Identifying Recordkeeping Requirements

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Recordkeeping for Good Governance Toolkit

• Identifying Recordkeeping Requirements

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Three Steps

• Identify sources
• Recognise requirements
• Document requirements

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Identifying Sources

• Laws, Acts and Regulations
• Strategic Plans
• Policies and Procedures
• Reports
• Websites
• Reviews
• Media reports
• Staff

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Recognising Requirements

• Look for keywords

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Recognising Requirements

• Read the section where you found the keyword and
  understand what it is saying
• Beware of false alarms
• books could be financial records or library
  books
• logs could be registers of a ships travels, or
  felled trees

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Recognising Requirements

• Think about the type of requirement
• To create a record
• To include certain information in a record
• To create the record in a certain form
• To keep a record for a certain time
• To destroy a record after a certain time
• To provide access to a record
• To prevent access to a record

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Recognising Requirements

• PUBLIC HEALTH ACT
• Section 10
• a) A record must be kept of all infectious
  diseases.

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Recognising Requirements

• TRANSPORT ACT
• Section 5
• a) All driving license applications must be kept
  for a period of 5 years.

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Recognising Requirements

• POLICY DOCUMENT PUBLIC SERVICE DEPARTMENT
• Section 6
• a) All staff will sign a weekly time-sheet of
  hours worked and provide this on demand for up to
  3 years.

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Recognising Requirements

• Hospital Causes Death
• It was found that the Hospital was not keeping
  medical case files!
• If they had been keeping files, the medication
  Mrs Davis was provided would never have been
  administered, the court was told.

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Documenting requirements

• Use the Recordkeeping Requirements Form
• Page 17 of Guideline 2
• Group by business activity
• Group by section
• Group by importance

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Documenting requirements

• Use the requirements form to
• Document the requirement where it came from
• Assess if the requirement is being met
• Suggest ways of meeting the requirement

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MORNING TEA
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Group Activity

• Six groups
• Look for records keywords
• Find six (6) requirements in our example
• Document the requirements on the handout form

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Group Activity

• Six groups
• Look for records keywords
• Find six (6) requirements in our example
• Document the requirements on the handout form

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Using requirements

• If requirements arent being met tell senior
  management!
• Explain they may be breaking the law
• Suggest who might be responsible for meeting the
  requirement
• Offer advice on how to meet the requirement

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Reviewing requirements

• Recordkeeping requirements will change over time
• You will need to review them regularly
• When laws change
• When public needs change
• When procedures change
• At least once a year

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Recordkeeping for Good Governance Toolkit

• Summarising the Toolkit

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The Toolkit Products

• Good Records Good Governance brochure
• Train-the-trainer skills
• The Recordkeeping Capacity Checklist
• Guidelines on Identifying Recordkeeping
  Requirements

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What can we do with the Toolkit?

• Hold an information session for senior managers
• Choose an agency to assess with the Checklist
• Identify your own organisations recordkeeping
  requirements

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