Key definitions

• Knowing these definitions will help carriers navigate regulations.

Carrier: Also known as a “motor carrier,” this is a company that uses commercial motor vehicles while conducting business.

Certified Medical Examiner (CME): An individual certified by FMCSA and listed on the National Registry of Certified Medical Examiners in accordance with subpart D of this part.

Commercial driver’s license (CDL): A special classified license required for a driver that operates:

• A vehicle weighing, rated, or actual, 26,001 pounds or more;
• A combination of vehicles weighing or rated at 26,001 pounds or more, pulling a trailer with a rated or actual weight of 10,001 pounds or more;
• A vehicle required to be placarded for hazardous materials; or
• A passenger vehicle designed to seat 16 or more.

Commercial motor vehicle (390.5): Any self-propelled or towed motor vehicle used on a highway in interstate commerce to transport passengers or property when the vehicle—

(1) Has a gross vehicle weight rating or gross combination weight rating, or gross vehicle weight or gross combination weight, of 4,536 kg (10,001 pounds) or more, whichever is greater; or

(2) Is designed or used to transport more than 8 passengers (including the driver) for compensation; or

(3) Is designed or used to transport more than 15 passengers, including the driver, and is not used to transport passengers for compensation; or

(4) Is used in transporting material found by the Secretary of Transportation to be hazardous under 49 U.S.C. 5103 and transported in a quantity requiring placarding under regulations prescribed by the Secretary under 49 CFR, subtitle B, chapter I, subchapter C.

Driver qualifications: A list of minimum standards that all commercial drivers must meet.

Driver qualification file: A record of documents a carrier must maintain to prove that the driver meets the qualification requirements.

Gross combination weight rating (GCWR): The greater of:

• The value specified by the manufacturer of the power unit, as shown on the certification label; or
• The sum of the GVWRs or the GVWs of the power unit and the towed unit(s), or any combination of those that produces the highest value.
• Note that the GCWR of the power unit will not be used to define a CMV when the power unit is not towing another vehicle.

Gross vehicle weight rating (GVWR): The value specified by the manufacturer as the loaded weight of a single motor vehicle.

Highway: Any road, street, or way (whether on public or private property) that is “open to public travel,” meaning the road or way is:

• Available (except during scheduled periods, extreme weather, or emergency conditions) and passable by four-wheel standard passenger cars; and
• Open to the general public for use without restrictive gates, prohibitive signs, or regulation other than restrictions based on size, weight, or class of registration.

Interstate commerce: Trade, traffic, or transportation in the United States—

(1) Between a place in a State and a place outside of such State (including a place outside of the United States);

(2) Between two places in a State through another State or a place outside of the United States; or

(3) Between two places in a State as part of trade, traffic, or transportation originating or terminating outside the State or the United States.

Medical examiner's certificate (medical card) MCSA-5876: A certificate issued to drivers by the examiner after they pass a Federal Motor Carrier Safety Administration (FMCSA) physical exam.

Medical Examination Report (MER) MCSA-5875 (long form): The form on which the CME records the medical examination results and contains the driver's health history.

Motor vehicle report (MVR): A driver’s driving record showing license type, license status, past traffic convictions, and past accidents, available through the driver licensing authority the driver is, or was, licensed in.

• This is referred to by some states or licensing authorities as a “driver’s abstract.”

Motor vehicle: Any vehicle, machine, tractor, trailer, or semitrailer (or any combination of those) propelled or drawn by mechanical power and used on the highways in the transportation of passengers or property, including the vehicle itself.

• This does not include vehicles operated on rails, nor trolley buses powered by an overhead electrical wire.

Safety performance history (SPH): A detailed check of a driver-applicant’s past DOT-regulated employment.

Who is exempt?

• Some drivers may be exempt from FMCSRs.
• Motor carriers are responsible for compliance, including temporary or driver-leasing agency drivers.

Certain drivers and/or operations may be exempt from all or portions of the driver qualification rules in Part 391, in addition to those who are exempt from all Federal Motor Carrier Safety Regulations. The exemption may be based on:

• The type of vehicle being operated,
• The type of transportation being performed,
• The period of employment,
• The frequency of driving, or
• Other special circumstances.

Major exceptions

Section 390.3 describes the types of operations that are exempt from the Federal Motor Carrier Safety Regulations (FMCSRs):

• All school bus operations (home to school or school to home), as defined in 390.5;
• Transportation performed by the federal, state, or local government (but not including contractors doing work for the government);
• The occasional transportation of personal property by individuals when there is no compensation involved and the transportation is not business-related;
• The transportation of human corpses or sick and injured people;
• The operation of fire trucks and rescue vehicles while involved in emergency and related operations;
• The operation of commercial motor vehicles designed to transport between 9 and 15 passengers (including the driver), not for direct compensation (though, these operations are not completely exempt from the FMCSRs); and
• Drivers of vehicles used to respond to a pipeline emergency or used primarily to transport propane winter heating fuel, but only if the regulations prevent the driver from responding to an emergency situation requiring immediate response.
  • Under 390.38, drivers of pipeline welding trucks are also exempt from driver qualification requirements.

Refer to 390.5 for important definitions of many of the terms used above.

Drivers hired before January 1, 1971

A complete driver qualification (DQ) file is not needed for any currently employed driver who has been continuously employed as a driver since before January 1, 1971. Documents not specifically required are:

• Driver’s application for employment (391.21);
• Initial driving record/motor vehicle report (MVR) from driver licensing authority or authorities obtained at the time of hire (391.23);
• Previous employer information obtained on driver-applicants as required prior to October 29, 2004 (391.23); and
• Road test form and certificate (391.31(g)), or license or certification accepted in lieu of a road test (391.33).

Are temporary agency (temp) drivers exempt?

All Federal Motor Carrier Safety Administration (FMCSA)-regulated motor carriers must be aware of their responsibility when using temp drivers. A temp agency, or staffing service, can assist the motor carrier in creating, and even storing, contents of the DQ file. However, the carrier remains responsible to qualify the driver and create the DQ file.

If a driver is part of many motor carrier safety programs, especially if this type of employment occurred over a three-year period, the carrier is responsible for contacting all DOT-regulated former employers who used the temp driver during those three years.

For additional information on DOT drug and alcohol testing when using a driver from a staffing service, see DOT drug and alcohol testing.

What is the multiple-employer exception?

A multiple-employer driver is a driver who, in any period of seven consecutive days, is employed or used as a driver by more than one motor carrier. The regulations have two possible DQ file recordkeeping options for drivers who qualify.

A DQ file for a driver working for multiple carriers and employed under the rules in 391.63 must include:

• Medical exam certificate (original or copy (391.34 (h)) or driving record showing medical qualification status (when required), as well as documentation or any variances;
• Road test form and certificate (391.31 (g)), or license or certificate accepted in lieu of road test (391.33);
• Driver’s name and Social Security number; and
• Identification number, type, and issuing licensing authority of the motor vehicle operator’s license.

When a driver is furnished by another carrier, meaning the driver has a single (primary) employer, the secondary employer may use the exception in 391.65.

Under the terms of 391.65, the secondary employer does not have to create a DQ file if the primary employer certifies that the driver is fully qualified to drive a commercial motor vehicle in a written statement as prescribed in 391.65(a)(2)(vii).

The certificate is no longer valid if the driver leaves the employment of the motor carrier which issued the certificate or is no longer qualified under the rules in Part 391.

Driver application

• The basic content of driver applications is specified in 391.21, but the actual form is left to the company’s discretion.
• Although carriers may be tempted, they should avoid using driver applications for non-driver jobs.

The basic content of driver applications is specified in 391.21, though the actual form is left to the company’s discretion. A company can ask for more information than is required, but at a minimum, the application for employment must contain:

• Name and address of the employing motor carrier;
• Applicant’s name, address, date of birth, and Social Security number;
• Applicant’s address(es) for three years preceding date of application;
• Date of application;
• Issuing driver’s licensing authority, number, and expiration date of applicant’s operator’s license;
• Nature and extent of applicant’s experience operating motor vehicles;
• List of all motor vehicle accidents involving applicant during last three years;
• List of all violated motor vehicle laws and ordinances applicant was convicted of or forfeited bond or collateral for during the last three years;
• A statement detailing facts and circumstances of any denial, revocation, or suspension of any license, permit, or privilege to operate a motor vehicle issued to the applicant, or a statement that no such denial, revocation, or suspension has occurred;
• List of the names and addresses of applicant’s employers during the last three years, including dates of employment and reason(s) for leaving.
  • If applicants will operate a commercial motor vehicle (CMV) that has a gross vehicle weight rating (GVWR) of 26,001 pounds or more, is designed to carry more than 15 people, or is any size used to carry hazardous materials, they must also list employment for which they operated a CMV during the seven years preceding the three years mentioned above;
• For each previous employer listed on the application, an indication of:
  • Whether the applicant was subject to the FMCSRs while employed by that previous employer, and
  • Whether the job was designated as a safety-sensitive function subject to the drug and alcohol testing requirements of Part 40; and
• The certification statement that the information supplied is correct, and the applicant’s signature line and a date line.

Although not a required part of the application, the company must notify applicants prior to their submission of the application that the information supplied for previous employers may be used to contact them along with their due process rights to contest inaccurate or false information. The regulations provide for the inclusion of additional information requests as part of the applications, so the notification can be part of the application alongside other desired information.

HR concerns

The Federal Motor Carrier Safety Regulations (FMCSRs) lay out specific application requirements for hiring drivers, from when the application must be completed to the exact information that must be requested. By contrast, federal employment law says very little about non-driving job applications.

Carriers might be tempted to use the same application for everyone, but this is discouraged. Not only is much of the driving-related information irrelevant to non-driving positions, but some of the other fields, like date of birth, Social Security number, and address history, could put employers at risk for claims of discrimination.

New-hire MVR

• Within 30 days of the employment date, carriers must obtain MVRs from each driver licensing authority the driver held a license or permit in during the last three years.

Within 30 days of the date employment begins, the motor carrier must obtain a motor vehicle record (MVR) from each driver licensing authority in which the applicant held a motor vehicle operator’s license or permit during the last three years. Most states require that MVR requests be submitted on a prescribed state form, often available online, but the process may vary from state to state or by licensing authority.

For interstate drivers holding a commercial driver’s license (CDL) or a commercial learner’s permit (CLP), a current MVR may need to be on file before the applicant drives if the medical exam was more than 15 days prior to allowing the driver to operate a commercial motor vehicle.

The Commercial Driver’s License Information System (CDLIS) MVR serves as proof of medical certification and is used to verify that the driver is properly self-certified. Carriers should keep in mind that:

• If the driver recently received a new medical certificate, they can use a copy as proof of the driver’s medical certification for up to 15 days after the issue date.
  • By the end of the 15-day period, an MVR showing the driver’s current medical certification status must be on file.
• Any CDL/CLP holder whose MVR shows a medical certification status of “not certified” or shows no status at all must not drive any commercial motor vehicle (CMV), CDL or non-CDL vehicle, in interstate commerce.
• They must use the MVR to verify that the CDL/CLP driver is properly self-certified with the state or driver licensing authority.
  • A driver who is self-certified as an intrastate driver, for example, must change the self-certification before operating in interstate commerce.
• The MVR may also be used to obtain the National Registry number of the medical examiner, as well as from the medical card, so the carrier can verify that the examiner was listed on the registry at the time of the exam.

The original or a copy of the driving record, or documentation that a record does not exist, must be placed into the driver’s qualification file.

Carriers are required to keep initial MVR(s) for the duration of employment plus another three years, and while annual driving records obtained during employment can be discarded after three years, this initial record cannot.

Find more information about state or driver licensing authority MVR requests in 49 CFR 384.

Safety performance history (SPH)

• Carriers have many responsibilities when conducting a background check.
• Applicants can challenge the SPH if they find erroneous information.

Before starting an investigation, motor carriers must understand their responsibilities. For all drivers hired on or after October 30, 2004, this includes completing a safety performance history (SPH). When conducting a background check, prospective employers must:

• Notify applicants with Department of Transportation (DOT)-regulated employment within the past three years that they have the right to review and challenge information provided by previous employers.
• Contact each DOT-regulated employer who employed the driver during the preceding three years and request:
  • General employment data about the driver, and
  • Information about commercial motor vehicle (CMV) DOT accidents involving the driver.
• As of January 6, 2023, a pre-employment query in the Federal Motor Carrier Safety Administration (FMCSA) Drug and Alcohol Clearinghouse is the only means of obtaining information on violations under Part 382 and Part 40 for FMCSA-regulated employers;
• Keep a written record of each previous employer contacted, including the name and address, date of contact, and the information received about the driver;
• File the investigation results or show efforts to obtain the information within 30 days of employment;
• Provide identifying data about the driver, such as:
  • Name,
  • Date of birth, and
  • Social Security number; and
• Request basic employment information, including:
  • Starting and ending dates, and
  • Job responsibilities.

Previous employers must respond within 30 days, and the prior employers must keep a record of their response to the prospective employer for one year. Those who don’t respond risk being reported to the FMSCA.

For drivers hired before October 30, 2004, employers must have records of general employment verifications sent to all former employers for the three years prior to the application date or a record of a good faith effort.

Special circumstances

Applicants intending to operate a vehicle requiring a CDL must provide 10 years of employment history for which they operated a CMV. However, the prospective employer only needs to request the safety performance history (SPH) information from employer(s) for the past three years.

If applicants were not employed by a DOT-regulated employer during the preceding three years, documentation stating that no investigation was possible must be placed in the file.

If applicants have a CDL and were subject to DOT drug and alcohol testing over the past three years, the prospective employer must request this information from previous employers, even if the vehicle the applicants will drive will not require a CDL.

Accident information

For all accidents involving the driver during the three-year period preceding the date of the employment application, prospective employers must obtain the following information:

• Date of accident;
• City or town (or most near) and state or jurisdiction where the accident occurred;
• Driver name;
• Number of injuries;
• Number of fatalities; and
• Whether hazardous materials were released, other than fuel spilled from the tanks of motor vehicles involved in the accident.

Prospective employers must also request information about any other accidents the previous employer may wish to provide, though they are not required to provide additional information.

Can an applicant challenge the SPH?

If desired, applicants can request to review the information provided by previous employer(s) and contest the information as follows:

• A written request must be made to the prospective employer within 30 days after the date of hire or date that employment was denied.
• The information must be provided to applicants within five business days after the request is received (or within five days after receiving the information from previous employers, if it was not received by the time of the request).
• Applicants have 30 days to pick up the information.
• If applicants wish to contest the information, they must contact the previous employer and either request the correction or submit a rebuttal.
• Drivers can report any previous employers who refuse to correct erroneous information or include the driver’s rebuttal in information sent to other employers to the FMCSA.

Driver road test

• A road test is one of the major qualifications for drivers.
• Regulations do not specify who can administer a road test.

Section 391.11(b) states that drivers must be able to safely operate the motor vehicle assigned “by reason of training and/or experience” as one of the qualification requirements. Section 391.31 provides the employing carrier with the means for making this determination by requiring a driver to successfully complete a road test.

What needs to be included in the road test?

Road tests must be conducted using a motor vehicle of the type the driver is to be assigned, and as a minimum, the test must include:

• A pretrip inspection;
• Coupling and uncoupling a combination, if the driver may drive such equipment;
• Placing the vehicle in operation;
• Using the vehicle’s controls and emergency equipment;
• Driving in traffic and passing other vehicles;
• Turning;
• Braking, and slowing by means other than braking; and
• Backing and parking.

The motor carrier is required to rate the driver’s skill in each operation on a road test form, which will then be signed by the person giving the test.

Who can perform the road test?

The regulations do not specify a title or training for the individuals administering road tests. Carriers may use a person deemed competent, including:

• Someone within their organization (veteran driver, supervisor, etc.), or
• Someone outside of the operation who is a designated person.

A best practice is to use someone qualified to operate the vehicle because if the road test is unsuccessful, they can drive the vehicle back to the carrier.

Timing of the road test

Per FMCSA guidance, road tests can be given to driver-applicants without first testing for controlled substances or running the pre-employment query, but this may not be prudent. However, driver-applicants cannot perform safety-sensitive functions, such as:

• Delivering or picking up a trailer containing freight at a customer’s location, or
• Other forms of dispatch.

Carriers must obtain a verified negative controlled substance test result prior to a driver’s first dispatch to avoid violating the pre-employment drug testing regulations in 382.301, which could result in severe penalties and fines.

The exception for the Department of Transportation (DOT) pre-employment drug test does not apply to the pre-employment query of the commercial driver’s license (CDL) Drug and Alcohol Clearinghouse. Carriers must have a query report prior to allowing a CLP or CDL driver to operate a commercial motor vehicle (CMV) as defined in 383.5/382.107.

Upon successful completion of the road test, the person administering the test must complete a certificate of road test and give a copy to the driver. The original or a copy of the certificate must be placed in the driver qualification (DQ) file.

Equivalent of a road test

In lieu of a road test, the regulations allow a motor carrier to accept:

• A valid CDL issued by a licensing authority which requires a road test for the type of vehicle the driver is to be assigned; or
• A certificate of road test issued to the driver by a motor carrier during the preceding three years.

If employers intend to assign a vehicle necessitating the doubles/triples or tank vehicle endorsement on a CDL to a driver, they still must administer the road test in that type of vehicle and cannot use either exception.

Drivers using the Alternative Vision Standard in 391.44 to medically qualify for the first time, may not use the road test exception in 391.33.

If employers accept a previous road test certificate or CDL license in lieu of a road test, they must retain a legible copy in the DQ file.

Medical qualification (at hire)

• Physical exams must be performed for each CMV driver at least every two years.

To ensure that commercial motor vehicle (CMV) drivers are physically qualified to drive, physical examinations are mandatory. The exams must be repeated at least every two years, though medical examiners (MEs) can set a more frequent renewal cycle based on a driver’s medical condition.

Successful drivers will receive a Medical Examiner’s Certificate, also known as the wallet card or med card, which serves as proof that they are physically qualified.

At all times, drivers and the carriers they work for must be able to prove that they are physically qualified to drive, either through:

• The medical card, or
• A current driving record from the licensing authority (for commercial driver’s license (CDL) or commercial learner’s permit (CLP) drivers).

Physical qualifications

Drivers must be physically qualified to operate the commercial motor vehicles they’ve been assigned at all times. Because the Federal Motor Carrier Safety Administration (FMCSA) takes this requirement seriously, drivers must always carry:

• Proof of being medically qualified, or
• Have such information on their driving record for enforcement officers to access.

How are rehires handled?

• When drivers are rehired, some items from their original DQ or Driver Investigation History (DIH) files can be reused.
• Others must be recreated.

When drivers leave a company and are then rehired, there may be some items in their original driver qualification (DQ) or DIH file that can be reused despite being considered new hires by the Federal Motor Carrier Safety Administration (FMCSA). Items that can be recycled from the old files include:

• Road test/certificate, if completed less than three years ago (see 391.33(a)(2));
• Medical certificate, if still valid; and
• Information obtained from previous employers, if it pertains to the three years that precede the rehire date and the inquiries sent were in compliance with 391.23.
  • Carriers don’t have to redo previous employer checks if those checks comply with current rules.

Items that must be recreated include:

• A new application using the rehire date as the point of reference, as well as:
  • All employment while the driver was away;
  • Dates previously employed by the motor carrier and anyone else within the three years prior to rehire; and
  • Any violations, accidents, residences, etc. based on the rehire date;
• A motor vehicle record (MVR) requested to coincide with the rehire date;
  • See 391.23(b) to comply with this regulation; and
• Previous employer checks, or safety performance histories, requested on any employment during the absence, as well as existing investigations not done in compliance with regulation changes in 391.23 for all DOT-regulated employers for the three years prior to rehire.

Documents from drivers’ original DQ or DIH files that are not reused must be retained in the same manner as if they never returned to employment, or the same as when anyone leaves employment. The following items must be retained from the original file for three years from the termination date (391.51 and 391.53):

• Application;
• Original MVR;
• Road test/certificate, if unable to use in the rehire process; and
• Previous employer checks, if unable to use in the rehire process.

Annual motor vehicle record (MVR)

• At least every 12 months, carriers must request and review each driver’s MVR from any driver licensing authority from which the driver held a license in the past 12 months.
• Carriers can satisfy this requirement by enrolling their drivers in an employer notification system (ENS).
• Screenshots can sometimes be used.

At least every 12 months, motor carriers must request and review each driver’s motor vehicle record (MVR) from every driver licensing authority where the driver held a license or permit.

For commercial driver’s license (CDL) and commercial learner’s permit (CLP) drivers, a new driving record must be obtained every time they obtain a new medical certificate because the driving record serves as proof that the driver is medically certified. This may occur more often than annually, and a driving record obtained for this purpose can be used to satisfy the annual driving record requirement.

Employer notification systems (ENS)

Carriers can satisfy the requirement to obtain an annual driving record by enrolling their drivers in an employer notification system (ENS). These programs provide carriers, either directly or through a third party, with:

• A report for every driver licensing authority in which the driver held a commercial license or permit; and
• Information about license status, driving-related crashes, and convictions.

To comply with the annual-review requirement, review the following:

The annual MVR review must include the name of the reviewer, and if the ENS record includes that name, then no other documentation is required. The ENS records may be kept electronically if they contain all required elements and can be printed on demand.

Using screenshots for proof of medical certification

Federal Motor Carrier Safety Administration (FMCSA) policy allows carriers to use screenshots from a state’s driver licensing agency website to comply with the requirement of obtaining an MVR within 15 days of each new medical exam for a CDL/CLP driver if it shows the required medical certification information. Not all states offer electronic MVRs, however, and screenshots may not be used in place of:

• The initial MVR obtained within 30 days of hire (391.23), or
• The required annual MVR (391.25).

Annual list of violations (not required on and after May 9, 2022)

• Drivers were required to supply a list of all violations every 12 months through May 8, 2022 and prior. On and after May 9, 2022, the Annual List of Violations is not required as 391.27 is no longer in effect.

A driver’s employment application must still list all violations of motor vehicle laws or ordinances of which the applicant was convicted, or forfeited bond or collateral, during the preceding three-year period.

Prior to May 9, 2022, carriers were required to update this record at least every 12 months by requiring drivers to supply a list of all violations of motor vehicle traffic laws or ordinances for which they were convicted, or forfeited bond or collateral, during the preceding 12 months. This did not apply to parking violations. On and after May 9, 2022, carriers are not required to have drivers complete the annual list of violations.

The format of the list of violations or certification was not prescribed, and although the decision was left up to the carrier, the regulations contained a suggested form.

Even when drivers had no violations, the record must have been submitted to the carrier indicating this, and the list or certificate of violations must have been filed as part of the driver’s qualification file. Any List of Violations documents required May 8, 2022 and prior, must be retained in the driver’s qualification file for three years from the document date.

Drivers subject to the commercial driver’s licensing (CDL) rules in Part 383 must still notify their employer of such convictions within 30 days (383.31). These violations were not required to be reported again on the annual list.

Medical qualification (ongoing basis)

• Carriers must always keep a proof of a driver’s medical certification on file.

After a medical examination, drivers must carry the original certificate, and carriers must place a copy in the driver’s qualification file. Every time a driver receives a new certificate, carriers must verify that the examiner is listed on the National Registry of Certified Medical Examiners, and they must include a note in the driver’s file to show that the verification was done.

Commercial driver’s license (CDL) and commercial learner’s permit (CLP) drivers are only required to carry the certificate for 15 days following the exam, allowing time for the driver to submit the medical certificate to the state licensing agency and for the agency to enter it on the driver’s record. The employer must request a motor vehicle record showing this new exam within these same 15 days.

Beginning on June 23, 2025, the requirement to carry a medical card for up to 15 days after a DOT exam and to certify the exam with the licensing authority will not apply to CDL and CLP drivers. They must still be medically examined at least every 24 months, but they will no longer be issued medical certificates, and the examiner’s listing on the National Registry will no longer need to be verified. The employer would be expected to request an MVR within a short time following the exam.

In addition to the initial and routine follow-up physical examinations, drivers who suffer a physical or mental injury or disease which has impaired their ability to perform normal duties must have a physical examination and obtain a new medical examiner’s certificate, even if the existing certificate has not yet expired.

How long must records be kept?

• Records must be made available to DOT auditors within 48 hours of a request.

Driver qualification (DQ) files must be kept for the duration of the driver’s employment, plus three years afterwards. Records may be kept at the main office or at a regional or local location, but must be made available to a Federal Motor Carrier Safety Administration (FMCSA) auditor at the main office or other location within 48 hours after an official request has been made.

Carriers may remove certain outdated materials from the DQ file, such as materials that must be reviewed or updated periodically. Items that may be removed from the file after three years from the date they were created include:

• Medical examiner’s certificate or, for CDL drivers, any driving record obtained to verify medical qualification status;
• Verification notes for the medical examiner being listed in the National Registry;
• Annual driving records obtained from the driver licensing authority(s);
• Annual driving record review notes;
• The driver-supplied annual list of violations (required May 8, 2022 and prior); and
• Documentation of any medical variance.

Driving investigation history (DIH) storage requirements

• Prospective employers must keep a confidential DIH file for all new or prospective drivers.

For one year, previous employers must keep:

• A record of each request received from prospective employers;
• A record of any response sent, including:
  • The date;
  • The party to whom it was released; and
  • A summary identifying what was provided.
• Requests for correction of erroneous information and rebuttals received from former employees.

Prospective employers must keep a confidential driver investigation history (DIH) file containing all records related to the investigation into the safety performance history (SPH) of a new or prospective driver. At a minimum, this includes:

• A copy of drivers’ written authorization for the carrier to seek information about their drug and alcohol history (for FMCSA-regulated employment prior to January 6, 2023 and all other verifications of violations under non-FMCSA DOT agencies);
• A copy of the response(s) received from each previous employer, or documentation of “good faith efforts” to contact them. This must be in writing, and the record must include:
  • The previous employer’s name and address;
  • The date the previous employer was contacted; and
  • The information received about the driver from the previous employer; and
• Documentation of failures to contact a previous employer, or of them to provide the required SPH information.

The DIH file must be maintained in a secure location with controlled access. Employers must take all precautions reasonably necessary to protect the driver SPH records from disclosure to unauthorized people. Access must be limited to those directly involved in the hiring decision or who otherwise control access to the information. DIH file information must only be used in the hiring decision.

SPHs must be retained for the duration of employment and for three years afterwards. If the driver is not hired, the Federal Motor Carrier Safety Administration (FMCSA) does not require retention of the documents. However, employment law requires retaining vetting tools for typically one year.

Electronic storage

• There are requirements copies must meet to be used in place of original records.

To be acceptable in place of original records, copies must meet the following minimum requirements:

• They must be available to a Federal Motor Carrier Safety Administration (FMCSA) representative within 48 hours.
• There must be suitable means or facilities available to locate, identify, read, and reproduce the copies, such as:
  • Computers
  • Printers
  • Microfilm readers
• All significant characteristics of the original document must be captured or otherwise clearly indicated before the copy is made.
  • For example, a scanner or photocopier must be able to capture all handwriting on the document.
• The back sides of printed forms do not need to be copied if nothing has been added or changed.
  • However, a sample of each form (both sides) must be available for reference.
• Film used for photographing copies must be:
  • Of permanent record type (meeting National Bureau of Standards specifications), and
  • Stored according to the manufacturer’s recommendations.
• Each roll of film must include a microfilm of a certificate(s) stating that the photographs are direct or facsimile reproductions of the original records.

Once suitably copied or converted, the original records can be destroyed.

Electronic signatures

• E-signatures can be made with a mouse, stylus, or touchscreen.

According to 390.5, an electronic signature must authenticate a person’s identity and show them what they are agreeing to. They can:

• Sign with a script signature created using a stylus, mouse, or touchscreen; or
• Validate the document using a unique username and login created for the site.

The Federal Motor Carrier Safety Administration (FMCSA) discusses the use of e-signatures in 390.32 in terms of:

• Applicability. This applies to documents that anyone is required to retain, regardless of if FMCSA requires them to be produced or displayed to FMCSA staff or other entitled parties.
  • This does not apply to documents that must be submitted directly to FMCSA.
• Electronic records or documents. Anyone required to generate, maintain, or exchange documents to satisfy Parts 300-399 may use electronic methods to satisfy those requirements.
• Electronic signatures. Anyone required to sign or certify a document to satisfy Parts 300-399 may use an electronic signature and may sign using any available technology that otherwise satisfies FMCSA’s requirements.
• Requirements. Anyone may use documents signed, certified, generated, maintained, or exchanged using electronic methods if the information is accurate.
  • They do not, however, satisfy the requirements if they are:
    • Not capable of being retained,
    • Not used for the purpose for which they were created, or
    • Cannot be accurately reproduced within the required timeframes when an entitled party requests them.
  • They also do not satisfy the requirements if they do not include proof of consent to use electronically generated records or documents.

Employers should keep in mind that for documents such as the driver application and safety performance history (SPH), they need a script because the identity cannot be authenticated any other way. This is especially true for the SPH inquiry because the former employer must release the information. This may be achieved through an actual signature, a mouse, or a stylus.

Self-audits

• Failing to maintain DQ files can have serious consequences for carriers.

Each year, the Federal Motor Carrier Safety Administration (FMCSA) identifies failing to maintain driver qualification (DQ) files on each driver as one of the most common critical violation found during compliance reviews of motor carriers. Violations sprinkled throughout the top acute and critical violations each year are associated with DQ files, such as:

• Previous employer inquiries;
• Medical certification; and
• Disqualification to operate a commercial motor vehicle (CMV).

Carriers should weigh these critical violations the same as they would weigh drivers failing to fill out their logbook properly. Both are violations with substantial penalties.

To prepare for a self-audit, carriers should review the general requirements for DQ files in 391.51 and create a checklist of items needed to comply with this critical regulation, such as a driver’s:

• Employment application
• Licensing requirements
• Driving record
• Medical reports and certificates
• Road tests

It is not enough to simply verify whether the required documents are in each driver’s file. It is equally important to check the dates of documents and replace those whose “shelf life” has expired. These requirements are addressed in 391.51 as well. Carriers should understand that something as uncomplicated as a missing signature or an illegible document can have as much consequence for them as a driver operating a CMV with a revoked license.

Good-faith effort

• Hiring employers must make a good faith effort to obtain required information from previous employers.

Hiring employers must make a good faith effort to obtain the required information from previous employers. Employers who make a good faith effort, but are unable to obtain the information, may continue to use the driver if they document the attempt.

In this context, good faith means a request of each former employer listed on the driver’s employment application or known to exist. Where information is not forthcoming, a good faith effort consists of something more than the original mailed request for information and will vary depending on the situation.

Except where there is a clear refusal by a former employer to provide information, there should also be a follow-up attempt to obtain the information, and this report should be kept in the driver’s confidential file as part of documenting the employer’s good faith effort.

Additional considerations

• Drivers’ previous employment records must be investigated within 30 days of employment date.
• All information must be kept in the DQ file for the duration of employment and three years after.

The investigation of a driver’s previous employment record must be made within 30 days of the date the driver’s employment begins. Each previous employer the applicant worked for during that period must be investigated via:

• Personal interviews
• Telephone interviews
• Letters
• Any other means deemed appropriate

All contact with former employers, including verbal (personal or telephone interviews), must be recorded in writing. The record must include the past employer’s:

• Name
• Address
• Date of contact
• Comments received with respect to the driver

This information must be kept in the driver’s investigation history file (391.53) for as long as the driver is employed by the motor carrier, plus three additional years.

Is a Pre-employment Screening Program (PSP) report required?

• The PSP is a voluntary program, and carriers get charged for its use.
• The PSP reports three years of violations and five years of crashes.

The Federal Motor Carrier Safety Administration (FMCSA) offers the PSP to motor carriers to obtain:

• Crash records for the last five years, and
• Roadside inspection data for the last three years.

Rather than showing any conviction data, these records will show a driver’s involvement in all Department of Transportation (DOT) recordable crashes, as well as any violations a driver has been cited for following a roadside inspection during those spans of time, regardless of the driver’s employers.

The PSP only reports the events, and there is no “score” or “value” attached to the driver based on the number of crashes or violations . Carriers may decide whether to hire the driver candidate. A few facts they should keep in mind are:

• The PSP is a voluntary program. Carriers will be charged a small fee for each applicant they wish to investigate, even if they enter the wrong data (e.g., driver’s license number) into the system.
• PSP has nothing to do with the Compliance Safety Accountability (CSA) initiative and is merely another tool to help screen applicants.
• Carriers do not inherit PSP data. While the driver’s violations are not added to the carrier’s data, if a carrier hires a person with a poor roadside-inspection record, any new violations during a roadside inspection while driving for the carrier will be added to the carrier’s data.
• To use the PSP, carriers must agree to all legal obligations and consent in writing that they will only use the records for pre-employment screening. The obligations include:
  • Obtaining the written consent of the applicant to check the driving history, and
  • Abiding by the regulations provided under the Fair Credit Reporting Act, among others.

Employers can enroll for this service at the PSP website, https://www.psp.fmcsa.dot.gov.

How to use the PSP

Carriers should add PSP to the company’s hiring process and standards. Many rely on insurance companies, consulting services, attorneys, etc. to develop hiring standards. Carriers must decide what violations are disqualifiers and what thresholds are acceptable for applicants.

One method to evaluate applicants’ PSP data is to assign a point system for scoring purposes that holds:

• A higher value for more serious violations that they should have managed, and
• A lower score for minor violations that may be considered minimal.

Whatever process is chosen, it is wise to state the standards:

• On the application form,
• During the recruiting process, and
• On the company website.

Carriers may be required by their insurance companies to use the PSP to be considered insurable. As the program gains acceptance, it may become financially wise to hire only those with proven safe driving records through the PSP data.

What medical certification proof must be in the DQ file?

• Drivers must carry specific items based on licenses held and medical standards.
• Many forms are needed for certifications and exemptions.

Motor carriers must document that they verified the medical examiner (ME) appeared on the National Registry and was certified to perform the exam on the day it was administered. This note is kept in the driver qualification (DQ) file as part of the proof of medical certification as follows:

• For non-commercial driver’s license (CDL) drivers, it is kept alongside the ME’s certificate; and
• For CDL drivers, it is kept alongside the motor vehicle record that contains the medical status.

What the driver must do with the medical certificate depends on what type of driver they are. For example:

Once drivers’ CDL/CLP medical status has been entered into their driving record by the driver licensing authority, they must provide each new medical certificate to the agency before the prior certificate expires. If they do not, their operator’s licenses will be downgraded, which affects their ability to operate a commercial motor vehicle (CMV). Beginning on June 23, 2025, medical certification information will be forwarded to the licensing agency automatically, and CDL/CLP drivers will no longer need to provide their medical cards to the agency.

Types of forms

The MCSA-5876: The Medical Examiner’s Certificate must be completed whenever a driver is medically certified. When using the form, medical examiners (MEs) may select whether the driver is:

• Qualified for interstate commerce, or
• Qualified only to operate within a single state (intrastate) under a medical variance issued by that state or driver licensing authority.

The MCSA-5875: The Medical Examination Report Form, also known as the “long” form, must be completed by the driver and examiner during the exam. The form is shown in 391.43, and is required for all driver medical exams. The form uses:

• The first three pages to record the driver’s health history and exam results;
• The fourth page to show whether the driver is medically certified under federal rules; and
• The fifth page to show if the driver is qualified for in-state operations only, under a state medical variance.
  • This page is not always used.

Medical advisory criteria

The FMCSA provides “Medical Advisory Criteria” as guidelines to aid MEs in determining if drivers are qualified. These are found in Appendix A to Part 391.

Alternative vision standard

FMCSA published the alternative vision standard final rule effective March 22, 2022, for CMV drivers who do not meet the vision standard in the worse eye. If specified conditions and vision criteria are met, the driver can qualify for the vision portion of the DOT exam based on the vision in the better eye with or without corrective lenses.

To be qualified for the alternate vision standard (391.44), the driver must:

• Have in the better eye a field of vision of at least 70 degrees in the horizontal meridian and vision of at least 20/40 with or without corrective lenses; ,
• Be able to recognize the colors of traffic signals with red, green and amber,
• Have a stable vision deficiency, and
• Have had sufficient time for the vision deficiency to be stable.

The steps to meet the alternate standard are:

1. An ophthalmologist or optometrist must evaluate the driver;
2. The ophthalmologist or optometrist completes the new Vision Evaluation Report Form MCSA-5871;
3. Not more than 45 days from the date on the MCSA-5871, the certified medical examiner performs a DOT exam and determines if the driver meets the alternative vision standard, as well as FMCSA’s other medical qualification standards;
4. If determined to be medically qualified, the driver receives a Medical Examiner’s Certificate (MEC), Form MCSA-5876, for a maximum of 12 months; and
5. When first using the alternate standard, the driver must pass a road test per 391.31, unless the driver has three years of intrastate or specific excepted interstate driving experience with the vision deficiency.

This final rule eliminates the need for the current Federal vision exemption program and the grandfather provision in 391.64. Individuals currently qualified under the grandfather provision and exemption holders had until one year after the effective date, or March 22, 2023, to comply.

Certification of drivers with insulin-treated diabetes mellitus

The use of insulin to control diabetes mellitus is normally disqualifying, but 391.46 offers a path to annual certification. Drivers must:

• Obtain a completed Insulin-Treated Diabetes Mellitus Assessment Form (MCSA–5870) from their treating clinician. The form is available on the FMCSA website.
• Use an electronic glucometer and give their treating clinician at least the preceding three months’ worth of blood-glucose data to be certified for a full year.
• Bring the completed form to be examined by a Federal Motor Carrier Safety Administration (FMCSA) ME within 45 days. The FMCSA ME has discretion to make the final certification decision.

Medical waivers and exemptions

Drivers may be granted waivers or exemptions from certain medical standards through the FMCSA. Although 391.64 addresses an exemption for drivers participating in certain waiver study programs, information about most waivers is not found in the regulations.

On a case-by-case basis, the FMCSA is granting waivers from most medical standards, including:

• Hearing
• Epilepsy/Seizures
• Limb disorders

In some cases, a specific waiver application is to be used. For more information about applying for a waiver, refer to the medical information on the FMCSA website.

Can carriers accept an existing medical card?

Carriers can accept a copy of an existing medical card along with the risks of any potentially disqualifying conditions that occurred since the last DOT exam. Carriers still must go to the National Registry of Certified Medical Examiners to ensure the ME:

• Appears on the list,
• Was certified on the day of the exam, and
• Could legally perform the FMCSA physical.

Employers must then generate a note that they verified the examiner. If they hire a driver who has been issued a medical exemption or variance from the FMCSA, they need a copy of that as well.

CDL medical certification changes arriving in June 2025

• Due to the Medical Examiner’s Certification Integration, CDL and CLP drivers’ medical certificates will be sent to state licensing agencies automatically.

On June 23, 2025, the medical certification process will change due to the “Medical Examiner’s Certification Integration” final rule published on April 23, 2015. The biggest change is that commercial driver’s license (CDL) and commercial learner’s permit (CLP) holders will no longer have to provide their medical certificates to the state licensing agencies because that information will be transmitted automatically. The following is an overview of the changes expected to arrive in June 2025:

• After an exam, the medical examiner (ME) will need to upload the exam results to the Federal Motor Carrier Safety Administration (FMCSA) by midnight of the next calendar day. The FMCSA will upload these results to the driver’s licensing agency, which then must post the information to the CDL/CLP driver’s motor vehicle record (MVR) within one business day.
• For CDL/CLP drivers, the MVR will be the only official proof of medical certification. Drivers and their employers will not need the paper medical card, but because the 15-day window will no longer exist, employers must promptly obtain a new MVR after each new medical exam.
• Because the CDL/CLP driver exam results will be transmitted through the National Registry of Certified Medical Examiners, there will be no need for employers to show separate proof that their MEs are listed on the National Registry.
• Non-CDL drivers will need to continue always carrying their paper medical cards, and their employers must keep a copy file and verify the National Registry listing of their MEs.
• Examiners will need to inform drivers when they are deemed medically unqualified, and that this information will be reported to the FMCSA. When the FMCSA receives the report, it will invalidate any medical cards previously issued to the driver and will electronically transmit this report to the driver’s state licensing agency.

Review of the annual motor vehicle record (MVR)

• Carriers must pay close attention when reviewing MVRs.
• Some carriers establish a “points” system when evaluating driving records.

In reviewing driving records, carriers must pay particular attention to:

• Indications of noncompliance with the Federal Motor Carrier Safety Regulations (FMCSRs) or Hazardous Materials Regulations;
• Any accidents;
• Any indications of motor vehicle laws and regulations violations, especially those indicating a disregard for public safety or a disqualification under the provisions of 391.15, or in the tables found in 383.51 covering CDL-vehicle drivers, such as:
  • Speeding,
  • Texting,
  • Operating a vehicle while under the influence of alcohol or drugs,
  • Leaving the scene of an accident involving personal injury or death, and
• For commercial driver’s license (CDL) and commercial learner’s permit (CLP) drivers, information concerning their:
  • Medical certification status; and
  • Type of operation that they self-certified they will perform, such as:
    • Interstate or intrastate, and
    • Excepted or non-excepted.

A written record which contains the reviewer’s signature, comments, and the date must be placed in the driver’s qualification file.

Some carriers establish a “points” system to use when evaluating a driving record, assigning points to violations based on company standards and taking disciplinary action when a certain number of points are reached.