PSATS CDL PROGRAM CMV/CDL DRIVER QUALIFICATION FILES (DQF)

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2 PSATS CDL PROGRAM CMV/CDL DRIVER QUALIFICATION FILES (DQF) Pennsylvania s intrastate commercial motor vehicle regulations (67 Pa. Code Chapter 231) now provide even more flexibility for local governments in hiring the employees necessary for effective road maintenance operations. In accordance with 67 Pa. Code Chapter 231.8(6), state and local governments and their regularly employed drivers who operate commercial motor vehicles (CMV) in intrastate travel (within Pennsylvania) are exempt from needing to maintain records regarding the driving qualifications of those employees. All other employers are still required to maintain these records for their CMV employees. However, the pre-employment drug test is still a requirement of all employers when hiring an employee who will be operating CDL vehicles (any CMV weighing more than 26,001 pounds). Further, employees operating CDL vehicles must also posses a valid commercial drivers license and be covered by the employer s random drug and alcohol testing program Pennsylvania regulations at 67 Pa. Code Chapter define a CMV as any motor vehicle or combination used on a highway in intrastate commerce to transport passengers or property when the vehicle meets one of the following conditions: (i) Has a gross vehicle weight rating or gross combination weight rating (GVWR), or gross vehicle weight or gross combination weight, of 17,001 pounds or more, whichever is greater. (ii) Is designed or used to transport more than 8 passengers (including the driver) for compensation. (iii) Is designed or used to transport more than 15 passengers, including the driver, and is not used to transport passengers for compensation. (iv) (v) Is a school bus. Is transporting hazardous materials which is required to be placarded in accordance with Department regulations. For the many municipalities that still require the maintenance of these records as a condition of employment, provided below is a discussion of the forms that should be maintained in each CMV employee s driver qualification file (DQF), which should be kept current, and stored in a secure location with controlled access. 1. Driver s qualification file (DQF). Chart CDL FORM HIRING DQF represents the full array of information and records that should be obtained at time of hire and kept in each CMV driver s qualification file (DQF) for the duration of this employee s employment plus three years. This form also lists the additional information needed to hire an employee who will be operating CDL vehicles. Chart CDL FORM DQF represents the full array of information and records needed each additional year of this employee s employment. This information must also be kept in the employee s DQF and retained in accordance with the enclosed GUIDANCE - RECORD RETENTION SCHEDULE. PSATS CDL Program 4855 Woodland Drive Enola, PA (P) (F) (E) cdl@psats.org

3 PSATS CDL PROGRAM CMV/CDL DQF CONTINUED 2. Written application for employment. All applicants for CMV employment should provide a written application for employment using CDL FORM APPLY. 3. Pre-CDL employment drug test result. An applicant for employment that will require the use of a CDL vehicle must obtain a negative result on a pre-cdl employment drug test prior to performing CDL duties. 4. Requests for information. The new employer should maintain a written, confidential record of the following information, or, if no records exist, of the good faith efforts you made to obtain the information, such as a copy of your request for information. Failure by a past nonmunicipal employer to respond to any authorized request for required information must be reported by the new employer to the FMCSA in accordance with the enclosed GUIDANCE FMSCA COMPLAINT. Since Pa. municipalities are exempt from needing to maintain these driver safety records, prospective employers should be informed if this is the reason that no response was provided by a municipal employer. In all cases, the employee must sign a release authorization section of each form sent to previous employers. Refusal to sign any authorization would prevent the employee from being employed. a. Review the results of the inquiries to state driver licensing agencies. Employers of new CMV employees should obtain, within 30 days of such employment, information about the new employee s driving record for the past three years from every state in which the new employee held a valid driver s license and determine if that employee is qualified to operate commercial motor vehicles. Employees should sign CDL Form FCRA Disclosure thereby allowing the employer to electronically obtain the employee s drivers license information for the duration of such employment. Employers must use PENNDOT FORM DL-503 to obtain information by mail for Pennsylvania license holders and CDL FORM OTHER to request such information from other states. Upon receipt of this information, the employer should determine (using CDL FORM INITIAL QUALIFY) if the employee is qualified to operate a CMV. The employer should then use PENNDOT FORM DL-503 (or obtain an account with PennDOT to access such information on-line) at least once every twelve months to determine that this employee remains qualified to operate CMVs using CDL FORM QUALIFY. Over

4 PSATS CDL PROGRAM CMV/CDL DQF CONTINUED b. Review past safety history. The new employer should use CDL FORM HISTORY to obtain information about this employee s safety performance history from all CMV employers from the past three years within 30 days of hire. If an applicant does not have any CMV experience in the past three years, the new employer must check the box in the bottom paragraph indicating why no request for such information was made. c. Review past test results. The new employer should use CDL FORM RESULTS to obtain information about the new employee s CDL drug and alcohol test results from all employers for whom that employee performed CDL activities in the past three years within 30 days of hire for any applicant for employment that will require the use of a CDL vehicle. With respect to any employee who violated a DOT drug and alcohol regulation, documentation of the employee's successful completion of return-to-duty requirements (including follow-up tests) must also be obtained. If a previous employer does not have information about the return-do-duty process, the new employer must seek to obtain this information directly from the employee. If an applicant does not have any CDL experience in the past three years, the new employer must check the box in the bottom paragraph indicating why no request for such information was made. 5. Obtain employee s signature acknowledging receipt of employer s personnel policy regarding CDL drug and alcohol testing. Each employee who will operate CDL vehicles shall participate in the employer s CDL drug and alcohol testing program and must sign CDL FORM POLICY indicating they have received a copy of the employer s CDL employee drug and alcohol testing policy. This form must be permanently retained in the employee s file. Employers should then use CDL FORM ROSTER to add a new CDL employee to this employer s list of employees covered by its random drug and alcohol testing policy. 6. Pennsylvania New Hire Report and Federal New Hire Report (I-9) must both be filed as appropriate: the Pa. New Hire Report must be sent to the state as indicated. Further, all federal I-9 forms must be kept either for three years after the date of hire, or for one year after employment is terminated, whichever is later. 7. All applicants for CMV employment must be given the information contained in GUIDANCE - RIGHT TO REVIEW RESPONSES from previous employers at time of application. All applicants should also be given the PennDOT form DISQUALIFICATIONS AND TRAFFIC OFFENSES fact sheet detailing how they can be disqualified from operating CMVs. 8. Obtain employee s signature acknowledging receipt of annual training, if any, using CDL FORM TRAIN. These forms should also be retained in the employee s file. 9. Notification of Suspension. Any employee whose driver s license is suspended, revoked, canceled, or if the driver is otherwise disqualified from driving, must notify each employer by the end of the next business day following receipt of the notice of suspension, revocation, cancellation, lost privilege or disqualification. ###

5 CMV/CDL Driver s Qualification File Time-of-Hire Documents Checklist Driver s Name: Driver license #: Hire Date: Optional records when hiring municipal CMV driver (required records for hiring private sector CMV driver): Employment Application (Form APPLY) Driving record inquiry (PennDOT DL-503) Initial driving record review (Form QUALIFY) Request past test results (Form RESULTS) Response(s) received for Form RESULTS Request past safety history (Form HISTORY) Response(s) received for Form HISTORY Medical Examiners Certificate Expiration Date * Required records when hiring a municipal or private sector CMV driver: PA New Hire Form Federal I-9 Form Required records when hiring any CDL driver: Date of negative pre- CDL drug test CDL employee testing policy (Form POLICY) Name of drug/alcohol testing program for this CDL employee NOTE: Put the date when any of these forms is added to this driver qualification file. * = Medical examiners certificate not required for Pa. local government employees. This form and any of the above-listed items must be kept for duration of CDL employment plus three years. PSATS CDL Form Hiring DQF

6 CMV/CDL Driver s Qualification File Annual Employment Documents Checklist Driver s Name: Driver license #: Hire Date: Optional records for continuing municipal CMV employment (required for private sector CMV employee): Next calendar year of employment Make driving record inquiry to PennDOT every 12 months Employers review of employee s PennDOT driving record (Form QUALIFY) Records required for continuing CDL employment: Next calendar year of employment Notice of conviction, if any (Form CONVICTION) Accident reports, if any (Form ACCIDENT) Changed CDL employee testing policy? (Form POLICY) Medical Examiners Certificate Expiration Date * Name of drug/alcohol testing program for this CDL employee NOTE: Put the date in the box when any of these forms is added to this driver qualification file. * = Medical examiners certificate not required for local government CDL employees. However, if this is otherwise required as a condition of employment, employer must keep track of expiration date. PSATS CDL Form Annual DQF

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23 Instructions for Completing the Form Unless noted as optional, all required information must be included on the form. Please type or print legibly in black or blue ink. This form may be duplicated. FEIN: Employer Name: Contact Name: Contact Phone Number: Employee Social Security Number: Date of Birth: Date of Hire: Employee Name: Employee Address: Federal Employer Identification Number Legal name of the employer Person authorized to answer questions on the New Hire Report (this should be someone from the employer) Phone number for the contact person The number assigned by the Social Security Administration Optional Item date of birth for the new hire The first day the new hire performs services for wages First, Middle, and Last name of the new hire Permanent address of the new hire Pennsylvania New Hire Reports may be submitted through the mail or via FAX. Mailing Address: FAX Number: Customer Service Telephone Number: Commonwealth of Pennsylvania New Hire Reporting Program PO Box Harrisburg, PA HIRE (TOLL FREE) PAHIRES

24 Required Employer Information Please mail or fax to: (TOLL FREE) (for questions only) Required Employee Information (Please type or print legibly in black or blue ink.) Pennsylvania New Hire Reporting Program - 5 REVISED 07/2010

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37 June 2012 DISQUALIFICATIONS AND TRAFFIC OFFENSES FACT SHEET Q: What is a disqualification? A: A disqualification is the temporary or permanent withdrawal of a person s privilege to operate a commercial motor vehicle (CMV). Q: How long can a disqualification last? A: The length of a disqualification depends on the violation as well as the driver s record. It can be for a minimum of 60 days or as long as a lifetime. Q: How does a Commercial Driver become disqualified? A: A disqualification can result from a single conviction for a MAJOR OFFENSE, an accumulation of SERIOUS TRAFFIC OFFENSES or for other specific violations, i.e. violations of railroad-highway grade crossings. Q: What is a major offense? A: The following chart lists the violations that are defined as major offenses for CDL holders. Most of these violations will result in the disqualification of your commercial driving privilege regardless of the type of vehicle you are driving (CMV and non-cmv). The disqualification period that a major offense carries depends on the offense and the type of vehicle you are driving. Two major offenses result in a lifetime disqualification. Federal Description PA Code Section Vehicle Type Driving under the influence of alcohol or controlled substance. 3731(i) 3802 Major Offenses CMV or Personal vehicle Length of Disqualification for First Offense 1 Year 3 Years with Hazmat Refusing to submit to chemical testing CMV or Personal vehicle 1 Year 3 Years with Hazmat Leaving the scene of an accident CMV or Personal vehicle 1 Year 3 Years with Hazmat Using a vehicle to commit felony. Various Crimes Code Offenses CMV or Personal vehicle 1 Year 3 Years with Hazmat Using a vehicle in the commission of a felony involving manufacturing, distributing or dispensing a controlled substance. 13a10 13a19 13a36 13a14 13a30 CMV or Personal vehicle Lifetime Driving a CMV while the driver s CDL is revoked, suspended, cancelled or disqualified. 1606(c)(1) 1543(a)(b) CMV Only 1 Year 3 Years with Hazmat Causing a fatality through the negligent operation of a CMV CMV Only 1 Year 3 Years with Hazmat Q: What is a serious traffic offense (STO)? A: The following chart lists the violations that are defined as serious traffic offenses. If you are convicted of any 2 of these serious traffic offenses within a 3 year period, you will be disqualified from driving a CMV for 60 days. If you are convicted of 3 or more serious traffic offenses within a 3 year period, you will be disqualified from driving a CMV for 120 days. Most of these violations must occur in a CMV to count as a STO. However, there are some exceptions as noted below. Federal Description PA Code Section Vehicle Type Exceeding maximum speed limit 15 mph or more. Hazardous Grades Driving recklessly, as defined by state or local law. Making improper or erratic traffic lane changes. Following the vehicle ahead too closely. Duty of driver in construction and maintenance areas or on highway safety corridors. (This violation is an STO under PA law) Violating state or local law relating to motor vehicle traffic control arising in connection with a fatal accident. Driving a CMV without obtaining a CDL, driving a CMV without a valid CDL in the driver s possession, driving a CMV without the proper class and/or endorsements. Serious Traffic Offenses (b) 3365(c) (a)(1) 3306(a)(2) 3306(a)(3) (1) 3309(2) 3309(4) (b) All other moving violations 1606(a) 1501(a) CMV Personal vehicle (only if the violation occurred in a work zone or school zone) CMV CMV or Personal vehicle CMV CMV CMV CMV or personal vehicle CMV only CMV

38 Q: Are there other violations that will result in a disqualification? A: Yes. Railroad-highway grade crossing violations, out-of-service order violations and being determined to constitute an imminent hazard. Q: What is the disqualification period for a railroad-highway grade crossing offense? A: A conviction of a railroad-highway grade offense will result in the automatic disqualification of your privilege to operate a CMV if the offense occured while operating a commercial vehicle. The length of the disqualification is 60 days for the 1st offense, 120 days for the 2nd offense withing a 3 year period and 1 year for a 3rd or subsequent offense. The following chart lists the various railroad-highway grade crossing offenses. Railroad-Highway Grade Crossing Offenses Federal Description PA Code Section Vehicle Type The driver is not required to always stop, but fails to slow down and check that tracks are clear of an approaching train. The driver is not required to stop, but fails to stop before reaching the crossing, if the tracks are not clear. The driver is always required to stop, but fails to stop before driving onto the crossing. The driver fails to have sufficient space to drive completely through the crossing without stopping. The driver fails to obey a traffic control device or the direction of an enforcement official at the crossing. 3342(g) 3342(g) 3342(a) 3341(b)(2) 3341(a) 3342(e) 3342(b) 3341(b)(1) CMV CMV CMV CMV CMV The driver fails to negotiate a crossing because of insufficient undercarriage clearance. 3343(a) 3343(c) 3343(d) CMV Q: What is the disqualification period for violating an out-of-service order? A: This is a tiered disqualification period. If a driver is convicted of violating an out-of-service order while transporting non-hazardous materials, 1st offense - 1 year, 2nd or subsequent offense in a ten year period - 3 years. If a driver is transporting hazardous materials or operating a vehicle designed to transport 16 or more passengers, including the driver, 1st offense - 2 years, 2nd or subsequent offense in a ten year period - 5 years. Q: What is an imminent hazard? A: The Federal definition of an imminent hazard is the existence of a condition that presents a substantial likelihood that death, serious illness, severe personal injury, or a substantial endangerment to health, property, or the environment may occur before the reasonably foreseeable completion date of a formal proceeding begun to lessen the risk of that death, illness, injury or endangerment. Q: Who determines an imminent hazard? A: The Assistant Administrator or his/her designee from the Federal Motor Carrier Safety Administration (FMCSA). Q: What is the length of disqualification imposed if a CDL holder is determined to be an imminent hazard? A: The period of disqualification should not exceed 30 days. However, the disqualification remains in effect until PennDOT is notified by the FMCSA Assistant Administrator of his/her designee. Q: Can an imminent hazard disqualification be appealed? A: Yes. The appeal can be filed with the Assistant Administrator, Adjudications Counsel, Federal Motor Carrier Safety Administration (Room 8217), 400 Seventh Street, SW., Washington, DC Q: Do violations that occur out of state impact my Pennsylvania driving privilege? A: Yes. Out-of-state violations are treated as if they occured in Pennsylvania. Q: Does the acceptance of Accelerated Rehabilitive Disposition (ARD) count towards disqualification? A: Yes. ARD participation is considered a conviction for sanctioning of CDL holders. Q: Will an administrative per se suspension for a DUI arrest in another state affect my PA driving privilege? A: Yes. CDL holders that receive an administrative per se suspension will have their commercial driving privilege disqualified. Q: Can a disqualified CDL driver operate a non-commercial vehicle? A: Yes. If a driver holds a CDL license or permit and is only disqualified from operating a CMV, the person is eligible to apply for a non-commercial driver s license to drive a non-commercial motor vehicle during the disqualification. An application to apply for a non-commercial license will be enclosed with the disqualification notice. Q: How do I get my CDL privilege restored? A: In addition to serving the time required to the disqualification, you will have to pay a restoration fee to PennDOT before your CDL will be returned. Q: How can I obtain additional information? A: You may write to the following address: PennDOT P.O. Box Harrisburg, PA OR CALL Monday through Friday during the hours of 8:00 a.m. - 5:00 p.m., Eastern Time in state TDD: out of state TDD:

39 The PSATS CDL Program acknowledges enrollment of the following driver in our qualified testing consortium: Federal law exempts local government employees from needing a medical card for interstate commerce, while PA Code Title 67 Section 231.8(6) exempts local government employees from needing a medical card for intrastate commerce. Other important information for the driver is contained on the reverse. PSATS CDL Program, 4855 Woodland Drive, Enola, PA, (P) , (E) cdl@psats.org The PSATS CDL Program acknowledges enrollment of the following driver in our qualified testing consortium: Federal law exempts local government employees from needing a medical card for interstate commerce, while PA Code Title 67 Section 231.8(6) exempts local government employees from needing a medical card for intrastate commerce. Other important information for the driver is contained on the reverse. PSATS CDL Program, 4855 Woodland Drive, Enola, PA, (P) , (E) cdl@psats.org The PSATS CDL Program acknowledges enrollment of the following driver in our qualified testing consortium: Federal law exempts local government employees from needing a medical card for interstate commerce, while PA Code Title 67 Section 231.8(6) exempts local government employees from needing a medical card for intrastate commerce. Other important information for the driver is contained on the reverse. PSATS CDL Program, 4855 Woodland Drive, Enola, PA, (P) , (E) cdl@psats.org

40 Important Driver Information Regarding Post-accident Testing Section 49 CFR requires the driver of a commercial motor vehicle involved in an accident (whether it involves another vehicle or not) to take: (1) a DRUG AND ALCOHOL test if a fatality occurred; or (2) a DRUG AND ALCOHOL test if the driver receives a citation for a moving traffic violation within 8 hours of the accident and either (a) any involved vehicle was towed or (b) someone injured in the accident receives medical treatment away from the scene; or (3) a DRUG test if the driver receives a citation for a moving traffic violation between 8 and 32 hours after the accident and either (a) any involved vehicle was towed or (b) someone injured in the accident receives immediate medical treatment away from the scene. Your employer is to identify here the name, address, and phone number of your nearest 24/7 PSATS CDL Program test site: Phone #:. Should you need to take a post-accident test as defined above, you must immediately contact this facility to inform them of your pending arrival so they may be ready. Unless medical attention is required, you must take any alcohol test within 8 hours of the accident and you must take any any drug test within 32 hours of the accident. If unable to meet either of these time frames, the employer shall maintain a record in the employee s file stating the reason the test was not administered for submittal to any authorize authority upon request. Important Driver Information Regarding Post-accident Testing Section 49 CFR requires the driver of a commercial motor vehicle involved in an accident (whether it involves another vehicle or not) to take: (1) a DRUG AND ALCOHOL test if a fatality occurred; or (2) a DRUG AND ALCOHOL test if the driver receives a citation for a moving traffic violation within 8 hours of the accident and either (a) any involved vehicle was towed or (b) someone injured in the accident receives medical treatment away from the scene; or (3) a DRUG test if the driver receives a citation for a moving traffic violation between 8 and 32 hours after the accident and either (a) any involved vehicle was towed or (b) someone injured in the accident receives immediate medical treatment away from the scene. Your employer is to identify here the name, address, and phone number of your nearest 24/7 PSATS CDL Program test site: Phone #:. Should you need to take a post-accident test as defined above, you must immediately contact this facility to inform them of your pending arrival so they may be ready. Unless medical attention is required, you must take any alcohol test within 8 hours of the accident and you must take any any drug test within 32 hours of the accident. If unable to meet either of these time frames, the employer shall maintain a record in the employee s file stating the reason the test was not administered for submittal to any authorize authority upon request. Important Driver Information Regarding Post-accident Testing Section 49 CFR requires the driver of a commercial motor vehicle involved in an accident (whether it involves another vehicle or not) to take: (1) a DRUG AND ALCOHOL test if a fatality occurred; or (2) a DRUG AND ALCOHOL test if the driver receives a citation for a moving traffic violation within 8 hours of the accident and either (a) any involved vehicle was towed or (b) someone injured in the accident receives medical treatment away from the scene; or (3) a DRUG test if the driver receives a citation for a moving traffic violation between 8 and 32 hours after the accident and either (a) any involved vehicle was towed or (b) someone injured in the accident receives immediate medical treatment away from the scene. Your employer is to identify here the name, address, and phone number of your nearest 24/7 PSATS CDL Program test site: Phone #:. Should you need to take a post-accident test as defined above, you must immediately contact this facility to inform them of your pending arrival so they may be ready. Unless medical attention is required, you must take any alcohol test within 8 hours of the accident and you must take any any drug test within 32 hours of the accident. If unable to meet either of these time frames, the employer shall maintain a record in the employee s file stating the reason the test was not administered for submittal to any authorize authority upon request.

41 COMMERCIAL MOTOR VEHICLE DRIVER ACCIDENT LOG Today s Date: Driver s Full Name: Driver License #: Federal regulations at 49 CFR (b) require all employers to maintain at least the following information regarding any accident (as defined below) of this driver for three years, as well as all other accident reports required by State or other governmental entities or insurers. The regulations at 49 CFR define an accident as an occurrence involving a commercial motor vehicle operating on a highway in interstate or intrastate commerce which results in: (i) A fatality; (ii) Bodily injury to a person who, as a result of the injury, immediately receives medical treatment away from the scene of the accident; or (iii) One or more motor vehicles incurring disabling damage as a result of the accident, requiring the motor vehicle(s) to be transported away from the scene by a tow truck or other motor vehicle. The term accident does not include: (i) an occurrence involving only boarding and alighting from a stationary motor vehicle; or (ii) an occurrence involving only the loading or unloading of cargo. Date of accident: Municipality and state in which accident occurred: Number of people injured: Number of fatalities: Were hazardous materials, other than fuel spilled from the fuel tanks of motor vehicles involved in the accident, released? If yes, identify such materials here: PSATS CDL Program Form ACCIDENT

42 EMPLOYER S NOTICE OF CDL DRIVER S CONVICTION Today s Date: Driver s Full Name: Driver License #: Federal regulations at 49 CFR require employees who have a CDL and operate commercial motor vehicles to notify their current employer(s) and the state(s) which issued the license of any conviction for violating, in any type of motor vehicle, a motor vehicle law (except parking). The notification must be made (using this form) within 30 days of the date of that conviction. Date of conviction: Location of offense: Identification of the specific laws violated for which I was convicted: List any suspension, revocation, or cancellation of driving privileges resulting from such conviction(s); These violations did ( ) / did not ( ) occur while I was driving a commercial motor vehicle. I certify by signing below that this is a true and complete account of the events regarding this conviction. Driver s Signature PSATS CDL Program Form CONVICTION