Hiring qualified drivers and ensuring they remain qualified to drive is central to a good safety compliance program. Trucking companies must ensure all new and existing drivers are up to code with state and federal regulations governing truck drivers, which indicates they meet the minimum safety and health requirements to operate a commercial motor vehicle. A driver’s record of these qualifications is called a driver qualification (DQ) file.
Because of the frequent onboarding due to high driver churn — and the use of leased, temporary or fill-in drivers — as well as outdated filing systems and overwhelmed staff, it can be a challenge for motor carrier staff to interpret Federal Motor Carrier Safety Administration requirements and keep up with DQ file management.
In fact, keeping compliant and organized DQ files was so much of an obstacle for companies that 42% of safety leaders reported it as the top issue pertaining to FMCSA compliance, according to J. J. Keller Center for Market Insights’ 2023 State of Fleet Management survey. The other two critical issues were staying up to date on regulation changes (42%) and having all files in place to manage and audit compliance (35%) — both of which are also critical to DQ file management.
Augmenting a carrier staff with state and federal regulatory experts can help an organization go above and beyond the minimum recordkeeping requirements.
J. J. Keller & Associates Inc., the trucking industry’s trusted safety and compliance specialists, shared five ways that outsourcing DQ file management to experts can help businesses stay in good regulatory standing and reduce the risk of a negligent hiring claim.
Advantages of outsourcing your DQ file management
1. Gain access to regulatory experts.
FMCSA regulations are complicated, especially because requirements aren’t uniform for drivers; companies must consider intricacies such as whether a driver has a CDL, whether the driver has a hazmat certification and whether the driver is interstate or intrastate.
“In a multistate operation where drivers operate commercial motor vehicles on an intrastate-only basis in several states, the complexity of managing driver qualification files makes regulatory experts imperative. Carriers must know when driver qualification files are required for intrastate-only drivers, and the files must be accurate per each state’s adoption of the safety regulations,” said Mark Schedler, senior editor of transportation management at J. J. Keller.
Trusted outsource partners can keep carriers current on complex federal and state driver qualification requirements and how they apply to their fleet as well as answer any compliance questions they have.
2. Streamline and vet each hire.
High driver turnover resulting in frequent onboarding, as well as the constant need to keep drivers’ files up to date, leaves employees less time to dedicate to thoroughly vetting new drivers. Without rigorous screening of a driver prior to hiring, however, a company risks a major red flag slipping through the cracks. In the worst scenario, if a driver is involved in a crash, it could lead to a negligent hiring claim.
“Inconsistencies with hiring documents and carriers missing safety issues on drivers’ motor vehicle records and the safety performance history or prior employer verifications create safety management control gaps that can be exploited in litigation,” Schedler said.
Third-party experts can help businesses examine candidates to avoid the acute and critical violations outlined in Appendix B to Part 385 Section VIII of the Federal Motor Carrier Safety Regulations (FMCSRs). An acute violation is a one-time violation that requires immediate corrective action. Critical violations demonstrate a pattern of noncompliance. In the eyes of the FMCSA, both types of violations demonstrate issues with a company’s safety performance and can lead to an investigation.
Motor vehicle record (MVR) codes and formats can vary state by state. Experts are familiar with these differences and can help companies complete the required MVR review at hire and annually. Additionally, they can score MVRs and monitor MVR activity year-round, which is a best practice.
3. Track company-specific and FMCSA-required qualification renewable documents.
FMCSA-required documentation must be renewed at varying intervals. This can include proof of medical certification, vehicle operator’s license for CDL and non-CDL drivers, annual motor vehicle records and annual reviews, and DOT drug and alcohol testing policy receipts at times of hire and after policy changes. Managing all of these moving parts can quickly become time-consuming, complex and overwhelming, especially when companies have hundreds of drivers.
Outsourcing these efforts to top-tier DQ file management providers can help companies alleviate the burden, give them time back and offer peace of mind. Experts can track documents required by federal and state agencies as well as documents required by company-specific safety policies and procedures.
4. Keep DQ files audit-ready.
If a company is struggling to keep up to date with day-to-day DQ file management, it’s unlikely staff have the bandwidth to thoroughly self-audit their files. When a company is selected for an audit, however, it will likely come with little notice before the business is asked to produce documents.
Further, plaintiffs’ attorneys use the FMCSRs and carrier policies and procedures as a road map to determine negligence. Without audit-ready files, a company may find itself in a precarious position.
J. J. Keller Managed Services audits each DQ file against 170 different items. If company-specific documents are involved, the audits are even more detailed. It helps carriers quality check their work and fix issues way before an audit occurs and the issues come to light. They also help clients who are selected for an audit by preparing their paperwork and supporting them through the entire process.
5. Centralize and secure remote access to electronic files.
FMCSA does not have specific security requirements for DQ files. However, carriers must limit access to these files to only people needing to know, such as someone in human resources or the safety director, to protect driver privacy.
According to FMCSR 391.53(a), any document in the safety performance history file must be under secure, controlled access limited to those involved in the hiring process.
If a company is still using hardcopy records, it should consider entrusting the conversion to a DQ file management vendor. FMCSA and internal company audits are much more manageable and easier to secure when files can be accessed completely electronically. Unique user identification information is a basis for secure access to electronic files instead of keys or combinations.
Approved users can also remotely review electronic files instead of being in the central office where records are stored. This is especially useful because FMCSA has increased the use of focused off-site/remote audits in which all documents must be converted to electronic use for those audits.
J. J. Keller’s Managed Services’ 70-plus team members can help companies identify compliance weaknesses, review files and policies, and recommend corrective action. All the while, they provide expert oversight, extensive data security and resources to motor carriers to help them maintain effective safety programs.
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