How can I bring an incomplete driver qualification file up to date?
There are no provisions in the Federal Motor Carrier Safety Regulations for fixing an incomplete driver qualification (DQ) file. But when you find something wrong with a DQ file, it’s important to address the situation. An incomplete or missing DQ file is among the list of “critical” violations that can go against your safety rating, and it’s one of the most frequently cited violations.
If the file is incomplete, you may have already violated the safety regulations and may be subject to penalties, but by making a “good faith effort” to fix the file and prevent future errors, you may be able to minimize the impact. Here are some steps you could take to make a “good faith effort” to fix an incomplete driver qualification file:
- First, figure out what is missing. Refer to the list in 391.51 to identify the items that are out of compliance, and refer to the ez Explanation of driver qualification files for guidance.
- Attempt to create the missing documents or fill in the missing information. If an application is missing, have the driver complete it using the current date. Include your carrier’s employment dates in the list of previous employers, as well as employers 3 years prior to joining your company (and 7 additional years for CDL holders).
If feasible, send out missing previous employment checks, whether the driver has been with you for a few months or a few years. This is another “good faith” effort. Because of potential liability issues in the event of an accident or serious violation, it is best to learn about your driver’s past, even if it is done in hindsight. Note that the rules for previous employment inquiries changed effective October 30, 2004:
- For drivers hired before October 30, 2004, the DQ file should contain a record of inquiries sent to all previous employers, whether DOT regulated or not, going back 3 years;
- For drives hired on and after October 30, 2004, information received from former employers (DOT-regulated only) must be kept in a Driver Investigation History file in a secure location with controlled access.
If your drivers have been with you for a number of years, it is unlikely that former employers will have records of them. At this point, the best you can do is put a note in the file of the error and go forward.
Of course, you cannot back date missing MVRs, Annual Reviews, or Medical Examiner’s Cards. You can only go forward with documents such as these. Never try to falsify records to hide administrative errors.
- Document what you did. Create a written, dated document stating that you found that the file was incomplete or missing. Indicate any administrative changes you made or intend to make to ensure compliance in the future (i.e., demonstrate that you are making a “good faith effort” to prevent it from happening again). Sign the document and place it in the DQ file.
If a motor carrier purchases another, it does not have to start the DQ files from scratch. But, any defects in the file must be accounted for and corrected. A note as to when the files were taken over should be included, along with any items that were missing or out of compliance at that time and the corrective action taken. This will show a “good faith effort” in the event of an audit.
