M-04 Quality records

M-04 Quality records refers to regulations 17(2)(m) and 15 and must be read in conjunction with regulations 5 and 6.

Purpose

To ensure the effective identification, collection, indexing, access, filing, storage and maintenance of records. Records are often the only evidence that an action took place, that a decision was made, and on what basis a decision was made.

Policy

It is the policy of (organisation’s name’s) to operate a record-keeping system that meets or exceeds the requirements of the Building Act, and the criteria for building consent authority accreditation.

Roles and responsibilities

• (TBA)
  The (TBA) has the overall responsibility and authority to identify and manage all appropriate records. These may be made or received by (organisation’s name) or in connection with the transaction of public business. Records must be preserved or appropriate for preservation by (organisation’s name) or its contractors as evidence of the (organisation’s name’s) functions, policies, decisions, procedures, operations, or other activities.
  
• Employees and contractors
  All employees and contractors handling records on behalf of the building consent authority have the day-to-day operational responsibility and authority to carry out this procedure.

Procedure

Records are a means of retaining important details of actions performed, decisions made, and reasons for these actions or decisions. Records must be traceable, accessible, retrievable and stored securely. In order to be traceable, every record must include a unique identification to relate it to other records (eg, building consent number), the identity of the person who performed the action, the identity of the person responsible for the action (if different), the date of the action and the rationale behind the action.

The (TBA) shall ensure all those types of records listed in the table below, and any other documents or records required to support the listed records, are converted into the form specified in the table and are stored in the location specified for the periods specified.

1 Relevant information

Including, but not limited to:

• plans, specifications, reports, bracing and engineering calculations, producer statements, information relating to specified systems
• copy of project information memorandum or resource consent (where applicable)
• processing check sheets and records of decisions made
• consent conditions
• inspection records, photographs and supporting as-built documentation (waterproofing, truss layout, specialist supervision, installation/test certificates, producer statements, etc)
• notices to fix, enforcement action, etc (if applicable)
• compliance schedule
• code compliance certificate.

2 Recording of the relevant information

• Information must be recorded – this can be achieved in a number of ways (eg, paper documentation, electronic records, microfilm)
• Legibility – ie, so other people can read and understand it
• Technological issues – eg, avoid recording on a medium that may become defunct or corrupt
• All information regarding a specific building consent should be contained on the specific consent file

3 Security

• Fire and flood protection
• Free from pests
• Atmospheric conditions (dry)
• Mode of storage (hard copy or electronic)
• Precautions to ensure the information is not changed, copied, or removed unlawfully.

4 Accessibility  

• Able to be viewed by members of the public quickly, with files that are easy to access, while maintaining appropriate security considerations
• Ability to obtain lawful copies

5 Retrievable

• Must be able to be successfully retrieved. Check if it is actually possible to retrieve back-ups or records stored on older technology
• Records available for the life of the building
• Format available (hard copy or electronic)
• Archived forms, legislation, Standards, manufacturers’ literature, computer changes, etc that were used when making decisions.

1 Table of records – Example

Record	Location	Storage media	Retention time
Building consent files in progress (including all documentation provided by the client, all records related to the design, materials, systems etc in the application). All decisions must be recorded, including the justification for the decision, and information to establish traceability, accountability and validity.	Office filing system	Paper or electronic	Life of building
Building consent files (completed)	Archives	Paper, electronic or microfilm	Life of building
Job card	Relevant consent file	Paper or electronic	Life of building
Daily inspection records.Must include data to establish who, what, when, where, why as well as conclusions and justifications.	Office and consent file	Paper, photographic, voice recording or electronic	Life of building
Notice to fix	Office and consent file	Paper	Life of building
Training and employee records	Training records file	Paper or electronic	Whilst employed with building consent authority + 3 years
Contractor records	Office	Paper or electronic	Whilst employed with building consent authority + 3 years
Supplier records	Supplier records folder	Paper or electronic	3 years
Audit reports	Audit records file	Paper or electronic	3 years
Management review minutes	Management review file	Paper or electronic	3 years
Calibration records	Quality assurance manual	Paper or electronic	3 years
External document central records	Quality assurance manual	Paper or electronic	3 years

2 Electronically stored records

2.1 Back-ups

Back-up of computer systems is performed daily (the information technology department should provide a description of the electronic back-up system. Records to be backed-up include technical, administration, quality system and financial records).

Keeping of records

3.1 Records are a mandatory requirement of the building consent authority accreditation scheme and will be maintained to demonstrate achievement of all statutory and building consent authority requirements.

3.2 (Organisation’s name) shall provide evidence of the effectiveness of the (organisation’s name’s) accreditation processes and efficient operation of the quality assurance system.

Availability of records  

4.1 Building consent authority records are a combination of public records and building consent authority operating records. Availability and access to specific records will depend on the nature of the record and any statutory duties surrounding those records.

(Example Only)

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