Perform DQ file self-audits: Don’t take the risk of not knowing
Kathy Close, Editor - Transport Safety
November 11, 2021
Each year, driver qualification violations appear in the list of top acute and critical violations discovered during motor carrier audits.
Investigations performed by the Federal Motor Carrier Safety Administration (FMCSA) consistently reveal the use of unqualified drivers by way of:
These types of Driver Qualification (DQ) file violations may result in:
The DQ file is more than a recordkeeping obligation under FMCSA’s rules. It is a risk management tool to identify those drivers who are a potential safety risk.
Use of a driver with an incomplete DQ file creates a liability in the event of a high-profile crash. A plaintiff’s attorney would relish the idea of a non-existent or incomplete DQ file to assert claims of negligent hiring, retention, or entrustment. In fact, the plaintiff may argue that a driver who does not have a compliant DQ file should never have been driving in the first place based on the safety regulations, no matter how safe and responsible the driver is.
Many of the items created at time of hire are retained during employment plus three years. As a result, mistakes made during this initial qualification will be evident throughout the driver’s career with your motor carrier.
Rather than audit the DQ file for mistakes after a driver is assigned to one your vehicles, it’s best to have a new hire checklist that is referenced as the file is set up.
Someone at the carrier should be assigned and trained on the task of maintaining existing DQ files. Document dates are especially important for the maintenance of the file, as renewable items expire. A missed deadline will result in a noncompliant file. A reminder system (tickler file) such as a spreadsheet or software helps to ensure files are kept up to date.
An annual self-audit of your DQ files will offer a clear picture on how well your recordkeeping would fare during an audit or lawsuit.
Examine files for:
If a motor carrier has a small number of drivers, it is advisable to review all the driver files. If the carrier has too many drivers to make this task feasible, it could take an annual sampling of files.
A self-audit can be done in-house or through the objective eyes of a DQ file management or consulting service.
Any issues discovered during the self-audit must be addressed immediately to show a good faith effort in the event of an audit. The motor carrier’s actions following a self-audit aid in reducing fines and penalties. Never try to hide a violation (e.g., backdate a document).
Some violations can never be resolved, such as new hire documents that were never created or missed a deadline. The most you can do in these instances is generate a note acknowledging the error and what you are doing going forward so the violation does not happen again (e.g., reassign the role of DQ file administration, retrain staff). For those items that are currently overdue, the carrier needs to request the document as soon as possible. Late is better than never.
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Managing driver qualification (DQ) files involves knowing a little about a lot of topics, ranging from driver application to fed med cards. Here's what you need to know to keep your DQ files in compliance.