U.S. Department of Transportation Driver Qualification File Guidance Introduction One of the primary responsibilities of any fleet operation is to provide safe and regulatory compliant operation of its vehicles and drivers in the course of business operations. A major component of this responsibility is compliance with rules surrounding Qualification of Drivers and Maintenance of Required Records. This document will serve to provide Regulatory Requirements in these areas along with Best Practice Guidance. The U.S. Department of Transportation (DOT) is responsible for regulation of Transportation Safety. An agency within DOT, the Federal Motor Carrier Safety Administration (FMCSA) is charged with the development of rules, administration of programs, and enforcement of applicable regulations surrounding Commercial Motor Vehicle (CMV) operation, which involves Interstate commerce. This document will deal with specific sections contained within U.S.C. Title 49, commonly referred to as the "Federal Motor Carrier Safety Regulations" which deal with Driver Qualifications and Required Records for same.

Application While Federal Regulations are limited to operations, which involve Interstate commerce, may fleets conduct operations, in whole or large part, within individual states (Intrastate commerce). Fleet operations, which solely involve Intrastate operation, are not governed by FMCSA regulations. As a matter of practice, most states have adopted Federal Regulations and require compliance with same as a matter of State Law. An additional qualifier is the latitude exercised by states surrounding additions and or exemptions to Federal Regulations relating to Intrastate commerce. States are also at liberty to create more stringent regulations for both Interstate and Intrastate commerce. However, states may not diminish regulations, which involve Interstate commerce within their respective states. It is therefore, Best Practice Guidance to become familiar with State Law in all operating jurisdictions. As an aid in maintaining compliance with regulations surrounding Qualification of Drivers and Required Content of Driver Qualification Files, information detailing Regulatory Requirements and Best Practice Guidance is provided within this document. An example of items required to be contained within Drivers Qualification Files, in the form of a "DQ File Checklist" is also provided. Please note that this information pertains to Interstate Operations governed by FMCSA only. Note the above mentioned exceptions and cautions relative to Intrastate operation and State Law. General Driver Qualifications All drivers of CMV's must comply with the following basic requirements: 1. Be at least 21 years of age 2. Safely operate the type of CMV for which application is made by virtue of experience and or training 3. Be physically qualified to drive a CMV in accordance with 391 Subpart E 4. Posses a currently valid commercial motor vehicle operators license, appropriate to the CMV to be operated, issued only by one state or jurisdiction. 5. Present to the employing motor carrier a listing of all moving violations or certificate as required by 391.27 6. Is not disqualified to drive a CMV under the rules in 391.15 7. Successfully complete a driver's road test and been certified under rule 391.31 or 391.33 8. Complete or present certification of Entry-Level Driver Training

Driver Qualification File Content Detailed files must be maintained on all drivers of CMV's by the employing motor carrier. These files should contain items pursuant to employment and recurring certifications of time limited documents. Within the sections below, required documentation (Regulatory Requirements) along with procedural overviews are provided including associated applicable regulatory reference. Additionally (Best Practice Guidance) is provided as appropriate. 1. Application for Employment: All drivers of CMV's must complete and present to the motor carrier a detailed application containing information on the applicant, his/her past employment history, date of birth, motor vehicle driving record, past accident involvement details, information on all unexpired CMV operators license issued by any state, the nature and extent of all CMV driving experience, details on any suspension or revocation of any driving privilege, and certification that the application was completed by the applicant. The record must be made part of the DQ file. Details of this Regulatory Requirement can be found in section 391.21. Best Practice Guidance is to review the contents of all applications with the applicant and require completion and or explanation of any incomplete or questionable areas. 2. Background Investigation and Inquiries: Inquiries into applicants work history for all employers regulated by DOT within the most recent 36-month period must be conducted. These investigations must include inquiry into the applicant's safety performance, accident involvement and results of actions pursuant to DOT required Drug/Alcohol Testing Programs over the most recent 24 month period. The record must be made part of the DQ file. Details of these Regulatory Requirements may be found within sections 391.23 and 391.53. It is Best Practice Guidance to investigate all past employment listed within the application. Additionally, gaps in employment should be verified by independently reliable sources for periods exceeding 30 days. While regulations allow required investigations to be conducted within 30 days of employment, such inquiries should be completed prior to allowing any operation of a CMV by the applicant. 3. Motor Vehicle Driving Record: Response from each state in which the applicant held a license or permit during the preceding 36 month period must be obtained and reviewed by the employing motor carrier. The record must be made part of the DQ file. Details of this Regulatory Requirement may be found within section 391.23a(1) & b. It is Best Practice Guidance to obtain and review all records prior to allowing any operation of a CMV by the applicant. The applicant should possess only one (1) commercial license, same being issued by the applicant's state of residence. Strict attention should be paid to patterns of moving violations, accident involvement, excessive speeding-following too close-lane change-traffic control device violations, and or suspension/revocation convictions within the records. 4. Driving Road Tests: Prior to operating a CMV on behalf of the motor carrier, the applicant must be administered a driving road test. The test must include observation by a competent person of the applicant's ability to operate the CMV in traffic, along with turning, braking, backing, and parking maneuvers. The applicant must exhibit satisfactory ability to conduct pre-trip inspection requirements of the vehicles and couple/uncouple combination vehicles if the applicant will operate such vehicles. The test must be of sufficient duration so as to allow ample opportunity to observe the skill level of the applicant. The motor carrier must certify completion of the examination in a prescribed manner. Under certain conditions, the motor carrier may accept the applicants CDL in lieu of the requirements of a Driving Road Test. The record must be made part of the DQ file. Details of these Regulatory Requirements may be found within section 391.31 and 391.33 respectfully. . It is Best Practice Guidance to require road test examiners to complete specific training, which provides instruction on specific requirements of safe

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vehicle operation and inspection. Examiners should also receive instructions as to how to conduct the evaluations from the motor carrier along with designated route instructions. In no event can the Road Test be conducted in conjunction with the work process of the motor carrier. The test should be administered in a similar vehicle as which the applicant is expected to operate. Finally, the examiner should conduct a close out evaluation review with the applicant and report the findings to the motor carrier. 5. Drug & Alcohol Testing Program: A copy of the motor carriers program for Drug & Alcohol Testing must be made available to the applicant and all existing drivers. The program must be compliant with FMCSA regulations. Receipt and understanding of the program must be provided to the motor carrier by the applicant and all drivers. Details of this Regulatory Requirement may be found within section 382.601. . It is Best Practice Guidance to provide a copy of the program to the applicant and all drivers, explain its contents in detail, and obtain written confirmation of the applicant and drivers understanding prior to administering any testing under the program. If the motor carrier maintains a "Non DOT Testing Program" great care should be taken to keep testing, forms, results, and policies separate from the DOT Program. 6. Pre-Employment Drug Testing: All applicants for driving positions must complete a preemployment drug screen prior to operation of a CMV on behalf of the motor carrier. No driving work can be performed before a "Negative" test result is obtained by the motor carrier. If the test results are maintained within the DQ file, a means of maintaining the confidentially of the results must be present. Details of this Regulatory Requirement may be found within section 382.301. It is Best Practice Guidance to provide a copy of the test results within the DQ file secured in a confidential manner. 7. Physical Examinations: Before performing work on behalf of the motor carrier, all drivers must possess a valid physical examination conducted under detailed and specific processes established by FMCSA. Prescribed forms must be used and examiners must review and test a wide variety of functions and conditions of the driver. The motor carrier is responsible for ensuring the validity of all examinations in its possession. Provisions are in place for waivers of certain standards, under certain conditions. Examinations are generally valid for a two (2) year period but may be reduced in duration as a result of certain physical conditions. The record must be made part of the DQ file. Details of this Regulatory Requirement may be found within Part 391 Subpart E. It is Best Practice Guidance to require applicants and existing drivers to obtain examinations from an examiner who has been pre screened by the motor carrier. As the authenticity and accuracy of any examination form accepted by the motor carrier becomes the responsibility of the motor carrier, it is prudent to maintain strict control over the who may provide of such examinations. 8. Commercial Drivers License: A current copy of the applicants and drivers CDL must be maintained within the DQ file. The license must be issued by the state of residence and be appropriate in class and endorsement for the vehicles operated. Details of this Regulatory Requirement may be found within section 391.11b (5). It is Best Practice Guidance to maintain copies of both front and back of all licenses and ensure that the photocopy is of sufficient quality to be legible. 9. Evidence of Safety Training: Regulations require that all drivers be familiar with the regulations contained within U.S.C. Title 49 commonly referred to as the "Federal Motor Carrier Safety Regulations" (FMCSR). No prescribed training method to accomplish this requirement is specified. Responsibility for this requirement rests with the motor carrier. The record must be made part of the DQ file. . Details of this Regulatory Requirement may be found within Part 392. . It is Best Practice Guidance to provide all drivers with copies of the FMCSR for study and review. This practice has been universally accepted by FMCSA as sufficient compliance with the regulations.

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10. Entry Level Driver Training: All drivers are required to receive training under this rule with required certification by the motor carrier. All drivers with less than one (1) year of commercial driving experience are required to complete training, which must be provided by the motor carrier surrounding four (4) topics including: (a) Driver Qualification-Medical Examinations-Drug/Alcohol Testing, (b) Hours of Service for Drivers, (c) Driver Wellness, and (d) Whistleblower Protection. Drivers with more that one (1) year of experience as outlined above may be "Grandfathered" into compliance if certain safety performance standards are met by the driver. Drivers who do not meet the safety performance standards must receive the specified training. The training curriculum, length or method of transmission is not specified within the regulations. However, specific information and verbiage must be included within the training certification form and the form used to "Grandfather" certain drivers. The certifications must be maintained within the DQ file. Details of this Regulatory Requirement may be found within Part 380 Subpart E. It is Best Practice Guidance to develop a specific, written, and compliant training program. All driving personnel should be provided this training at the appropriate time. 11. Record of Violations: At least annually, all drivers must provide the motor carrier with a listing of all convictions or bond forfeitures for moving violations, which occurred over the preceding 12 month period. If no violations have occurred, the driver must indicate same in conjunction with the required reporting. The driver must certify the authenticity of all provided information. This information must be maintained in a form compliant to the regulations by the motor carrier. The record must be made part of the DQ file. Details of this Regulatory Requirement may be found within Part 391.27. It is Best Practice Guidance to require more frequent (quarterly or bi-annual) compliance with this regulation in order to ensure that reporting time limits are not exceeded and information for evaluation is more current.

12. Annual Review: At least annually, the motor carrier must investigate the driving record of every driver. In addition to obtaining and reviewing the state reported driving record, the driver's compliance with all rules contained within the FMCSR, and any accident involvement must be reviewed. Strict attention and consideration must be given to this information in determining whether or not the driver meets minimum requirements for safe driving or is disqualified to drive a CMV pursuant to Part 391.15. The motor carrier's certification of this review must be maintained within the drivers DQ file in the prescribed manner. Details of this Regulatory Requirement may be found within Part 391.25. It is Best Practice Guidance to conduct this review in conjunction with any Record of Violation review. The review should also be conducted upon discovery of any significant safety related event involving operation of a motor vehicle by the driver.

Record Retention requirements for all required contents of the Driver's Qualification File may be found by referencing the noted Regulatory Requirement sections above and by review of Part 391 Subpart F

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Driver's Qualification File Check List Drivers Name:_______________________

Date of Birth:_______________

Date of Hire:________________________

In review of the above-noted drivers Qualification File, all documents noted below by X are contained within the file. Reviewed by:_________________________

DOCUMENT

PRESENT

Date:_________________

COMMENTS

1. Application for Employment

___

_________________________

2. MVR

___

_________________________

3. Road Test

___

_________________________

4. Drug & Alcohol Program Cert.

___

_________________________

5. Pre Emp. D/S Results

___

_________________________

6. Physical Examination Cert.

___

_________________________

7. Copy of License

___

_________________________

8. Evidence of Safety Training

___

_________________________

9. Entry Level Driver Training

___

_________________________

10. Record of Violations

___

_________________________

11. Annual Review

___

_________________________

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