Driver Qualification Violations Guide 49 CFR Part 391

Driver Qualification File (DQF) compliance is the foundation of safe fleet operations, ensuring every driver meets federal safety standards. When carriers overlook documentation or fail to track expiring credentials, they expose themselves to major regulatory and safety risks. Strong DQF management protects fleets from violations, penalties, and operational disruptions.

Why Driver Qualification Violations Are Among FMCSA’s Most Serious

Driver Qualification File (DQF) violations remain one of the most frequent and costly issues carriers face during roadside inspections, New Entrant Audits, and Compliance Reviews. FMCSA considers driver qualification compliance a direct indicator of a carrier’s safety culture, because improperly vetted or unqualified drivers pose a major risk to public safety. 

When a carrier fails to maintain complete and accurate DQFs, it signals deeper systemic compliance weaknesses across the organization.

Driver Qualification requirements originate from 49 CFR Part 391, which outlines the minimum standards every CDL driver must meet before operating a commercial motor vehicle. 

These standards ensure a driver is physically qualified, properly licensed, free of disqualifying violations, and trained to operate safely. DOT auditors review DQFs to confirm that carriers have hired qualified drivers and are maintaining documentation proving ongoing compliance.

For fleets, DQF violations carry serious consequences. A single missing document such as a medical certificate or MVR can render a driver “Not Qualified,” triggering acute enforcement actions. 

Repeated violations lead to elevated CSA scores, increased scrutiny, potential fines, and even downgraded safety ratings. Carriers who operate without proper DQF controls make themselves vulnerable to Out-of-Service orders and liability exposure during crashes.

The problem for many fleets is that DQF management is often handled through spreadsheets, paper folders, or untrained staff, which increases the likelihood of missing documents and expired credentials.

Operating a CMV Without a DQ File – 49 CFR 391.51(a)

This is one of the most serious driver qualification violations and a direct violation of 391.51(a), which states that every motor carrier must maintain a complete Driver Qualification File for each driver. 

The DQ file is the backbone of compliance because it contains all documentation proving the driver meets FMCSA requirements. If the file is missing entirely or substantially incomplete, the driver is considered “Not Qualified” to operate a commercial motor vehicle.

Common reasons FMCSA cites this violation include:

• No DQ file created at the time of hire
• Lost or misplaced DQ files
• Failure to transfer driver documents during onboarding
• Incomplete digital uploads due to manual errors
• Trailers and seasonal drivers being overlooked

Operating a driver without a DQF is considered a systemic failure, suggesting the carrier lacks proper hiring and recordkeeping controls. This violation is often paired with secondary violations like missing MVRs, missing medical certificates, and missing employment verifications.

FMCSA may also expand the audit scope when this violation appears, assuming the fleet has additional gaps in compliance. This can lead to heightened enforcement actions and widespread document requests.

Driving While Not Medically Qualified – 49 CFR 391.41(a)

FMCSA requires all CDL drivers to be medically qualified under 391.41(a). This means the driver must have a valid, unexpired Medical Examiner’s Certificate (MEC), proving they meet DOT physical requirements. Allowing a driver to operate with an expired or missing medical certificate is a major violation and often leads to immediate enforcement action.

This violation typically occurs when:

• The medical card expires without the carrier noticing
• The driver fails a medical exam but continues to drive
• The driver provides a fraudulent or altered medical card
• The motor carrier fails to obtain a copy of the medical certificate
• The carrier forgets to update the driver record with the National Registry information
• Medical records are misplaced during internal transfers

When a driver operates without a valid medical certificate, FMCSA classifies them as “Not Medically Qualified.” This not only triggers violations but can also place the driver Out of Service. Carriers can be penalized for knowingly using a medically unqualified driver, which signals serious negligence.

Because DOT medical cards can have varying expiry dates based on blood pressure, medical conditions, and medication use, carriers must stay ahead of renewals.

No MVR on File – 49 CFR 391.23(a)(1) & 391.25(a)

FMCSA requires all carriers to obtain a Motor Vehicle Record (MVR) for every driver at the time of hire and annually thereafter, as outlined in 391.23(a)(1) and 391.25(a). Failure to maintain MVR documentation is one of the most commonly cited DQF violations because many fleets overlook annual updates or fail to collect MVRs from all states where the driver has held a license.

This violation typically occurs when:

• Carriers fail to request an MVR from the state
• Drivers hold licenses in multiple states and carriers check only one
• Annual review deadlines are missed
• MVR records are lost or improperly filed
• Outdated spreadsheets do not reflect accurate expiration dates

During an audit, FMCSA requires proof that the carrier reviewed the MVR and determined the driver was safe to operate. Missing evidence results in an automatic violation and increases the carrier’s Driver Fitness BASIC score.

The MVR is critical because it reveals patterns of unsafe driving, DUI convictions, license suspensions, and major moving violations. A missing MVR suggests the carrier may be unaware of driver risks, which heightens liability during accidents.

Incomplete or Missing Previous Employer Safety Performance History – 49 CFR 391.23(a)(2)

FMCSA requires carriers to investigate each driver’s Safety Performance History (SPH) for the last three years under 391.23(a)(2). This includes obtaining information from previous employers regarding drug and alcohol violations, crash involvement, and any safety-related issues. Failing to complete or document this investigation is one of the most frequently cited DQF violations during audits.

This violation typically occurs when:

• Carriers do not request records from previous employers
• Employers do not respond, and fleets fail to document follow-up attempts
• Staff lack knowledge of the correct SPH process
• Carriers rely solely on Clearinghouse queries and ignore SPH requirements
• Paper forms are lost or not filed correctly
• Seasonal or short-term drivers slip through the screening process

FMCSA expects carriers to make a good-faith effort to contact previous employers and document all attempts. Carriers must also maintain SPH documentation in the DQF for the entire duration of employment and three years afterward.

This requirement is essential because SPH records reveal safety red flags such as:

• Previous positive drug or alcohol test results
• Refusals to test
• Multiple at-fault crashes
• Records of termination for safety violations
• Excessive disciplinary actions

A missing or incomplete SPH review suggests inadequate hiring standards and raises concerns about whether the carrier is putting unsafe drivers on the road.

Missing Road Test Certificate or Equivalent CDL Skills Certificate – 49 CFR 391.31

Regulation 391.31 requires every driver to complete a road test unless they present a valid CDL that meets FMCSA skill standards. If the carrier does not administer a road test or fails to keep a copy of the driver’s CDL or road test certificate, the fleet is charged with a DQF violation.

Road test violations often occur when:

• Carriers assume a CDL alone is sufficient without verifying license class or endorsements
• Carriers fail to document the road test results on the official FMCSA form
• Trainers conducting the road test are not qualified
• Carriers fail to test drivers on vehicles matching the type they will operate
• Road test forms are incomplete or stored incorrectly
• New entrant carriers rush hiring without proper documentation

FMCSA requires the road test to verify the driver can:

• Operate safely in traffic
• Perform pre-trip and post-trip inspections
• Couple and uncouple trailers
• Maintain control on grades and in curves
• Back safely into docks or tight areas

A missing or improperly completed road test certificate means the carrier cannot prove the driver is competent to operate the assigned vehicle. If a crash occurs, liability increases dramatically.

Missing or Incomplete Driver Application – 49 CFR 391.21

FMCSA requires all CDL drivers to complete a detailed employment application under 391.21. A missing or incomplete application is one of the most frequent DQF violations because many carriers use outdated forms, store applications incorrectly, or fail to collect required information.

A compliant driver application must include:

• Full 10-year employment history for CDL drivers
• Driving experience
• Accident history
• Traffic convictions
• Previous employer contact details
• Certification and signature
• Previous drug and alcohol history questions (if applicable)

This violation commonly occurs because:

• Fleets use basic job applications instead of FMCSA-specific forms
• Drivers do not disclose full employment history
• Recruiting staff collect incomplete information
• Application modifications are not signed or dated
• Applications are stored separately from the DQF
• Digital systems are not configured to require all fields

Missing application details leave carriers vulnerable during audits. FMCSA considers an incomplete application a sign of poor hiring controls and may expand the scope of the investigation.

Failure to Conduct Annual Driver Review – 49 CFR 391.25(c)

Carriers must conduct an annual review of each driver’s performance under 391.25(c). This review includes examining the driver’s MVR, evaluating safety performance, and determining if the driver continues to meet FMCSA qualifications. Carriers must document these reviews in writing and maintain them in the DQF.

This violation occurs when:

• Carriers forget to conduct the annual review
• MVRs are obtained but no written review is completed
• Safety managers sign reviews without reading MVRs
• Reviews are undated or unsigned
• Annual review documents are misplaced
• Fleets rely solely on automated MVR pulls without documenting evaluations

The annual review is critical because it verifies continued driver fitness by evaluating:

• Crash involvement
• Moving violations
• Traffic convictions
• Medical qualification concerns
• Feedback from supervisors
• Any corrective action needed

FMCSA auditors request annual review documentation for every active driver. Missing paperwork results in immediate violations and raises questions about whether the company is effectively monitoring driver behavior.

Missing Clearinghouse Queries – 49 CFR 382.701

FMCSA’s Drug and Alcohol Clearinghouse regulation 382.701 requires carriers to run:

• A pre-employment full query before hiring a CDL driver
• Annual limited queries for all active drivers

Missing Clearinghouse queries is one of the most aggressively enforced violations because it directly relates to drug and alcohol safety. If carriers fail to conduct these mandatory checks, FMCSA considers the driver “Not Qualified” to operate a CMV.

This violation often occurs because:

• Carriers misunderstand Clearinghouse requirements
• Small fleets forget annual queries
• Carriers assume background checks cover drug and alcohol records
• Drivers do not register in the Clearinghouse on time
• Clearinghouse account access issues delay the process
• Pre-employment queries are skipped during urgent hiring

Clearinghouse queries prevent drivers with unresolved violations, substance abuse treatment requirements, or prohibited statuses from slipping into active duty. Missing these checks is a major red flag during audits.

Key Takeaways

• DQF violations are among FMCSA’s most critical safety violations.
• Missing MVRs, expired medical certificates, and incomplete SPH checks are the most common audit failures.
• Fleets using manual processes struggle to maintain complete, accurate DQ files.
• FMCSA requires strict documentation for hiring, qualification, and ongoing driver monitoring.

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