Maintaining a DQ File Checklist to Avoid an Audit

The FMCSA mandates that trucking companies keep up-to-date driver qualification files for each driver employed in their company, failing to do so can incur heavy fines and other consequences.

Avoid missing deadlines or forgetting an essential document by using this audit employee dq file checklist as part of your record-keeping process. Doing so will help prevent common DQ violations in the future.

1. Document Dates
Mistakes can easily happen when it comes to DQ files, with errors easily being made and leading to serious repercussions. Be it missing an important deadline or failing to create new hire files by the legally-mandated date, it is critical that carriers implement a systematic document management process which includes having someone trained specifically on managing DQ files as well as setting reminders and creating tickler files – especially given auditor or inspection inspections could occur at any time!

Technology can ease the administrative workload for trucking companies by managing these essential documents efficiently. Get started right away with A-Suite Comply for free to ensure compliance. Get your free trial version today to get underway.

2. Document Types
There are various documents required to maintain an organized driver DQ file, and it is vitally important that these files are well organized. Although some documents such as copies of driver licenses or CDLs may seem obvious, such as updates for expiration dates. Other documents, like drug and alcohol test results or training records must also be kept separately due to DOT regulations pertaining to privacy issues and legal implications. Software systems can assist with organizing these different record types while setting permissions so retrieval will be simplified in case of audit or inspection.

3. Document Locations
Proper storage and accessibility of DQ files is vitally important. Without easy access, FMCSA regulations cannot be verified. Therefore, each office should appoint someone responsible for keeping these documents organized – someone familiar with their documents and locations within each file can ensure success during an inspection or audit. For example, keep the Drug & Alcohol Testing Policy Acknowlegment in a DQ File as this document may be requested from an auditor; also store documentation of inquiries sent out to former DOT-regulated employers within this file.

4. Document Retention
Establishing effective document retention policies is crucial to remaining compliant with FMCSA regulations. Documents like MVRs can expire, which could incur fines. A tickler file or reminder system is an effective way to make sure all items are reviewed and renewed on time.

Notes to keep on hand include pre-employment drug test results and drug and alcohol testing policy acknowledgment, both of which will likely be requested by an auditor. It’s also best practice to conduct an annual query on each driver to detect those prohibited from driving CMVs.

Management of files is time consuming; using A-Suite Comply software to simplify this process allows you to focus on more pressing matters.

5. Document Formats
As you manage your fleet’s documents, it is essential that you maintain a tickler file for renewal items and DOT-required forms. Missing document deadlines could result in costly fines during an inspection or audit. To reduce these penalties and ensure compliance is upheld without incurring costly fines, use an automated document management system like A-Suite Comply which automates communication between drivers and allows uploads from one central point – just don’t forget the following checklist! -Joel D Bruyne CPA & CGA

What Should Be on Your Driver Qualification File Checklist? Managing DQ files may seem complex, but with the appropriate tools and an audit, managing DQs need not be challenging. Your files will always be ready when something arises.