOT) was established by an act of Congress, signed into law by President Lyndon B. Johnson on October 15, Its first secretary, Alan S. Boyd, took office on January 16, The department's first official day of operation was April 1, The FMCSA was created within the Department of Transportation pursuant to the Motor Carrier Safety Improvement Act (MCSIA) of The purpose of the MCSIA was to improve the safety of commercial drivers through regulations, stronger enforcement and sanctions. In our CFR Part DQF review today we will discuss: –What drivers are covered –What the DOT driver qualification requirements are –Hiring a new driver before vehicle operation –Within 30 the first 30 days of operation –Required DQF documents –DQF records maintenance and retention –Common DQF Problems –Risks of failing to maintain legal DQFs

Driver Qualification File Challenge Question Which item do you believe is NOT required in a DQ File? (choose one) The DOT application Driving records Copy of Fed-Med card or waiver Road test Drug and alcohol policy receipt and testing paperwork

Covered drivers of a commercial motor vehicle as defined in must be qualified under 391. This definition includes vehicles used in commerce that are: –10,001 pounds or more GVWR, registered, or actual weight, single or combination vehicles used in commerce –Designed to transport more than 8 (including the driver) for any compensation –Designed to transport more than 15 (including the driver) if not done for compensation –Any vehicle hauling haz mat in commerce that requires placarding

Part Qualified Drivers includes: –General qualifications in interstate 21 yrs of age, (intrastate 18 years of age), ability to speak & understand English, having the correct CD license issued from one state only –Background checks (driver application and Safety Performance History) –Road testing –Physical qualifications –DQ file requirements

Drivers operating vehicles requiring a CDL to operate have additional qualification requirements including: –Entry-level driver and LCV, if applicable (Part 380) –Drug and alcohol testing (Part 382) –CDL licensing requirements (Part 383)

Before operating, a new hire truck driver: –Complete a DOT application –Road test (or equivalent), unless they have their CDL for longer than one year –Driver must have valid fed-med card –DQ file started & documenting the above –Provided a copy of the company drug and alcohol policy, and tested negative for drugs (if operating a vehicle requiring a CDL to operate)

Within 30 days of new hire: –Procure driving records from all states the driver was licensed in during the previous three years –Driver Investigation History File Commonly referred to as the “safety performance history inquiry” (completed within 30 days of hire)

Here is a sample DQF Checklist & Actual File

Required documents in a DQ file: 1.Driver’s Application For Employment(49 CFR ) (Application must contain all of the DOT elements outlined in and must be provided by the motor carrier to the driver.) 2.Inquiry To Previous Employers – 3 Years(49 CFR (A) (2) & (C)) (A motor carrier must investigate a driver’s safety performance history with previous employers (in which they drove a commercial motor vehicle) for the preceding three years. The investigation must be completed within 30 days from the driver’s hire date.) 3.Inquiry To State Agencies – 3 Years (49 CFR (A) (1) & (B)) (Employer must request and receive the employee’s driving record for the preceding three (3) years from the appropriate state agency within 30 days from hire date.) 4.Inquiry To State Agencies – Annual (49 CFR (A) (A motor carrier is required to review the driving record of each driver at least once every 12 months to ensure they continue to meet minimum safe driving requirements.)

5.Annual Review Of Driving Record (49 CFR (C)) (Document the results of this review.) 6.Annual Driver’s Certification Of Violations (49 CFR ) (Each year a driver must provide his/her employer a list of any convictions to motor vehicle traffic laws and ordinances (except parking violations) and/or any violations in which the driver forfeited bond or collateral during the previous 12 months. Otherwise, the driver must certify in writing that no violations were received.) 7.Driver’s Road Test Certificate or Equivalent*(49 CFR ) (New Commercial Motor Vehicle drivers must successfully complete a road test and receive a certificate. Employers must retain the original Certificate of Driver’s Road Test in the driver’s qualification file. If the driver possesses a valid CDL, a road test or written test is not required. A copy of the commercial driver’s license will satisfy this requirement. A best practice is to road test a driver even though they have a CDL to identify drivers with poor driving skills. A road test must be administered for drivers applying to drive vehicles requiring a tank or double/triple endorsement.) 8.Medical Examiner’s Certificate* (49 CFR ) (All commercial drivers are required to have a physical examination conducted by a qualified medical, listed on the National Registry Of Certified Medical Examiners. The exam occurs at least once every 24 months.) The Mothers Day Crash of May 9 th, 1999 caused the death of 22 people including the driver. 9.Multiple-Employer Drivers (49 CFR ) (It is the intention of and to require that a driver, before entering the status of an intermittent, casual, or occasional driver, be fully qualified by a motor carrier. In contractual driver leasing services, the motor carrier may designate the leasing service as their agent but they are not absolved from liability committed by the agent.)

If privacy provisions are met, “can” also be placed in DQ file: –Driver Investigation History File , “safety performance history ” –Drug and alcohol policy receipt and testing paperwork (CDL drivers only)

Maintenance and Retention, Annually (but must be within 12 months of the last one) –The driver must complete and submit a “Certificate of Violations” –The company must get a driving record from each states the driver was licensed in during the previous 12 months –The company must review each driver’s performance and document the review

Can be removed after one year (if kept in DQ file): –Documentation pertaining to drug and alcohol tests with a negative result Can be removed after three years of execution: –Annual review paperwork (Certificate of Violations, annual MVRs, and documentation of the annual review) –Copies of fed-med cards and physical waivers

Can be removed after five years of execution: –Positive Drug & Alcohol Test paperwork DQ file is to be kept for three years after driver separation or termination –Can still purge annual review and fed-meds as they reach three years

“Hiring” new truck driver common DQF issues: –Failing to obtain negative pre-employment results on file before allowing the driver to operate –Failing to start a DQ file for all drivers –Failing to document or conduct a Safety Performance History –Allowing a driver to operate a CMV without having a valid fed- med card and MVR in the DQ file –Not using a DOT employment application –Hiring and using a disqualified or unqualified driver –Failing to inquire and document past driver employment

“Keeping” DQFs current common issues: –Failing to perform annual driver reviews done within one year (Certificate of Violations, MVRs and actual review) –Allowing a driver to operate a CMV who has an expired or suspended license (poor annual reviews) –No valid fed-med in DQ file –Failing to identify a truck driver that is no longer qualified to operate

Risks of no or improperly maintained DQF  Regulatory Compliance  Decreased Safety  Litigation & Runaway Verdicts  Financial Ruin  Increased Underwriting Risks/Acuity Grading