The findings that show up again and again are not exotic. US files: expired medicals still driving, annual MVR with no review note, previous-employer inquiries with no follow-up, Clearinghouse consent without a query date. Canadian files: abstracts older than the written policy, training the program promises but the folder does not show, no follow-up after a conviction or collision. Fix the sampling process before you buy another binder.
United States: the usual 391 citations
- Medical examiner’s certificate expired while the driver was still dispatched.
- MVR in the file, annual review note missing or undated.
- 391.23 request sent once, no second attempt, prior employer blank.
- Road test certificate for the wrong vehicle class.
- Medical certification for a CDL driver evidenced only by a photocopied paper card, with no CDLIS MVR ever pulled to confirm the state recorded it.
- A checklist still demanding the rescinded 391.27 violations list, which hides the item that does matter: the dated annual review note.
- Clearinghouse: general consent on paper, limited query never run.
- Application that does not contain the 391.21 history elements.
Canada: facility-audit texture
- Written program says “abstracts annually”; sampled drivers are at 16-20 months.
- Orientation signed, hours-of-service or cargo-securement training not.
- Collision on the carrier profile with no driver-file follow-up or coaching note.
- Licence class on the photocopy does not match the equipment the driver is running.
- TDG certificate expired, still assigned to dangerous-goods lanes.
Process failures that create those findings
No named owner for each document type. Expiry in someone’s head instead of on the record. Hire packets built once and never refreshed. Two offices (US safety and Canadian safety) keeping different copies. A shared drive named “Drivers” with no document types.
If producing five random packets takes an afternoon, the audit will take a week of your life. Time the dry run.
Corrective action that looks like control
Date the gap honestly. Complete the missing item with the real date. Change the process that allowed it (lead time, dispatch block, second reviewer). Re-sample in 30 days. Backdating last year’s annual review the night before the auditor arrives is a worse finding than the original miss.
FAQ
Will an auditor accept a spreadsheet instead of the PDFs?
A tracker is not the record. They will pick names from your roster and ask for the underlying application, MVR or abstract, medical, and training. The spreadsheet is how you find those records faster.
Are electronic signatures acceptable?
Generally yes when the signature is attributable, dated, and the document is readable on demand. A screenshot of a text message saying “I agree” is a weak policy acknowledgment.
More in US driver qualification files and Canadian driver files · short answers on the FAQ · terms on the glossary.
Putting this into practice? Explore the Driver Files workflow and see the standalone plan inclusions.
Related guides
Driver files in the wider operation
Explore related driver-file workflows in the TruckerPro TMS:
- Turn a random-five sample into a packet in minutes (truckerpro.ca)
Related reading on truckerpro.ca
More driver-file resources from the TruckerPro family:
- Surviving a new-entrant safety audit (truckerpro.ca)
What an auditor asks a new carrier for, and the order they ask for it in. - TruckerPro driver file management (truckerpro.ca)
Expiry tracking, audit packets and version history without the binder. - Trucking compliance software (truckerpro.ca)
Where driver files sit inside the wider compliance picture a TMS tracks.
Your driver files, in one place.
Explore a standalone plan for your fleet in the US or Canada.