Companies in the transportation industry are subject to background screening requirements from the U.S. Department of Transportation (DOT).
Understanding the compliance and screening issues that can arise when conducting DOT background checks will help your company avoid legal issues, hire safe drivers, and streamline the hiring process.
This guide will help you understand how to complete compliant and accurate DOT background checks.
Key Takeaways
- DOT-regulated employers must comply with FMCSA regulations when hiring applicants for safety-sensitive jobs, including requirements for background checks, drug tests, pre-employment DOT physicals, and more.
- Failing to complete DOT background checks could expose regulated employers to substantial liability, endanger public safety, and could lead to significant fines and penalties.
- DOT background checks are required to reduce the risk of serious accidents, injuries, and fatalities.
What is a DOT Background Check?
A DOT background check is a comprehensive review of a commercial driver’s qualifications, driving history, and compliance with federal safety standards to ensure they can safely operate commercial vehicles.
Why are They Important?
Each year, the National Highway Traffic Safety Administration (NHTSA) reports an average of 400,000 large truck crashes occur in the U.S., and 4,000 result in fatalities.
Because of the dangers posed by large commercial vehicles, the U.S. Department of Transportation (DOT) stringently regulates the trucking industry and requires background checks on all applicants for safety-sensitive jobs.
Regulated employers complete DOT background checks for the following reasons:
1. Maintain Compliance
Regulated employers must complete specific search types and pre-employment clinical tests on CDL drivers to comply with Federal Motor Carrier Safety Administration (FMCSA) regulations.
2. Mitigate Liability Risks
DOT background checks identify drivers with poor driving histories and other issues so employers can exclude them. This reduces liability risks.
3. Protect Public Safety
By identifying and excluding unsafe drivers through background checks, employers can keep public roadways safer.
What Does a DOT Background Check Consist of?
Under the DOT’s published checklist, motor carriers must maintain driver qualification files for all commercial vehicle operators that include the following types of records:
1. Drug and Alcohol Screening
You are required to screen employees who will operate commercial vehicles for drug and alcohol use.
This involves consulting the FMCSA’s drug and alcohol testing program (Drug and Alcohol Clearinghouse) to verify that the candidate has not violated any laws regarding controlled substances or alcohol in the past three years.
Unless a candidate can show that they were screened for drugs within the past six months or underwent random drug testing over the past year, they must submit to a pre-employment drug screening test as part of a DOT background check.
2. Medical and Physical Exam
A DOT physical exam is necessary to verify that a job candidate does not suffer from any serious medical condition that would prevent them from safely operating a commercial vehicle on the road for an extended period.
The exam must be certified by a medical professional who is listed on the National Registry of Certified Medical Examiners.
3. Past Employment Verification
DOT Rule 49 CFR Part 391 describes what is required by DOT on an employment verification report. Generally, the DOT requires you to verify an applicant’s Safety Performance History with their past employers for at least the past three years.
Similar to a standard pre-employment background check, past employment verification for a DOT background check informs you as to whether a job applicant was truthful in their application with respect to their job experience.
Verifying a candidate’s past employment will also provide important information on their commercial driving history, including the list of states where they may have previously held a CDL.
4. Driving History
For at least the past three years, you must review the driving history of a job applicant for each state in which they held a CDL.
5. Road Driving Test
Per 49 CFR 391.31(e), you must verify that every driver you employ has passed an official road test and maintain their certificates in their official driver qualification files.
This aspect of a DOT background check should not be overlooked because it ensures that a job applicant is capable of safely operating the vehicles your company uses. If your company has a fleet of vehicles that are oversized or have unique features, it is prudent to make sure that an applicant has the requisite skills and knowledge to pass a road test in the same commercial vehicle that they will be driving for you.
Know Before You Hire
DOT Background Check Requirements
The FMCSA enforces safety regulations to ensure truck drivers and carriers operate safely on the nation’s highways.
Under FMCSA regulations, companies must complete DOT background checks on applicants who will drive the following vehicle types:
- Commercial vehicles with a gross weight of 10,001 or more pounds
- Passenger vehicles carrying from nine and 15 people even when they are not used for profit
- Trucks of any size that transport hazardous materials under 49 U.S.C. §§ 5101-5126
Drivers who drive these types of vehicles must have Class A, B, or C commercial licenses.
If they drive trucks transporting hazardous materials, they also need to have a HAZMAT endorsement on their CDLs. If you employ these types of drivers in interstate commerce, you will need to complete DOT background checks on each of them.
How to Run a DOT Background Check
1. Create a Comprehensive Policy for DOT Background Checks
Before you implement DOT background checks, create a comprehensive policy that includes specifics about what they should include.
Your policy should discuss DOT physicals, DOT drug screens, driver disqualifications, and other specific investigations required by regulators for safety-sensitive positions.
Thoroughly train your HR staff to ensure they understand the steps involved in the background check process, how to handle information when they receive reports, and the qualifications to look for when making hiring decisions.
2. Follow the FCRA’s Notice and Consent Rules
The FCRA mandates employers adhere to its notice and consent rules.
You must notify applicants that your company performs background checks on a standalone form.
Do not include information about other things on this form.
Before a CRA will initiate a background check, you must also obtain the applicant’s signed consent.
3. Choose a Reliable Background Check Provider
To ensure your background checks are legally compliant, work with a reliable provider like iprospectcheck.
Our extensive access to reliable information sources and advanced research methods allow us to return accurate, compliant background checks quickly.
We also offer clinical services, including DOT drug tests and DOT physicals.
4. Choose Relevant Reports
When you conduct DOT background checks, you’ll want to only choose the reports relevant to your open positions.
DOT background checks typically include the following reports:
- Criminal records check
- DOT physical
- DOT drug test
- Employment verification with a safety performance history from employers in the last three years
- Motor vehicle records (MVR) check from each state in which the applicant has held a CDL
- Verification the driver has passed a road test
5. Individually Assess Convictions
If an applicant has a criminal conviction that doesn’t affect their CDL, evaluate it and compare it to the duties of the job and safety concerns before basing your decision not to hire them on the conviction.
6. Communicate With the Applicant
If you decide to hire the applicant after reviewing their background check, communicate with them.
Schedule their start date and onboarding appointment.
7. Complete the Adverse Action Process
If you decide not to hire an applicant because of the results of their DOT background check, the FCRA requires you to complete the following steps:
- Send a pre-adverse action letter – Send a letter to the applicant that information in their background check might result in a denial of employment. Enclose a copy of the background check report that contains the information that concerns you.
- Provide a reasonable time to respond – Give the applicant a reasonable time to respond to the pre-adverse action letter. They can submit evidence showing the information is wrong or that they have been rehabilitated.
- Send a final adverse action letter – If you ultimately decide to turn down the applicant because of information from their DOT background check, send a final adverse action letter with a copy of their FCRA rights.
Know Before You Hire
Laws and Regulations
Federal Laws and Regulations
Fair Credit Reporting Act (FCRA)
The Fair Credit Reporting Act (FCRA) is a major federal law that protects consumers’ privacy in information gathered, maintained, and reported by consumer reporting agencies (CRAs), including employment background check providers.
This law also applies to employers when they order and receive background checks from third-party providers.
Before an employer can conduct a background check, they must notify the applicant in writing on a standalone form. This form can’t include any extraneous information.
They must also obtain the applicant’s written consent before initiating a background check.
CRAs that conduct background checks are not allowed to report the following information for jobs paying under $75,000 per year when it is seven or more years old:
- Arrests that didn’t lead to convictions
- Chapter 13 bankruptcies (Chapter 7 – 10 years)
- Paid tax liens
- Civil lawsuits
- Civil judgments
These time restrictions don’t apply to jobs with annual salaries higher than $75,000 or to other key information, including criminal convictions, employment history, driving history, education, license information, etc.
Before an employer can turn down an applicant for a job based on negative information in a background check, they must complete the adverse action process by taking the following steps:
- Send the applicant a pre-adverse action notice with a copy of the negative information from the report.
- Give the applicant a reasonable time to provide evidence the information is inaccurate or of rehabilitation.
- Send a final adverse action notice with a copy of the applicant’s rights if the employer still decides against hiring the applicant.
Title VII of the Civil Rights Act of 1964
Title VII of the Civil Rights Act of 1964 is a major anti-discrimination law that prohibits employment discrimination based on an applicant’s or employee’s protected characteristics.
The Equal Employment Opportunity Commission (EEOC), which is the federal agency that regulates employers under Title VII and other federal anti-discrimination and civil rights laws, has issued guidance for employers on what they should do when a background check reveals arrests or convictions.
Employers should evaluate the conviction in terms of the position for which the applicant is under consideration before deciding not to hire them.
Fair Chance to Compete for Jobs Act
The Fair Chance to Compete for Jobs Act is a relatively new law and applies to federal agencies and federal contractors.
Federal contractors must wait to complete background checks until after they have made contingent job offers and can’t inquire about an applicant’s criminal history earlier in the hiring process.
Federal agencies can’t contract with companies that violate the Fair Chance to Compete for Jobs Act by inquiring about an applicant’s criminal history before extending an employment offer.
CDL Driving Records Investigation Requirement
49 CFR part 391, § 391.23 is the federal regulation that requires transportation companies to investigate the driving records of commercial drivers.
Under this rule, employers must comply with the following requirements:
- Within 30 days of when the driver will start working, the employer must check the driver’s record in each jurisdiction in which they have held a driver’s license or driving permit during the past three years.
- Check with each of the driver’s former employers during the past three years to investigate the driver’s safety record.
- Check the Federal Motor Carrier Safety Administration (FMCSA) Drug and Alcohol Clearinghouse to obtain information about any drug or alcohol violations listed on the applicant’s record.
- Place copies of the applicant’s driving records from each jurisdiction in the qualification file and retain them.
- Deny employment for disqualified drivers.
Driver Disqualifications
The reasons for driver disqualifications are detailed in 49 CFR part 391, § 391.15.
Drivers might be disqualified for the following reasons:
- Driving under the influence of alcohol or drugs in a commercial vehicle
- License suspension, withdrawal, or revocation
- Refusal to submit to chemical testing
- Transporting schedule I controlled drugs while on duty
- Possession or use of controlled drugs while on duty
- Leaving the scene of an accident
- Being convicted of a disqualifying felony with a commercial vehicle
For these violations, a first offense will result in one year of disqualification. A second or subsequent offense will result in a three-year disqualification period.
Drivers can also be disqualified for out-of-service order violations as follows:
- First violation – Disqualification from 90 days up to 12 months; for a first violation while transporting hazardous materials or driving a commercial bus designed to carry 15 or more passengers, disqualification from 180 days up to two years
- Second violation within 10 years – Disqualification from one to five years; three to five years if transporting hazardous materials or driving a commercial bus designed to carry 15 or more passengers
- Third violation within 10 years– Disqualification from three to five years
Drivers can also be disqualified for violating the rules prohibiting texting while driving or using handheld devices while driving commercial vehicles as follows:
- Two texting or handheld device violations in three years – 60-day disqualification
- Three or more texting or handheld device violations in three years – 120-day disqualification
As previously noted, DOT-regulated employers are prohibited from hiring disqualified drivers.
Drug and Alcohol Testing Requirements
49 CFR part 40 includes the drug and alcohol testing requirements for applicants and employees in safety-sensitive positions that are regulated by the DOT.
Under this rule, applicants for safety-sensitive positions must submit to pre-employment DOT drug tests before they can work.
49 CFR part 40 was recently amended with an effective date for the final rule of June 1, 2023. In the past, DOT drug tests were urine screens that checked for an applicant’s recent use of the following substances:
- THC/marijuana
- Cocaine
- Amphetamines/methamphetamines
- Opiates/opioids
- Phencyclidine/PCP
The updated rule allows oral fluid testing as an alternative to urine tests.
DOT drug tests must be conducted by DOT-approved laboratories. Employers are not allowed to hire applicants who fail DOT drug tests.
Drivers Privacy Protection Act (DPPA)
The Drivers Privacy Protection Act (DPPA) protects consumer privacy in the records held by state departments of motor vehicles.
Employers are prohibited from accessing this information without first obtaining a signed consent from applicants.
They also can’t use the information obtained for non-permissible reasons. If they do, the applicants can file civil lawsuits to pursue actual and exemplary damages.
State Laws
States have varying regulations that apply to DOT-regulated employers, so you should check with your state to understand the requirements that apply to you.
Many states have passed ban-the-box laws that control when in the hiring process employers can perform background checks, and some states also have laws restricting pre-employment drug tests.
However, most ban-the-box and pre-employment drug-testing laws specifically exempt employers that must conduct background checks and drug tests under other laws, including DOT regulations.
iprospectcheck: Your Trusted Partner for Fast, Accurate, Compliant DOT Background Checks
At iprospectcheck, we have the requisite in-depth knowledge and experience in serving clients within the transportation industry to efficiently and accurately deliver DOT background check reports.
Along with helping your company maintain compliance with all applicable federal, state, and local regulations on employee background screening, our DOT background checks will help your company make safe and informed hiring decisions. Our attention to detail, quick turnaround times, comprehensive data, and responsive customer service make iprospectcheck your reliable choice for DOT background checks.
Contact us today to learn more about how we can assist you with all of your DOT background check needs or request a free quote.
DISCLAIMER: The resources provided here are for educational purposes only and do not constitute legal advice. Consult your counsel if you have legal questions related to your specific practices and compliance with applicable laws.
FAQs
How far back does a DOT background check go?
Regulated employers must request employment verification from an applicant’s previous DOT-regulated jobs going back at least three years.
Other parts of a DOT background check might go back further. For example, an employer might ask for a criminal history check of seven years or more.
Motor vehicle records checks (MVR) typically go back from three to five years.
What is a driver safety performance history and when do I need to perform them?
FMCSA regulation 49 CFR 391.23 requires regulated carriers to perform the following checks on prospective drivers:
- Motor vehicle records in each state where a driver has held an operator’s license or permit during the previous three years within 30 days of the start of employment
- Safety performance history from the Department of Transportation for each regulated employer during the past three years
The safety performance history information shows the driver’s DOT safety record from each DOT-regulated carrier where they worked in the last three years, and you must maintain a copy in the employee’s personnel file.
Include a note in a new driver’s file explaining why they don’t have a previous DOT driving history.
What is a driver’s certification of violations and when do I need to perform them?
Under 49 CFR 391.27, motor carriers must complete a driver’s certification of violations annually for each driver.
The driver must provide you with a complete list of all traffic violations that have resulted in convictions or forfeiture of bonds/collateral other than parking tickets. This list must be certified and kept in their qualification file.
How long does a DOT background check take?
The time that it could take you to complete a compliant and comprehensive DOT background check on a prospective or current employee will vary based upon your familiarity with the relevant databases, how accurately you can verify the employee’s identifying information, the extent of the employee’s driving history, and many other factors.
In addition, the drug and alcohol screening and medical exam are vital elements of the screening process and would be time-consuming to complete in-house or without the assistance of a trusted DOT background screening vendor.
The most efficient way to complete a DOT background check on a prospective or current employee is to work with a dependable background screening vendor that has in-depth experience with compliance with transportation industry regulations and the necessary resources to quickly obtain and process the applicant’s records.
When you request a DOT background check from iprospectcheck, we can provide you with quick and accurate results on an urgent basis.
