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| BDA Hot Topic—Recordkeeping in Building Departments |
| By Kellee Lostaunau, IAS Project Coordinator |
When putting together a recordkeeping system, the first step is to determine which records you should be keeping. So, what should a building department consider to be "records"? Chapter One of the IBC provides some of the ground rules. To mention two examples, details about which items constitute department records may be found in Section 104.7, and more information about what is classified as "construction documents" (also records, in this case) are located in Section 106 of the IBC. In addition, an accredited building department—or one that is considering accreditation—should be aware of some of the specifics of the International Accreditation Service (IAS) Accreditation Criteria for Building Departments (AC251). Although most of the accreditation criteria can be loosely related to recordkeeping in some form, some of the most relevant information is located in Sections 3.2.7, 3.2.8, 3.2.9 and 3.2.10 of AC251. Once a department has identified all items which are regarded as "records," the next step is to classify them by source and by format. This can be done unofficially, as an exercise during the planning stage, to ensure that no potential records are overlooked and that the need for special handing of certain types of records—those that require additional security, for example—receives consideration. Sources of records might be internal—such as in the case of an employee review, inspection reports or the method and calculations used by the department to set their fees—or external, such as site plans, drawings, test procedures or perhaps even records of credit card transactions for payment of fees. Understanding the formats of different records—namely, electronic or hard copy (paper)—allows you to consider the unique conditions that might affect them differently, and to develop proper accommodations for each type. Identifying the documents that are considered records and understanding the unique conditions of each type definitely makes it easier to develop a policy. At this point, additional research on requirements in the IBC, and of the state and locality, will allow you to bring together all the components you need to form a detailed but succinct policy statement to govern the department's recordkeeping operations. Once a policy is in place, a standard operating procedure (SOP) should be developed to prevent any accidental deviation from the official policy. Procedures are more detailed than policies, but less detailed than work instructions. Simply put, they will help staff know, for the different record sources and formats:
The SOP developed by the department needs to provide employees with guidelines on the maintenance of records. Therefore, the SOP should contain the basics of (1) what to keep, (2) where to keep it, (3) how long to keep it, (4) when to get rid of it, and (5) who is responsible for each function of maintenance. As part of the maintenance of records, department staff also need to be informed as to how to keep records safe from damage or destruction, and how to allow access. The document-safety requirement of the SOP should provide the basics on (1) keeping hard copies safe from fire, flood, loss or theft and (2) keeping digital records safe from system failures and file corruption, deletion and/or theft. This, too, is a good exercise for improving the department's quality system. SOPs for safekeeping need to be well thought out. For example, storing hard copies in standard filing cabinets in the basement of a building that is prone to flooding may not be an issue until you begin drafting the SOPs. Drafting solid SOPs is a reliable way to prevent future problems in recordkeeping and other areas of department operations. The records-access portion of the SOP needs to familiarize staff with the handling of access. Information should be included regarding (1) who is allowed to access records, (2) how they are allowed to access records, (3) how records are protected from unauthorized access, and (4) how records should be discarded or destroyed once they have been stored for the length of time required. Once a thorough SOP has been adopted and implemented, the department will need to put a system in place to ensure that following the requirements of the SOP is natural and logical for staff. This task may be as simple as creating a few forms, or may require more complex tasks such as upgrading software or adding security and backup systems. The important thing to remember is that, with proper policies, procedures and systems in place, a building department can meet all its legal and ethical requirements for recordkeeping with only a minimum effort. For more tips for building departments, or for more information on building department accreditation, please visit our website at or call IAS directly at 1-866-427-4422, ext. 3309. |
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Building Departments are charged with a lot of responsibility for recordkeeping—both by the International Building Code (IBC) and by obligation to maintain a transparent operation for citizens. Recordkeeping may seem like a "backburner" task when compared to keeping pace with all of a department's other responsibilities—sometimes already complicated by limited resources or a reduced staffing level; however, recordkeeping need not be difficult if a little time is put into developing (or fine-tuning) a system that works for your department's needs.