USDOT Driver Qualification (DQ) Files – Violations & Penalties | Updated August 2022
Violations related to the creation and maintenance of Driver Qualification Files have accounted for approx. 20% of acute and critical violations for the past five years.
The most common issue that leads to these penalties is typically simple recordkeeping errors. In this article, we’ll cover the penalties that can occur, along with some information on how they are calculated and tips to avoid them.
Most Common Driver Qualification File Violations
Let’s understand some of the most common DQ violations that you should avoid in order to remain compliant.
1. Dealing With An Unqualified Or Physically Unfit Driver – The department of transportation has required commercial vehicle drivers to be physically fit and adequately qualified for the job at hand.
2. Not Maintaining The Driver’s Employment Record In The Qualification File – Forgetting to maintain a driver’s employment record accounts for nearly 10% of all critical violations every year.
3. Absence Of A Current Medical Certificate On The Driver Qualification File – During the pre-hire process, you will have to make sure to check the dot medical card of each driver or candidate that you are looking to hire.
4. Forgetting To Maintain Individual Qualification Files For All Your Drivers – According to the FMCSA, any of your drivers who is operating a commercial motor vehicle with a GVW of 10,000 pounds or more should have a DOT driver qualification file at all times and it should be maintained regularly.
5. Negative Drug Test Missing On File – Commercial vehicle drivers should also have a DOT – approved medical card and a negative drug test report as well.
Driver Qualification File Penalties
From not maintaining an annual list of traffic violations to incomplete employment applications, many of these violations are easily avoidable with improved record keeping, and implementing a proper compliance management solution, which could be in-house or by 3rd party.
| Violation | Regulation Code | Max Penalty Amounts |
| Permitting a driver to operate without a valid license (or incorrect license class) | 391.11(b)(5) | $34,712 (min. of $6,269) |
| Operating a commercial motor vehicle while disqualified | 391.15(a) | $6,269 |
| Not having a complete, DOT-compliant employment application on file for each driver | 391.21(a) | $1,388 daily up to $13,885 |
| Failing to perform a Safety Performance History on one or more drivers | 391.23(a) | $16,864 |
| Failing to obtain and/or review a driver’s motor vehicle report every 12 months | 391.25 | $16,864 |
| Failing to maintain a copy of the driver’s MVR in the driver qualification file | 391.25(c)(1) | $1,388 daily up to $13,885 |
| No medical certificate in the driver’s possession | 391.41(a) | $1,388 daily up to $13,885 |
| Having an expired medical examiner’s certificate | 391.45(b) | $16,864 |
| Failing to maintain a driver qualification file for each driver | 391.51(a) | $11,956 |
| Failing to keep a copy of the driver’s medical certificate in the driver qualification file | 391.51(b)(7) | $1,388 daily up to $13,885 |
| Failing to keep a driver qualification file for 3 years after an employee’s termination | 391.51(c) | $11,956 |
How Are Driver Qualification Fines Calculated?
Inspectors will levy financial penalties for violations based on the following:
- How likely it was that the violator was aware of the issue
- Their ability to pay
- The seriousness of the violation
Tips to Avoid Driver Qualification File Violations
- Make sure to perform an annual inquiry and review of all your commercial motor vehicle drivers periodically.
- Record all the information and keep them compliant throughout the year so that your company can stay functional in the trucking industry.
- Make sure that all your drivers furnish a list of all the traffic and motor vehicle-related violations for which they have been convicted in the past.
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