Expert Insights: Use caution with electronic records
I like to try new recipes, so when I see one in a magazine I’m likely to snap a picture with my phone. It’s so easy to go digital these days … as long as you can remember where you put everything. Case in point: I often rummage through my paper recipes trying to find something that I have on a digital device.
A motor carrier a few years back did essentially the same thing with their drivers’ medical cards, and the result was worse than just momentary frustration.
A painful reminder
When the small company was audited by the FMCSA, the owner provided hard copies of her drivers’ qualification (DQ) files. She made no mention that she was storing the medical certificates for several of her drivers on her cell phone, evidently forgetting they were there.
She was likely reminded a week later when she received notice of the audit results, but it was too late: the company’s safety rating was being downgraded to “Unsatisfactory.” Auditors had found multiple violations, including a critical one for failing to keep medical cards in more than 10 percent of her drivers’ files.
The owner argued that she had the cards on her phone, that the company was being unfairly punished for keeping electronic records, and that the auditors only asked for her DQ files and not specifically the medical cards. A judge didn’t see it that way, however, and upheld the audit results.
You must be able to provide the records
Though perhaps unusual, this case serves as a reminder of some pitfalls with electronic recordkeeping. First, know that digital documents are fine — they’re allowed under 49 CFR 390.32. However, you must be able to provide all requested records at the time of an audit, no matter what form those records take. If you have a mix of paper and digital, have a process for getting them all to an auditor.
Also know that there’s no need to print your digital records for an audit, unless that’s what the auditor asks for. They can view the files on your computer or may accept them via email. But again, you must provide access on demand. This may mean having a computer and printer ready for the auditor to use, just in case.
One way to ensure compliance is to perform a mock audit of your files. Select a random sampling of drivers and vehicles and see if you can make all the records available on short notice.
Someday all records — including my recipe box — will likely be electronic. Until then, know how and where your records are stored and be prepared to dig them out as needed.