1. Driver Qualification

2. Instructional Goal
Upon completion of this module, students will be able to apply their knowledge of Parts 391 and 383 in determining compliance and pass the corresponding exam.
Content:
Upon completion of this module, students will be able to apply their knowledge of Parts 391 and 383 in determining compliance and pass the corresponding exam.

3. Topics In this module, we will learn about the following topics:
Content:
In this module, we will learn about the following topics:
Regulatory review
Investigative procedures
Reporting procedures
Enforcement procedures
Regulatory review
Investigative procedures
Reporting procedures
Enforcement procedures

4. Regulatory Review Instructor Dialogue:
The first topic we will discuss is the regulatory review.
Regulatory Review

5. Regulatory Review Objectives:
Review Parts 391 and 383 applicable to investigation
Identify documents required to be produced by the Motor Carrier
This section covers the following information:
Regulatory review
Content:
Objectives:
Review Parts 391 and 383 applicable to investigation
Identify documents required to be produced by the Motor Carrier
This section covers the following information:
Regulatory review

6. Regulatory Review Exercise
Applicability and Exceptions
Regulations
Documents
Instructor Note:
Stress that this is a regulatory review of Parts 391 and 383. The students should already be familiar with the requirements of driver qualifications. Find out if they are clear about the general applicability standards and answer any questions they have before moving on. If there are numerous questions, open up the regulations and review the key points.
Otherwise, ask the students for the carrier documents that are checked during an investigation. As they name them, write them on the board/notepad. Ask for the retention requirements as well. If they are having trouble have the students reference the regulations. Provide feedback to the students.
After the exercise, ask the students if there is any regulatory information that they may still be confused about. If there are questions, refer to the applicable regulation section for any answers if necessary.
Instructor Dialogue:
If there are no more question, let’s get started with the investigation procedures

7. Investigation Procedures
Instructor Dialogue:
Now that we have gone over the regulations covering driver qualification, we will now look at the investigative procedures for checking the driver qualification records.
Investigation Procedures

8. Investigation Procedures
Objective:
Perform an investigation of a carriers’ driver qualification files in accordance with eFOTM
Content:
Objective:
Perform an investigation of a carriers’ driver qualification files in accordance with eFOTM
This section covers the following information:
Part 391 Investigation Procedures
Part 383 Investigation Procedures
This section covers the following information:
Part 391 Investigation Procedures
Part 383 Investigation Procedures

9. Investigation Procedures –Part 391
Instructor Dialogue:
Let’s first look at the procedures for Part 391.
Investigation Procedures –Part 391

10. Sampling Driver Qualification Files
Part 391 Investigation
Request Drivers’ List
Sampling Driver Qualification Files
Selecting Files
Reviewing Files
Content:
An investigation of Part 391 should consist of:
Requesting a drivers’ list
Sampling driver qualification files
Selecting files
Reviewing files
During the review of files, you should cite violations and if warranted, document counts for enforcement.
Part 391

11. Request Driver Lists List of drivers employed in last 12 months
Dates hired and/or terminated
Verify the list
Content:
If a driver list was not requested before the compliance review or during the opening interview, you should request a list of drivers employed in the last 12 months, and the date they were hired and/or terminated from the carrier.
You should verify the accuracy and completeness of the list by reviewing the company profile, payroll records, dispatch records, bills of lading, and/or other transportation or shipping documents before and during the compliance review.
Part 391

12. Minimum Number of Driver Qualification Files
File Sample Size
Minimum Number of Driver Qualification Files
Number of Drivers Subject to Regulations
# of Files Reviewed
1-5
All
6-25 5
26-50 8
51-90 13
91-150 20 32 50 68
501-1,200 80
1,201-3,200
125
3,201-10,000
200
10,001-35,000
315
35, ,000
500
Content:
The table on the page gives you the minimum number of driver qualification files that should be selected to review based on the number of drivers subject to the regulations of Part 391.
Instructor Note:
Go over the numbers in the table.
There will be instances where you will not be able to review the minimum number of required documents. If this happens, you must explain in Part C why you did not meet your sample.
Part 391

13. Selecting Files To Review
Drivers involved in interstate recordable accidents
Drivers cited for Part 391 violations
Drivers recently hired
Drivers cited for serious traffic violations
Content:
You should only review driver qualification files for drivers who operate in interstate commerce. From these files:
Select driver qualification files for those drivers who were involved in interstate recordable accidents
Select drivers that have been cited for Part 391 violations during roadside inspections, (e.g., medical card violations or disqualification issues)
Select recently hired drivers, or drivers who were cited for serious traffic (or moving) violations
Part 391

14. Reviewing Files Employment Application
Driver Investigation and Inquiries
Copy of Driver’s Motor Vehicle Record
Road Test or Equivalent
Medical Examiner’s Certificate
Annual Driver’s License Check
Driver’s Certification of Violations
Annual Review of Driver’s Qualification
Instructor Note:
Instruct the students to open eFOTM and go to the section “Review Driver Qualification Files” under Part 391-Investigation Procedures under the Compliance Manual. Ensure the students have accessed the section. Review each of the topics in this section with the students. Ask the students to give you some of the details as well and encourage participation.
Stress to the students that during your investigation, you should make sure that you keep track of the violations you discover and when possible, start collecting evidence for the later enforcement of the violations.
Part 391

15. Driver Qualification Problems
Substantial noncompliance – expand search
Out-of-service violation
Instructor Note:
Instruct the students to go to the next section in eFOTM “Driver Qualification Problems”. Review the questions in this topic with the students.
Part 391

16. Investigation Procedures –Part 383
Instructor Dialogue:
Are there any question on Part 391? Okay, let’s take a look at the procedures for Part 383.
Investigation Procedures –Part 383

17. Part 383 Investigation Request Drivers’ List
Sample Drivers for CDLIS Checks
Perform Driver License Checks
Content:
An investigation of Part 383 should consist of:
Requesting a drivers’ list
Sampling drivers for CDLIS checks
Performing driver license checks
During the review of files, you should cite violations and if warranted, document counts for enforcement.
Part 383

18. Driver List/Sample Drivers
Minimum number of Driver Licenses/Records to be Reviewed
Number of Drivers Subject to CDL Requirements
CDLIS
1-20
All
21-150 20 32 50 68
501-1,200 80
1,201-3,200
125
3,201-10,000
200
10,001-35,000
315
35, ,000
500
Content:
You first want to request a list of drivers from the carrier using the same guidelines from Part 391. Again, if a driver list was not requested before the compliance review or during the opening interview, you should request a list of drivers employed in the last 12 months, and the date they were hired and/or terminated. You should verify the accuracy and completeness of the list.
Then, you want to select the number of licenses/records to review. The table on the page gives you the minimum number of driver licenses/records that should be selected to review based on the number of drivers subject to the requirements.
Instructor Note:
Go over the numbers in the table.
Part 383

19. Driver License Checks Part 383 Instructor Note:
Demonstrate the different ways to open up CDLIS through Query Central, CAPRI, and the CDLIS website and instruct the student to follow along using their laptop. Inform them that Query Central is the preferred method. Demonstrate how to perform a CDL check using CDLIS. Also, if the students are state law enforcement and they use NLETs to do license checks, then violations will show up on that site that do not show up in CDLIS and the information in NLETs is not available to carriers.
Content:
You must verify a driver’s CDL history/status through CDLIS or other acceptable methods. You should also verify that drivers have the proper class license and endorsements and then check for any disqualifying offenses. As a minimum, these verifications should be done on the drivers selected during the sampling.
Make sure you get the complete driver history and not just a snapshot (e.g., the driver could have been driving on a suspended license for the last six months but have a good one today).
There is no requirement to check with the licensing agency in Mexico to verify the status of the Mexican Licencia Federal.
If a Mexican Licencia Federal is not in the system:
Cite the motor carrier and inform it that the driver must contact the local Secretaria De Comunicaciones y Transportes (SCT) office to ensure the license is in the system
Obtain documentation for a possible enforcement action
Conduct a follow-up CDLIS check within three working days and if the license is still not in the system, initiate an enforcement action
Part 383

20. CDL Problems
Carrier had knowledge of suspension, cancellation, disqualification, or invalidation
Carrier did not have knowledge
Instructor Note:
Instruct the students to open eFOTM and go to the “CDL Problems” section in Part 383 under the Compliance Manual. Ensure the students have accessed the section.
Review the topics in this section and go over the scenario table listed in eFOTM.
Part 383

21. Reporting Procedures Instructor Dialogue:
We will now look at how to enter the violations you find into CAPRI.
Reporting Procedures

22. Reporting Procedures Objective: Record all violations
Content:
Objective:
Record all violations
This section covers the following information:
Reporting procedures
This section covers the following information:
Reporting procedures

23. CAPRI Demo Instructor Note:
Before starting the demo, ask the students to give you some of the acute and critical violations for Parts 383 and 391 in eFOTM and provide feedback. Inform the students that they should be keeping occurrences of these violations in mind for enforcement.
Then open the “Driver Qualification Worksheet Instructions.doc” and instruct the students to open CAPRI and follow along with your demonstration.

24. Scenario Exercise Instructor Dialogue:
Are there any final questions about the investigation procedures? Okay, let’s do an exercise.
Scenario Exercise

25. Directions Break into groups
Each group will access a driver qualification file package
Look through the package and perform the following:
Determine the number of qualification files to review
Determine the number of CDLs to review
Review qualification files for violations
Complete the Driver Qualification Worksheet in CAPRI
When finished, we will review your findings
Instructor Note:
Break the class into groups and instruct the students to open the exercise, Driver Qualification Exercise Package.pdf, in the toolbox and have them go through the package and:
Determine the number of qualification files to review; answer: all three drivers
Determine the number of CDLs to review; answer: the CDLs of all three drivers. Note that the CDLs won’t be checked in the exercise, state that for the exercise that when entering the info into CAPRI, the CDLs all checked out.
Review qualification files for violations
Complete the Driver Qualification Worksheet in CAPRI
Use the “Driver Qualification Investigation Exercise Checklist” checklist to score the activity for each group. You will have to check each groups progress and if they have entered the information into CAPRI correctly. Once the groups are finished, have each group present their profile and what they discovered, (i.e., numbers and violations). Go through the CAPRI worksheet with the class and what they should have entered.
Content:
Determine the number of qualification files to review
Determine the number of CDLs to review

26. Enforcement Procedures
Instructor Dialogue:
We will now look at how to document an enforcement case for violation detected in the files.
Enforcement Procedures

27. Enforcement Procedures
Objective:
Document a legally defensible enforcement action in accordance with eFOTM guidance
Content:
Objective:
Document a legally defensible enforcement action in accordance with eFOTM guidance
This section covers the following information:
Enforcement procedures – Part 391
Enforcement procedure – Part 383
This section covers the following information:
Enforcement procedures – Part 391
Enforcement procedures – Part 383

28. Enforcement Procedures – Part 391
Instructor Dialogue:
Let’s first look at the procedures for Part 391.
Enforcement Procedures – Part 391

29. Supporting Evidence Part 391 Instructor Note:
Instruct the students to open eFOTM and go to the enforcement section of Part 391 under the Compliance Manual. Ensure the students have accessed the section.
Content:
You should gather documentation to initiate an enforcement action, which establishes the following:
The vehicle used falls within FMCSR jurisdiction for Part 391
The driver is an employee of (or controlled by) the motor carrier
The commercial motor vehicle (CMV) was operated by the motor carrier in interstate commerce on a specific date
A violation of Part 391 occurred
Part 391

30. Supporting Documents Statements Driver Qualification Worksheet
Record-of-Duty Status
Vehicle Registration
Certified Documents
Photographs
Content:
Some examples of documents to support your discovered violations are:
Statements from motor carrier official, driver, or other person responsible for compliance with Part 391
Driver Qualification Worksheet, verified by motor carrier official or other person responsible for compliance with Part 391
Driver’s record-of-duty status and corresponding shipping paper/bill or lading
Vehicle registration showing GVWR or other documentary evidence proving that the vehicle was subject to Part 391
Certified documents from State agencies
Photographs that support the violation
Instructor Note:
Inform the students that this list is not meant to limit them to specific documents, as there are many motor carrier documents that could be used to support the violation. They may utilize other documents to prove the violation.
Part 391

31. Best Practices Driver statements when not physically examined
Statements that required documents were not in the Driver’s Qualification file
Consistent language
Content:
The following are some best practices you should remember when you document violations of Part 391:
When considering enforcement for a violation that charges the motor carrier with using a driver not physically examined, it is best to obtain a statement from the driver affirming that fact.
Best practice requires that you obtain statement(s) from motor carrier officials affirming that the required documents were not in the Driver’s Qualification (DQ) file or that these documents do not exist. Such statements rebut subsequent motor carrier arguments that it had such documents, but that you did not ask the motor carrier to produce them during the compliance review.
Be sure that the language used to describe the violation in the review, in the case report, and in the Notice of Claim is the same. For example, a violation cited in the compliance review for “failing to maintain” the driver’s state driving record abstract should not be described in the case report as “failing to make an inquiry” from the state licensing agency.
Part 391

32. Enforcement Action Against Drivers
391.11(b)(5)
391.15(a)
391.45
Instructor Note:
Ask the students to use eFOTM to give you a description of the Part numbers outlined for enforcement against a driver and provide feedback.
Content:
The following violations warrant considering enforcement action beyond the carrier and against a driver:
391.11(b)(5)
391.15(a)
391.45
Part 391

33. Enforcement Procedures – Part 383
Instructor Dialogue:
Are there any questions? Okay let’s look at the enforcement procedures for Part 383.
Enforcement Procedures – Part 383

34. Evidence Required Part 383 Instructor Note:
Instruct the students to open eFOTM and go to the enforcement section of Part 383 under the Compliance Manual. Ensure the students have accessed the section.
Content:
The following evidence is required to prosecute a violation of Part 383:
Evidence that the driver was subject to Part 383
Evidence that the driver was an employee of (or controlled by) the motor carrier
Evidence that the vehicle was operated (used) by the employer
Evidence that the commercial motor vehicle was operated in intrastate or interstate
commerce
Evidence on a certain date
Evidence that a specific violation of Part 383 occurred
Knowledge by the carrier if the enforcement case is against the company
Part 383

35. Supporting Document Vehicle Registration or Markings
Statements
Vehicle Registration or Markings
Employee Documents
RODs/Time Record and Shipping Docs
Motor Vehicle Record
Photographs
Content:
Some examples of documents to support your discovered violations are:
Statements from motor carrier official, driver, or other person responsible for compliance with Part 383 regulations and records
Vehicle registration showing GVWR, markings, or other documentary evidence proving that the vehicle was subject to Part 383
Record-or-duty status, employment application, payroll records, or other employee documents proving the driver was controlled by the carrier
Record-of-duty status/time record and corresponding shipping documents to show the CMV was used in commerce
Motor vehicle record from the State that issued the CDL showing suspension/cancellation/disqualification or being invalid. A CDLIS printout is acceptable. Note: A CDLIS printout is acceptable for the Mexican Licencia Federal.
Photograph or copy of current CDL or other photographs that support the violation
Instructor Note:
Again, inform the students that this list is not meant to limit them to specific documents, as there are many motor carrier documents that could be used to support the violation. They may utilize other documents to prove the violation.
Part 383

36. Enforcement Action Against Drivers
383.33
383.51(a)
Instructor Note:
Ask the students to use eFOTM to give you a description of the Part numbers outlined for enforcement against a driver and provide feedback.
Content:
You should consider enforcement action beyond the carrier and against a driver for the following violations:
383.23(a)
383.33
383.51(a)
Part 383

37. Scenario Exercise Instructor Dialogue:
Are there any questions? Okay let’s do an exercise.
Scenario Exercise

38. Directions Break into investigation groups
Choose the violations to enforce
Pick documents to use to support the violations discovered during your investigation
When finished, we will review your selection
Instructor Note:
Have the students break into groups. Instruct each group to open the driver qualification enforcement package from their toolbox, “Driver Qualification Enforcement Package.pdf”. Have the students first look at the list of violations (the ones from the investigation exercise) and decide which violations should be enforced. Ask them to provide their answers and provide feedback.
Then, as the example for the enforcement exercise, have the students pick out the documents they should use to support the violation of the expired medical certificate for Rothman, (a), Critical.
Content:
Break into investigation groups
Choose the violations to enforce
Pick documents to use to support the violations discovered during your investigation
When finished, we will review your selections
Use the “Driver Qualification Enforcement Exercise Checklist” to checklist to score the activity for each group.

39. Summary

40. Summary Students should now be able to:
Review Parts 391 and 383 applicable to investigation
Identify documents required to be produced by the Motor Carrier
Perform an investigation of a carriers’ driver qualification files in accordance with eFOTM
Record all violations
Document a legally defensible enforcement action in accordance with eFOTM guidance
Content:
Students should now be able to:
Review Parts 391 and 383 applicable to investigation
Identify documents required to be produced by the Motor Carrier
Perform an investigation of a carriers’ driver qualification files in accordance with eFOTM
Record all violations
Document a legally defensible enforcement action in accordance with eFOTM guidance
Instructor Note:
Ask the students to recall and or reiterate some key items covered in the module for the different Parts and their applicability. Take a show of hands and insist the students provide some recollections from what they learned. Guide the conversation as it develops to ensure there is general understanding among the class before moving on.