NU-FLT-313 — DRIVER QUALIFICATION FILES (49 CFR Part 391)
Tier 2/3/4 — Procedure + Field Card + Form · Rev DRAFT · Drafted August 2, 2026 · Owner: Office (Adam until the Office/Billing Coordinator seat is filled — NU-GOV-005) Parent: NU-FLT-300 Equipment & Fleet Program · Safety authority: NU-SAF-100 · Drug & alcohol program: NU-SAF-120 (drafting in parallel). Why this exists (from the register): open compliance exposure — a roadside inspection or a single accident opens the whole file.
THE GATE
No one drives a Nova truck-and-trailer combination over 10,001 lb until his Driver Qualification file exists and every row of the DQ File Checklist (NU-FLT-313-F, §10) is checked, dated, and signed. The file is the qualification. No file, no keys.
This is the one Nova SOP where the paperwork is the protection. In a roadside inspection, the officer runs the driver and the DOT number on the spot. After an accident, the plaintiff's attorney requests the DQ file before he requests anything else — and a missing MVR or expired medical card turns a driver's mistake into a negligent entrustment case against the company. Everything on this page is written so the file is boring when somebody opens it.
0. STEP ZERO — REACTIVATE USDOT 4221697
Nova holds USDOT 4221697, and as of 8/1/26 the record shows INACTIVE in FMCSA's SAFER system — most likely a lapsed MCS-150 biennial update. Every DOT number must re-file the MCS-150 every two years even if nothing changed; miss it and FMCSA deactivates the number.
| Step | Action |
|---|---|
| 1 | Log in to the FMCSA Portal (login.gov account) and file the overdue MCS-150 update for USDOT 4221697. Filing the update is what reactivates the number. |
| 2 | Update the numbers on it honestly: 7 trucks, trailers, drivers, intrastate GA, private property carrier (Nova hauls its own equipment, not freight for hire). |
| 3 | Confirm the record flips to ACTIVE in SAFER (safer.fmcsa.dot.gov) — takes days, not weeks. |
| 4 | [Adam: confirm whether GA DPS requires a separate intrastate registration/renewal on top of the federal record — one call to the Motor Carrier Compliance Division answers it.] |
Everything below is drafted as APPLYING. The trucks tow the trailers today whether the record says ACTIVE or INACTIVE — an inactive number does not pause the rules, it just adds "operating with an inactive USDOT number" to the citation list. Reactivate first, build files second, and don't let step zero become the excuse to delay the files.
1. WHO NEEDS A DQ FILE
Every driver of a commercial motor vehicle — and a CMV is any vehicle or combination rated 10,001 lb or more (GVWR, GCWR, or actual weight, whichever is greater; 49 CFR 390.5).
A ¾-ton pickup alone can sit under the line. The same pickup hooked to an equipment trailer with a mini-ex on it is over it — usually well over. Practically: every man at Nova who tows needs a DQ file. That is the working rule until the Fleet Register proves otherwise.
| Question | Answer |
|---|---|
| Who exactly is over 10,001 lb? | Read the door sticker (GVWR/GCWR) plus the trailer VIN plate — the same numbers NU-FLT-310 §2 needs. [Adam: door stickers → Fleet Register, still [fill]. Until it's filled, treat every truck-and-trailer combo as over the line.] |
| Does intrastate-only work exempt us? | No. Georgia adopts the federal safety rules for intrastate carriers, with limited variances (intrastate drivers may be 18+ instead of 21). [Adam: confirm the exact GA variances with DPS when making the step-zero call.] |
| Office staff who never tow? | No file needed — until the day they tow. The roster in NU-FLT-313-F says who is qualified; anyone not on it doesn't hook a trailer. Ties to NU-FLT-310 §1 "Who is allowed to tow." |
2. THE CDL QUESTION (carried from NU-FLT-310 §1)
Two separate lines, and crews mix them up constantly:
| Line | Weight | What it triggers |
|---|---|---|
| 10,001 lb combined | CMV — DQ file, medical card, DVIR, marking, all of Part 391 | Nearly every Nova combo |
| 26,001 lb combined with a trailer over 10,000 lb | CDL Class A on top of everything above | [Adam: which combos? Door stickers + trailer plates — same open item as NU-FLT-310 §11. A truck at 11,500 GVWR pulling a 14,000 GVWR trailer is at 25,500 — legal without a CDL. The same truck with a 16,000 trailer is at 27,500 — Class A, full stop.] |
If any Nova combo crosses the Class A line, only CDL-A holders drive that combo — today, not after the paperwork catches up. The DQ roster (NU-FLT-313-F) gets a CDL column so the dispatcher can see at a glance who can pull what.
3. THE FILE — WHAT GOES IN IT
One file per driver. Every item below is a row on NU-FLT-313-F with a date and initials.
| # | Item | Citation | The rule |
|---|---|---|---|
| 1 | Employment application | 391.21 | The DOT-format application — 3 years of addresses, 3 years of employers (10 for CDL), accident and violation history, signed and dated. The generic hiring app doesn't cover it; use the DOT form. |
| 2 | MVR at hire | 391.23 | Pull the motor vehicle record from every state the man was licensed in over the past 3 years. In the file within 30 days of hire. |
| 3 | Safety performance history | 391.23(d) | Written inquiry to every DOT-regulated employer from the past 3 years — accidents and drug/alcohol history. Document the attempts even when nobody answers; the attempt is the compliance. |
| 4 | Road test certificate — or CDL equivalency | 391.31 / 391.33 | A qualified person rides along and signs the road test certificate — truck and trailer, since that's the job. For a CDL holder, Nova may accept the valid CDL in place of the road test (391.33) — copy the license and note the acceptance. Nova's road test is the trailer sign-off already required by NU-FLT-310 §1 / Training Tracker (NU-PPL-405) — one event, two records. |
| 5 | Medical examiner's certificate | 391.43 / 391.45 | DOT physical by a certified examiner; certificate good for up to 24 months (less if the examiner says so). Expired card = out of the seat that day. |
| 6 | National Registry verification — non-CDL drivers only | 391.51(b)(8)(i) | A note in the file verifying the examiner was listed on FMCSA's National Registry (nationalregistry.fmcsa.dot.gov) on the exam date. Thirty seconds online; it's the row everybody forgets. CDL drivers use the CDLIS MVR per §4 instead — this requirement was sunset for CDL-required drivers as of June 22, 2025 under FMCSA's Medical Examiner's Certification Integration (NRII/CDLIS) final rule (391.51(b)(8)(ii)). |
| 7 | Annual MVR + annual review of driving record | 391.25 | Every 12 months: pull a fresh MVR, a designated person reviews it against §6, signs and dates a review note. This is the loop in §5. |
| 8 | Violation certification | (former 391.27) | The old separate driver's annual list of violations was rescinded by FMCSA in 2022 and folded into the 391.25 annual review. No separate form needed — the annual review row covers it. Noted here so an old checklist from the internet doesn't send anyone chasing a retired requirement. |
Timing on a new hire: application, road test, medical card, and the National Registry note are done before he drives. The MVR and safety-history inquiries go out before he drives and must be in the file within 30 days.
4. CDL HOLDERS — TWO EXTRAS
| Extra | Citation | The rule |
|---|---|---|
| Medical cert lives on the license record | 391.51(b)(6)(ii) | CDL holders self-certify their status to GA DDS and the medical card posts to the CDLIS driving record. For them, the file holds the CDLIS MVR showing current medical status instead of a paper card. Pull it at hire and at every annual review. |
| Drug & Alcohol Clearinghouse queries | Part 382, subpart G | Full query before the first drive (with the driver's electronic consent) and a limited query every year for as long as he drives. A hit means he does not drive until the return-to-duty process clears him. Testing, the consortium, and return-to-duty all live in NU-SAF-120 — this document only requires the queries and files the results. |
5. THE ANNUAL LOOP
Once a year per driver, one sitting, four checks — this is where DQ files die at every small carrier, so it gets a date, not an intention.
- Pull the annual MVR (CDLIS MVR for CDL holders — also confirms medical status).
- Review it against §6, sign and date the review note (391.25).
- Run the annual limited Clearinghouse query (CDL holders).
- Check the medical card expiration — calendar the renewal 30 days ahead of the date.
[Adam: who owns the annual tickler — office calendar, or a Softr date field that flags expiring items? Name the owner and the tool; an undated annual requirement is a missed annual requirement.]
6. DISQUALIFYING OFFENSES (391.15, in plain English)
A driver is disqualified — out of the seat, no discretion below Adam — for:
| Offense | Plain English |
|---|---|
| License suspended, revoked, or canceled | No valid license, no driving. Includes losing the class or endorsement the combo requires. |
| DUI in a CMV | Alcohol at 0.04+, driving under the influence, or refusing a test — refusal counts the same as failing. |
| Drugs | Driving a CMV under the influence of, or in possession of, controlled substances. |
| Leaving the scene | Of any accident while operating a CMV. |
| A felony involving the truck | Any felony committed using a CMV. |
First offense: one year out (three if hauling hazmat). Second: life. And separate from 391.15 — a positive DOT test or refusal under NU-SAF-120 pulls a man from driving until return-to-duty is complete.
The practical rule for the crew: if anything happens to your license — a ticket, a suspension, a DUI charge anywhere, in any vehicle — you tell the Supervisor before your next shift. Nova finding out from the annual MVR pull, eleven months late, is how a company ends up defending a negligent-retention claim. Self-reporting is a points matter under NU-PPL-403; hiding it is a firing matter.
7. WHERE FILES LIVE & HOW LONG
| Rule | Detail |
|---|---|
| Location | [Adam: name it — locked office cabinet, Softr record with scans, or both. The file has SSNs, medical info, and MVRs in it: locked and access-controlled either way, and medical/Clearinghouse pages separated from the general personnel file.] |
| Retention | The application and road test certificate: entire employment + 3 years. MVRs, annual reviews, medical certificates, National Registry notes: 3 years from the date executed (391.51(d)) — old ones can rotate out, but never the current one. |
| Who can open it | [Adam: confirm this access list] — Nova's recommended default: Adam, the Office seat, and the Supervisor. Nobody else — these are the most sensitive records Nova holds outside payroll. |
8. ROADSIDE — WHAT THE DRIVER ANSWERS WITH (Tier-3 card)
The laminated half of this SOP. When a DOT officer lights you up, this is the whole conversation:
- License — valid, right class for the combo.
- Medical card — current, in the truck (CDL holders: it's on your license record, but carry the copy anyway).
- Today's time record — Nova runs local under the 150-air-mile short-haul rules (395.1(e)): no logbook, but the office keeps your start/end times. Know that answer. (Procedure: NU-FLT-314.)
- DVIR book — this morning's pre-trip walk-around done, last defect signed off (396.11 — the physical book in the truck, per NU-FLD-200 Driver chapter and the Daily Truck Log pad).
- Registration and insurance — with the truck papers.
- Load strapped per NU-FLT-310 — four tiedowns, and you can say why.
- Belt on, phone down — Part 392 driving rules; the two violations written before the officer reaches the window.
Answer straight, hand over what's asked, don't volunteer, call the Supervisor before you roll again. If it goes worse than an inspection, NU-SAF-121 takes over.
9. THE NEVER LIST
- Never let a man drive a CMV before the file is built — "we'll paper it Friday" is the sentence a lawyer reads back in a deposition.
- Never let a driver roll on an expired medical card — not one day, not to finish the week.
- Never skip the Clearinghouse query on a CDL hire because "he seems solid." The query exists because the last carrier's file doesn't follow him unless you ask.
- Never leave DQ files loose or unlocked — MVRs and medical info are not break-room reading.
- Never find out about a suspension from the annual MVR — §6 self-reporting is the rule, and it gets enforced.
10. THE FORM — NU-FLT-313-F "DQ FILE CHECKLIST" (Tier 4)
One page per driver, top sheet of his file; the roster of these forms is Nova's answer to "who is qualified to drive what." Softr build: one table, one row per driver, date fields flag what's expiring.
Driver: __ · Hire date: __ · License #/State/Class: ______ · CDL: Y / N · Cleared to tow (NU-FLT-310 §1): Y / N
| Item | Date done | Expires / next due | Initials |
|---|---|---|---|
| DOT employment application (391.21) | — | ||
| MVR at hire — all states, in file ≤30 days (391.23) | — | ||
| Safety performance history inquiries sent (391.23(d)) | — | ||
| Road test certificate (391.31) or CDL accepted (391.33) | — | ||
| Medical examiner's certificate (391.43/391.45) | Exp: ____ | ||
| National Registry verification note (391.51(b)(8)(i)) — non-CDL drivers only; CDL drivers use the CDLIS MVR per §4 (requirement sunset 6/22/2025 under the NRII rule) | — | ||
| Clearinghouse pre-employment full query (CDL only — NU-SAF-120) | — | ||
| Annual MVR + review note (391.25) | Due: ____ | ||
| Annual limited Clearinghouse query (CDL only) | Due: ____ |
11. DONE WHEN
- USDOT 4221697 shows ACTIVE in SAFER.
- Every current driver who tows has a complete NU-FLT-313-F — every row dated and initialed, no blanks.
- The CDL question is answered with sticker numbers, not estimates, and any Class A combos are matched to CDL-A drivers on the roster.
- The annual tickler exists with an owner and a date for every driver.
- A new hire cannot get keys before the file exists — because the file checklist is wired into onboarding (NU-PPL-401/405), not memory.
12. WHAT THIS DOCUMENT NEEDS FROM ADAM
- Step zero: file the MCS-150 and reactivate USDOT 4221697. Thirty minutes on the FMCSA Portal. Everything else in this document assumes it's done.
- Read the door stickers. GVWR/GCWR per truck, GVWR per trailer, into the Fleet Register — this answers §1 (who's over 10,001) and §2 (whether Class A is live) in one walk through the yard. Same open item as NU-FLT-310 §11, still open.
- Name where files live (§7) — cabinet, Softr, or both — and who holds the key.
- Name the annual-tickler owner (§5).
- Confirm GA intrastate specifics with DPS on the step-zero call: state registration, intrastate variances (§1).
- Sequence with NU-SAF-120: the Clearinghouse rows in §4 and the form assume the drug & alcohol program (consortium enrollment, testing) lands — it's drafting in parallel; neither document is complete without the other.
NU-FLT-313 · Rev DRAFT · Nova Underground · Parent: NU-FLT-300 · Related: NU-FLT-310, NU-FLT-312/314, NU-SAF-120, NU-SAF-121, NU-FLD-200 Driver ch. · Update NU-GOV-000 register on issue · Uncontrolled when printed.