Driver Qualification Files

OMB Control No: 2126-0004	ICR Reference No: 201910-2126-001
Status: Active	Previous ICR Reference No: 201607-2126-001
Agency/Subagency: DOT/FMCSA	Agency Tracking No:
Title: Driver Qualification Files
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 04/29/2020
Retrieve Notice of Action (NOA)	Date Received in OIRA: 01/27/2020
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2023	36 Months From Approved	04/30/2020
Responses	101,430,000	0	83,879,800
Time Burden (Hours)	12,270,567	0	10,210,000
Cost Burden (Dollars)	154,500,000	0	0

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Abstract: This ICR estimates the burden commercial motor vehicle (CMV) drivers and motor carriers incur to comply with the mandatory reporting and recordkeeping tasks required for motor carriers to maintain driver qualification (DQ) files. FMCSA’s authority to require carriers to maintain DQ files is in 49 U.S.C. 504, 31133, 31136, and 31502; 49 CFR 391.51; and 49 CFR 1.87. A motor carrier is required to maintain specified information in a DQ file for each CMV driver it employs. The purpose of the information is to document the driver’s qualifications to operate a CMV. DQ files assist the motor carrier in assessing the safety risk of hiring an individual to drive a CMV. The DQ file documents that a driver: (1) is physically qualified to operate a CMV, (2) has the experience and training to safely operate the type of CMV he or she is assigned to drive, (3) has the appropriate driver’s license, (4) has not been disqualified from operating a CMV, and (5) has a history of avoiding high-risk behavior. The annual burden associated with this information collection consists of the Driver Hiring Process (IC-1), the Annual Review of Driver Qualifications (IC-2), the Limited Exemptions from Driver Qualification Documentation (IC-3), and the Driver Review and Rebuttal of Safety Performance History (IC-4). The DQ file assists Federal and State safety investigators in determining that motor carriers are weighing these factors in deciding who may drive CMVs on their behalf. Motor carriers collect and maintain part 391 information, and FMCSA does not require that information to be submitted to the Agency. A motor carrier must make the part 391 information available when an FMCSA or State investigator conducts an on-site review at the motor carrier’s place of business or terminal. The ICR is a revision. This ICR estimates the burden hours for CMV drivers and motor carriers based on updated driver population and turnover rate data. The current ICR did not monetize driver and motor carrier burden hours. This supporting statement monetizes the burden for drivers and motor carrier personnel performing DQ file reporting and recordkeeping tasks. The current ICR included the burden hours incurred by motor carriers to obtain drivers’ medical examiner’s certificates (MECs) and file them in the drivers’ DQ files. This reporting and recordkeeping requirement is accounted for in the ICR titled Medical Qualification Requirements, covered by OMB Control Number 2126-0006, therefore the burden associated with this reporting and recordkeeping requirement is removed from this ICR to avoid double counting. The current ICR does not include an estimate of motor carrier burden hours to file the list of violations in the DQ file. The burden associated with this task is included in the supporting statement for this ICR.

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Authorizing Statute(s): US Code: 49 USC 504 Name of Law: Reports and records    PL: Pub.L. 98 - 554 98 Stat 2834 Name of Law: Motor Carrier Safety Act of 1984    US Code: 49 USC 31502 Name of Law: Requirements for qualification, hours of service, safety, and equipment standards    US Code: 49 USC 31133 Name of Law: General powers of the Secretary of Transportation    US Code: 49 USC 31136 Name of Law: United States Government regulations

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 26933	06/10/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 57934	10/29/2019
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 15

IC Title Form No. Form Name Driver Qualification Files IC-1.5 Prior FMCSA-regulated carrier response to request for safety performance history IC-2.3 Employer annual request to SDLAs for MVR IC-2.2 Motor carrier files list of violations in DQ file IC-1.1 Driver prepares and submits employment application IC-1.2 Hiring motor carrier files application in DQ file IC-1.4 Hiring motor carrier requests safety performance history from applicant's prior employers IC-2.1 Driver submits list of violations IC-1.3 Hiring carrier requests applicant's MVR from SDLAs IC-3.3 Regular employer provides certification of driver qualifications IC-4.2 Hiring carrier provides prior employer safety history to applicant IC-3.1 Multiple-employer driver provides license data and personal information IC-4.3 Driver prepares and submits rebuttal to previous employer IC-3.2 Motor carrier files driver license data and personal information IC-3.4 Second employer requests certification of driver qualifications and files certificate IC-4.1 Hiring carrier provides notification to drivers of right to review safety performance history

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ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	101,430,000	83,879,800	0	0	17,550,200	0
Annual Time Burden (Hours)	12,270,567	10,210,000	0	0	2,060,567	0
Annual Cost Burden (Dollars)	154,500,000	0	0	0	154,500,000	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The currently approved ICR estimated total burden hours at 10.21 million hours, however with this ICR revision the total burden hours are estimated at 12.27 million hours. The increase in burden hours is primarily the result of the growth in the driver population from 5.7 million drivers in the current ICR to 6.35 million estimated for this ICR. Burden hours also increased for reporting and recordkeeping activities because of the increase in the driver turnover rate from 62.8 percent to 71.6 percent. In addition, this ICR estimated 0.06 million burden hours for motor carriers to process drivers’ lists of violations (under IC-2.2) that was not accounted for in the current ICR. This ICR however removed 0.43 million burden hours for motor carriers review and filing of driver MECs, which is accounted for in the Medical Qualification Requirements ICR, OMB Control Number 2126-0006. The currently approved supporting statement did not monetize burden hours. This supporting statement monetizes driver and motor carrier burden hours for the tasks they perform to comply with the information that is required to be maintained in DQ files. Based on the wage rates for drivers and motor carrier personnel, the average annual monetized burden for drivers and motor carriers is estimated at $350.64 million. The cost to motor carriers to obtain MVRs from SDLAs increased from $78.3 million to $154.40 million. The increase is due to the growth in the driver population, the increase in job openings caused by the turnover rate increasing from 62.3 percent to 71.6 percent, and the increase in the fee paid to SDLAs for an MVR request from $5 per request to $10 per request. Thus, the average annual cost in this ICR is $505.04 million ($505.04 million = $350.64 million + $154.40 million).

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

Agency Contact: Pearlie Robinson 202 366-4325 [email protected]

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
		(a) It is necessary for the proper performance of agency functions;
		(b) It avoids unnecessary duplication;
		(c) It reduces burden on small entities;
		(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;
		(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;
		(f) It indicates the retention periods for recordkeeping requirements;
		(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:
			(i) Why the information is being collected;
			(ii) Use of information;
			(iii) Burden estimate;
			(iv) Nature of response (voluntary, required for a benefit, or mandatory);
			(v) Nature and extent of confidentiality; and
			(vi) Need to display currently valid OMB control number;
		(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.
		(i) It uses effective and efficient statistical survey methodology (if applicable); and
		(j) It makes appropriate use of information technology.
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
Certification Date: 01/27/2020

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