Driver Qualification Files: What Small Carriers Need to Keep

Hiring a driver is not finished when you hand them the keys. A carrier needs to know the driver is qualified—and be able to document it.

For small fleets, driver qualification files—or DQ files—become especially important as the company moves from one owner operating one truck to employing additional drivers.

FMCSA's Motor Carrier Safety Planner explains that motor carriers must maintain a qualification file for each employed driver, subject to the applicable rules and exceptions.

Owner-Operators Should Pay Attention Too

“Driver qualification file” can sound like something that only applies to large fleets with an HR department. It does not. FMCSA's Safety Planner explains that the driver application requirement includes drivers such as owner-operators and mechanics who operate vehicles on public roads when the applicable Part 391 requirements apply.

Driver's Application for Employment

Under 49 CFR §391.21, a driver subject to the requirement must complete and sign an application for employment containing the required information.

FMCSA's Safety Planner explains that non-CDL drivers generally list applicable employment history for the preceding three years. CDL drivers must provide that history and additional information regarding employers for whom they operated a CMV during the preceding 10 years.

Motor Vehicle Records

Carriers also have responsibilities involving the driver's motor vehicle record, or MVR. FMCSA explains that carriers must make the required inquiry to the appropriate State driver licensing agencies and place the resulting MVR in the qualification file.

The MVR obtained in connection with the initial inquiry generally must be placed in the driver's qualification file within 30 days after employment begins. When a required State response is not received, carriers should follow the applicable documentation requirements for their good-faith effort to obtain the information.

The Driving Record Is Not a One-Time Check

A clean driving record when somebody is hired does not mean the carrier can forget about it forever. Under §391.25, motor carriers must make the required annual inquiry and review of the driver's driving record.

The review helps the carrier evaluate whether the driver continues to satisfy applicable minimum safe-driving requirements and whether disqualifying offenses are present. FMCSA's Safety Planner states that the reviewer must place a note in the qualification file identifying the reviewer and date of review.

Road Test Documentation or an Applicable Equivalent

Driver qualification can also involve documentation of the driver's ability to operate the commercial motor vehicle. FMCSA's Safety Planner identifies the Driver's Road Test Certificate or Equivalent among the Part 391 driver-qualification documents.

Depending on the circumstances and applicable regulations, carriers need to determine whether a road test is required or whether an allowed equivalent satisfies the requirement. Possessing a driver's license does not automatically resolve every Part 391 qualification requirement.

Medical Qualification

Medical qualification is another important part of driver compliance. Depending on the operation and driver, applicable medical qualification documentation needs to be addressed as part of the carrier's qualification process.

Because medical-certification procedures and documentation can differ depending on CDL status and how State licensing records are used, carriers should follow the current requirements applicable to their drivers rather than relying on an old checklist.

Previous Employer and Safety Performance Information

Driver qualification can also require inquiries involving a driver's previous employment and safety performance history. FMCSA's forms library includes safety-performance-history resources among the Part 391 driver-qualification materials.

The specific inquiry and retention requirements should be handled according to the applicable regulation. This is a regulated qualification process, not simply an informal reference check.

Not Everything Stays in the File Forever

Driver qualification records do not all necessarily have the same retention period. Under §391.51, some documents are generally maintained for the duration of the driver's employment plus three years afterward, while certain other records have shorter prescribed retention periods.

Keep Sensitive Driver Information Protected

A DQ file can contain significant personal information. Driver identification information, licensing information, employment history, driving records, and medical-related documentation should not be treated like ordinary paperwork.

Access should be limited appropriately, and carriers should use reasonable administrative and technical safeguards for electronic records.

Your File Needs to Be Retrievable

Having records somewhere is not enough if nobody can find them. FMCSA guidance states that driver qualification files must be produced on demand and warns that failing to produce complete files during a review or within the allowed timeframe can constitute a recordkeeping violation.

When another driver is hired, create another qualification file. Professional organization scales much better than combining everyone's records into one folder.

The DQ Driver Qualification Check

A Qualified Driver Needs a Qualified File

Small carriers often grow one truck and one driver at a time. That is exactly why the compliance system should grow with the company.

Do not wait until five drivers are operating under the authority to figure out where everybody's qualification records belong. Build the system with driver number one. Then driver number two fits into an established process.