Driver Qualification Files

OMB Control No: 2126-0004	ICR Reference No: 202012-2126-002
Status: Received in OIRA	Previous ICR Reference No: 201910-2126-001
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	Date Submitted to OIRA: 01/04/2021

	Requested	Previously Approved
Expiration Date	36 Months From Approved	04/30/2023
Responses	98,348,760	101,430,000
Time Burden (Hours)	12,212,993	12,270,567
Cost Burden (Dollars)	0	154,500,000

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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. FMCSA proposes to eliminate the requirement that drivers operating commercial motor vehicles (CMVs) in interstate commerce prepare and submit a list of their convictions for traffic violations to their employers annually. This requirement is largely duplicative of a separate provision that requires each motor carrier to make an annual inquiry to obtain the motor vehicle record (MVR) for each driver it employs from every State in which the driver holds or has held a CMV operator’s license or permit in the past year. To ensure motor carriers are aware of traffic violations for a driver who is licensed by a foreign authority rather than by a State, that provision would be amended to provide that motor carriers must make an annual inquiry to each driver’s licensing authority where a driver holds or has held a CMV operator’s license or permit. This change would require motor carriers to request the MVR equivalent from Canadian and Mexican driver’s licensing authorities. FMCSA expects that removing the requirement for drivers to provide a list of their convictions for traffic violations to their employers annually would reduce the paperwork burden on drivers and motor carriers without adversely affecting CMV safety. IC-2.1, “Driver submits list of violations” and IC-2.2, “Motor carrier files list of violations in DQ file” are removed from the ICR in this revision, and the driver population has been updated.

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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:
2126-AC15	Proposed rulemaking	85 FR 80745	12/14/2020

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 13

IC Title Form No. Form Name IC-2.2 Motor carrier files list of violations in DQ file IC-2.1 Driver submits list of violations IC-1.4 Hiring motor carrier requests safety performance history from applicant's prior employers IC-1.3 Hiring carrier requests applicant's MVR from SDLAs IC-1.5 Prior FMCSA-regulated carrier response to request for safety performance history IC-2 Employer annual request to SDLAs for MVR IC-1.1 Driver prepares and submits employment application IC-1.2 Hiring motor carrier files application in DQ file 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 Request	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	98,348,760	101,430,000	0	-3,081,240	0	0
Annual Time Burden (Hours)	12,212,993	12,270,567	0	-57,574	0	0
Annual Cost Burden (Dollars)	0	154,500,000	0	-154,500,000	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: Yes

Burden Reduction Due to: Changing Forms

Short Statement: Rescinding 49 CFR 391.27, resulting in the removal of IC 2.1 and IC 2.2, decreases the responses by 3.6 million and eliminates 0.12 million burden hours, however due to driver population growth there is a 0.07 million increase in burden hours and a increase in the number of responses, resulting in an overall decrease of 3,081,240 responses and 57,574 burden hours. The labor-related costs reported in the previous ICR was removed from the table above. All labor-related costs are reported in section 12 of the supporting statement.

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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? No

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: 01/04/2021

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