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Driver Qualification and Safety Performance History Files Title 49 CFR, Part 391
Department of Transportation, DOT, regulations require that motor carriers maintain two files for each commercial motor vehicle, CMV, driver they employ, a Driver Qualification File and a Safety Performance History File. This requirement also applies to self-employed owner operators who must maintain the same files on themselves.
This Regulation Applies To:
· Drivers who hold a Commercial Drivers License, CDL
· Drivers who drive CMVs in Interstate Commerce
· Drivers carrying Hazardous Materials in quantities requiring placarding
This Regulation Does Not Apply To:
· Exempted custom farming operations
· Exempted apiarian (bee keeping) operations
· Governmental operations
Definitions:
· A Commercial Motor Vehicle for the purposes of this section is defined as:
· Any self-propelled or towed vehicle used on a highway meeting any of the following criteria:
· Has a Gross or Combination Vehicle Weight of 10,001 pounds or more
· Is used to transport more than 8 passengers (including the driver) for hire
· Is used to transport more than 15 passengers (including the driver) not for hire
· Is used to transport hazardous materials requiring placarding
· Interstate Commerce is defined as trade, traffic or transportation occurring:
· Between a State and a place outside that State
· Between two places within a State through another State
· Between two places within a State as part of trade, traffic, or transportation beginning or ending outside the State
Driver Qualifications:
· In order to drive a CMV a person must meet the following qualifications:
· Be in good health and able to perform the duties of a driver
· Be 21 years of age
· Be able to speak and read English
· Be able to safely operate the vehicle
· Be able to safely load, secure, and transport cargo
· Have a currently valid CDL from one State only
· Passed a road test or equivalent
· Furnished an employer with a list of violations occurring in the past 12 months
· Completed a qualifying application
· Possess a valid medical certificate
Driver Disqualification’s:
· A person is disqualified from driving a CMV if:
· The driver’s license or permit has been revoked, suspended, withdrawn or denied
· They are medically disqualified from driving a CMV
· They have been convicted or forfeited bond upon a charge of:
· Driving a CMV under the influence of alcohol
· Driving a CMV under the influence of a disqualifying drug or controlled substance
· Transporting a disqualifying drug or controlled substance while on duty
· Leaving the scene of an accident while operating a CMV
· Commission of a felony using a CMV
· Using a CMV to violate an out-of-service order
The DQF File
· The driver qualification file must be maintained as long as the driver is employed and 3 years thereafter
· The driver qualification file must include:
· An employment application
· A copy of the driver’s medical certificate
· The Road test certificate or equivalent
· The State driving record inquiry
· Inquiries to previous employers
· Driver’s annual certification of violations
· Annual State DMV violations inquiry
· Annual employer review of driver’s record
Driver’s Rights
· Prior to accepting an employment application a driver must be provided in writing a list of rights regarding the required background investigation. The list of rights must advise the driver of the following:
· The right to review information provided by previous employers
· The right to have errors in the information corrected and to have the corrected information resubmitted
· The right to have a rebuttal statement inserted in the file if a previous employer refuses to correct disputed information
The SPH File
· The safety performance history file must be kept confidential with access restricted to those involved in the hiring decision or who control access to the data
· The safety performance history file must include:
· The drivers written authorization permitting the motor carrier to obtain drug and alcohol history of the driver
· Responses or documentation of lack of response to investigation requests of previous employers
· Documentation if investigation not possible
· Information from previous DOT regulated employers about the driver’s drug and alcohol history
· Accident history from previous employers for the past 3 years
· Employment verification and general driver information
Employer Responsibilities
· Motor carriers must not permit a driver to drive if the investigation results are not back within 30 days of the date of hire. The driver may drive up until that point.
· Upon the driver’s written request to review information provided by previous employers, a motor carrier must provide that information within 5 business days.
· Motor carriers should report to the FMCSA any previous employer that has refused to provide required driver investigation information
· As a previous employer a motor carrier must:
· If a driver requests information be corrected, either correct and forward the corrected information or notify the driver within 15 days that you will not correct the information
· Upon the driver’s request, attach a rebuttal statement to any information you provide
· Forward a copy of the rebuttal statement to a prospective employer within 5 business days of receipt
· Respond to any prospective employer requests for information even if there is no information to report
Documentation Required for Special Circumstances
· Multiple Employer Drivers
· Motor carriers must obtain a copy of the drivers medical certificate and road test (or equivalent), as well as the driver’s name, social security number, driver’s license number, type and issuing State. Motor carrier must maintain this information for 3 years.
· Other Motor Carrier Drivers
· The non-regular employing motor carrier must obtain certificate from the regular employing motor carrier that includes: A signature and date of an officer of the regularly employing motor carrier, the driver’s name and signature, certification that the driver is regularly employed and qualified to drive a cmv, expiration date of the driver’s medical certificate, expiration date of the certifying certificate.
· The non-regular motor carrier must verify the validity of the certificate with the regular motor carrier.
· The non-regular motor carrier must retain the certificate for 3 years.
· Entry Level Drivers must be trained on and receive a qualifying certificate for:
· Driver qualification requirements
· Hours of service regulations
· Driver wellness
· Whistleblower protection
· LCV Drivers
· Motor carriers must have a driver training certificate for drivers operating LCVs.
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