1The Complete Driver Qualification Handbook: Managing Files

Your Step-by-Step Guide to Complying with

Regulation Part 391 Managing Your Files

The Complete Driver Qualification Handbook

1The Complete Driver Qualification Handbook: Managing Files

Contents

Introduction 2

Required File Management 8

Reducing Risk 14

The Driver Qualification File (DQF) 3

Safety Performance History 4

What is Regulation Part 391? 5

Are Your Files Secure 6

Medical Certificate 9

Varience Renewals 10

Medical Certificate Violations 10

License Expiration Dates 11

Annual Driving Records 12

Annual Review of Driving Violations 13

MVR Monitoring 15

2The Complete Driver Qualification Handbook: Managing Files

IntroductionThis ebook is part of a two-part series on creating and

managing driver files that are compliant with Regulation

Part 391. In the companion piece, we walked you through

the file creation process, which includes having new

drivers complete a DOT-compliant application, verifying

their qualifications and completing the required back-

ground check process.

3The Complete Driver Qualification Handbook: Managing Files

The information obtained through these steps is then compiled into two separate files as follows:

The Driver Qualification File (DQF)

1. DOT-Compliant Application

2. A Motor Vehicle Report for every state the driver held a CDL or permit in the past three years

3. A road test certificate or photocopy of the driver’s CDL

4. A valid Medical Examiner’s Certificate

5. Verification that the medical examiner used is on the registry

6. A Skill Performance Evaluation Certificate

SKILL PERFORMANCE EVALUATION

CERTIFICATE APPLICATON

MEDICAL EXAMINER’S NATIONAL

REGISTRY VERIFICATION

MEDICAL EXAMINATION REPORT

CERTIFICATE OF ROAD TEST

MOTOR VEHICLE REPORT (MVR)

DQF

4The Complete Driver Qualification Handbook: Managing Files

Safety Performance History

1. A copy of the driver’s written authorization to contact previous employers about their alcohol and controlled substances history

2. A copy of all responses received from previous DOT-regulated employers, or your record of attempts to contact them

When your files are complete, there will be steps you’ll need to take on an ongoing basis to ensure they stay compliant with Regulation Part 391. With reports to gather and expiration dates to watch, this process requires a high level of organization – especially for larger fleets with many drivers to manage.

If you haven’t read the other part of this series yet, you can download your free copy here. Then, once you’ve verified that your files are complete and compliant, you can use the information in the pages that follow to manage your files on an ongoing basis.

SPH

DRIVER’S WRITTEN AUTHORIZATION

TO RELEASE INFORMATION

RECORD OF PREVIOUS

EMPLOYERS CONTACTED

5The Complete Driver Qualification Handbook: Managing Files

What is Regulation Part 391?

Regulation Part 391 helps ensure that all federally-regulated motor carriers are qualified to be on our nation’s roadways –in terms of their physical health, professional experience and motor vehicle record. These regulations apply to any carrier, no matter how many drivers they employ, that operates a vehicle involved in interstate commerce that:

• Weighs at least 10,001 pounds

• Carries more than 9 passengers

• Transports materials deemed hazardous under the Hazardous Materials Transportation Act

If you are an owner operator, you must serve as both the boss and an employee for your busi-ness. This means that you must perform the duties of a carrier by keeping detailed records on your drivers and doing follow-up screenings and regular tests as required. You must also follow all the same rules for yourself as a driver.

6The Complete Driver Qualification Handbook: Managing Files

Files must be kept for the duration of a driver’s employment with your company,

plus three years thereafter

7The Complete Driver Qualification Handbook: Managing Files

Are Your Files Secure?

Due to the sensitive information that is contained in the Safety Performance History file, it must be kept in a secure location where only those who are involved in the employment deci-sion can access it. If you prefer, you can keep the Driver Qualification File with it so that each driver’s information is in the same spot and easy to access.

Failure to protect the security of the files can lead to fines from the FMCSA.

At Foley, our answer to file security is our driver file portal, which keeps all of your drivers’ information in a secure, online account. You’ll find more information about our portal at the end of this ebook.

8The Complete Driver Qualification Handbook: Managing Files

Required File Management

9The Complete Driver Qualification Handbook: Managing Files

To maintain files that are compliant with Regulation Part 391, there are a few key

items you must track and update for the duration of each driver’s employment.

Medical Certificates

All drivers must have a DOT medical evaluation at least once every 24 months (or as often as the medical examiner deems necessary) to ensure they are physically able to drive a commercial motor vehicle. Once this physical is complete, the updated medical certificate must be kept in the Driver Qualification File.

Conditions that require more frequent medical examinations include hypertension, heart disease, diabetes and sleep apnea.

MEDICAL EXAMINATION REPORT

24months

10The Complete Driver Qualification Handbook: Managing Files

Variance Renewals

If your driver has a physical impairment that affects their ability to operate a commercial motor vehicle safely, they must have a state-issued “variance” that must be carried with them whenever they’re driving a CMV. If a driver has impaired or missing limbs, they must have a special type of variance, known as a Skill Performance Evaluation (SPE).

All variances (including SPEs) need to be renewed periodically and expiration dates must be tracked right along with the driver’s medical certificate.

Medical Certificate Violations

In 2017, over 70,000 drivers were cited for not having a valid medical certificate during roadside inspections – making

it one of the most common driver violations that year. Based on data from 2015 (the most recent year it’s available),

To prevent hefty fines or out-of-service orders, it’s important to keep a close eye on medical certificate and variance expiration dates to ensure that drivers have enough time to schedule and have a medical evaluation or submit their variance application before their certificate expires.

a single violation for a missing, altered or

falsified medical certificate often exceeds $2,000.

11The Complete Driver Qualification Handbook: Managing Files

License Expiration Dates

In order to legally operate a motor vehicle, drivers must have a valid license and all required endorsements and/or classes must be active. It is important to track expiration dates carefully to ensure that no one with an expired license gets behind the wheel.

How long a CDL is valid will depend on where it was issued, with each state having its own licensing laws. In Connecticut, for example, CDLs must be renewed every 4 years. In Ohio, CDLs are renewed every 8 years.

Expired CDL Violations

In 2017, driving with an expired CDL was one of the top violations, amounting in fines of approximately $2,000 per occurrence. Unsurprisingly, it also results in the most out-of-service orders, with 98% of drivers being taken off the road because of an expired CDL.

COMMERCIAL DRIVER LICENSE

4years *

* varies from state to state

12The Complete Driver Qualification Handbook: Managing Files

Annual Driving Records

Every year, you must obtain an updated Motor Vehicle Report (MVR) for each driver to ensure they are qualified to drive a commercial motor vehicle. This MVR will show a record of all mov-ing violations, accidents and license suspensions and revocations. During this process, you must consider the following:

• Did the driver violate any hazardous materials regulations?

• Did the driver violate any motor vehicle laws that show a general disregard for public safety? This may include drug and alcohol violations, speeding or reckless driving.

This annual MVR must be placed in the Driver Qualification File along with a note showing the name of the person who performed the annual review and the date the review occurred.

12months

MOTOR VEHICLE REPORT (MVR)

13The Complete Driver Qualification Handbook: Managing Files

CERTIFICATE OF VIOLATIONS/ANNUAL REVIEW OF DRIVING RECORD

Annual Review of Driving Violations

Drivers are required to submit an annual list of moving violations to you. This list should include all violations (with the exception of parking) that occurred in the past 12 months. If there were no violations in the past 12 months, the driver must certify that no violations exist.

Prior to beginning the annual review, you must provide the driver with a Driver’s Certification for them to fill out.

Once the review is complete, it should be kept on record with the updated MVR in the Driver Qualification File.

12months

14The Complete Driver Qualification Handbook: Managing Files

Reducing Risk

15The Complete Driver Qualification Handbook: Managing Files

MVR Monitoring

Although employers are only required to run an MVR annually, it has become standard practice to keep close tabs on their drivers’ MVRs throughout the year. Imagine, for example, that a driver receives a license suspension or a DUI soon after the annual report is run. Unless he comes clean and volunteers the information, you’ll be in the dark for the next year.

Enrolling each employee in an MVR Monitoring program solves this problem by providing you with new information as it becomes available. This program continuously monitors each employee’s record and pulls an updated report as soon as new information is detected. In some states, this process occurs immediately - while in others, information is updated monthly.

In terms of helping you manage the requirements of regulation Part 391, MVR Monitoring also keeps you up to date on the status of each driver’s medical certificate so that you’ll know when it’s been updated. It also fulfills your annual requirement to run an updated MVR on each driver you employ.

16The Complete Driver Qualification Handbook: Managing Files

DRIVER COMPLIANCE PORTALOur driver compliance web tool will help you hire faster, automate your compliance

and maintain a safe fleet by managing many of the paper processes you’re responsible

for today.

Within our secure portal, you can:

• Kick off the hiring process with an electronic DOT-compliant application

• Run FMCSA & FCRA-compliant background screens to comply with

federal hiring requirements

• Automatically create a compliant file for every driver

• Keep track of document expiration and due dates through timely

compliance alerts

• Automatically process and comply with annual MVR requirements

Want more information about your drivers’ over-the-road habits? Our MVR Monitoring

program constantly monitors the driving record of each employee and sends you

information about motor vehicle accidents, moving violations, license suspensions

and other high-risk behaviors.

To learn more, click here or call 860.815.0764.