Organisations can improve their record-keeping by adopting a systematic approach, and using techniques developed through social science research. Discover tips for small businesses and not-for-profit organisations on how to document important decisions, understanding legal obligations, and keeping records safe.

I have worked on two state inquiries that relied on current and historical records. Below are some of the similarities and their impact on the community.

Health, safety, and environmental records

I once managed a team investigating public health and environmental safety (henceforth health and safety invesgitation). We reviewed 30 years’ worth of official records from a not-for-profit community organisation. This includes Board Minutes, as well as other internal communications, reports, unpublished documents, emails, faxes and personal notes between managers and staff members. This inquiry focused on training practices, policies, and management decisions.

Our evaluation led to a range of recommendations for systemic reform.

This example demonstrates how documents continue to have legal implications decades after a project has been completed, or even years after an organisation has been disbanded.

Social injustice records

In another job, I led the research team responding to a state inquiry on injustices impacting First Peoples, which had the powers of a Royal Commission (henceforth the Commission). My team reviewed current and historical records to establish a timeline of events, legislation, and policies impacting First Peoples. We reviewed records from the 1800s to the present day, including legislation, reports, administrative data, and much more.

While the original committee members and Ministers responsible for some of these decisions are no longer in office, the present-day organisations have a responsibility for the documents and the functions of their predecessors.

This example shows how documentation of past decisions continue to impact present-day outcomes, and that present-day agencies are accountable for the past.

These distinct investigations had different requirements, however, there are some patterns related to record-keeping.

Key decisions

Minutes and other key documents sometimes miss relevant decisions. Governance groups, committees, project meetings, and other collaborations require an official record of key decisions and evidence for why one option was chosen over another. Minutes are the official notes from a meeting. They are succinct and often focused on business outcomes, such as finances, but they can miss decisions regarding staff and customer wellbeing.

In the health and safety investigation, executive records, including Minutes, did not have a standing Agenda item on health and safety, meaning that major incidents were not recorded across the 30-year period we reviewed. This demonstrated a major gap in senior management decision-making.

Legal obligations

Official records must maintain legal obligations. In the Commission, agencies consistently claimed to be committed to racial justice, and had corresponding records, policies and programs with funded objectives to this end.

However, during the public hearings, the Commission found that these principles were not put into practice. For example, executives could not easily say how many First Peoples they employed, or how much of their funds were specifically used on First Peoples-led initiatives, or the material benefits of their programs that directly improved the lives of First Peoples.

Transparency

Beyond my respective teams’ analysis, our own record-keeping was an essential aspect of both roles. Our files, notes, communications (including emails), needed to be filed correctly, in a way that will assist future transparency.

Data safety has consistently been a primary objective across both of the inquiries that I managed.

Outcomes of poor record management

The two investigations I’ve worked involved evaluating the records of large government and not-for-profit agencies. These experiences demonstrate that many organisations adopt a disorganised approach to record-keeping. Some common patterns I have observed include:

• Files are saved in idiosyncratic ways within the same organisation
• Duplicate documents are kept without explanation
• Key documents are seldom reviewed, meaning that recommendations from major reports are not properly evaluated
• Flagship programs and key social policies are not properly evaluated
• Recommendations from reports are not followed up, leading to poor social outcomes, increased inequality, reduced safety, negative impact on health, and environmental degradation.

In the investigations I’ve worked on, these patterns led to public critiques, as organisations are failing to properly store, review, and action their records.

Based on this collective experience, here are some tips for your organisation.

Adopt a systematic approach

Establish good record-keeping habits:

Be consistent: provide annual professional training on how to use record-keeping databases and how to store records. This can be as simple as providing your staff a standardised way to save files. Here is an extensive guidance on good recordkeeping.

Be accountable: establish regular evaluations of records, including summarising key recommendations and timeframes for review.

Keep an Action Register: track actions so decision-makers understand progress across all key projects and programs. Microsoft and Google have a tasks functionality, or you might look to software, such as Trello.

Set an annual audit: review records, as well as implementation of recommendations and key actions. The Fair Work Ombudsman has many free templates. Here is a South Australian example of an audit template that you might adapt.

Document key decisions that impact staff

It would help to use consistent headings and Agenda items, to ensure decision-makers are accountable for key decisions.

The Institute of Governance Directors Australia provides this free meeting Agenda template as well as a Minutes template.

The Australian Charities and Not-For-Profits Commission also provides a free Agenda template with a list of routine items. This includes the President’s Report, Treasurer’s Report, Operations, and Fundraising. Your organisation might consider adding Workplace Safety and Equity and Diversity, as standing Agenda items.

Understand your legal obligations

Businesses should be aware of record-keeping obligations for taxes and financial transactions. (See these tips.)

Additionally, businesses must keep their employees’ wage and time records for seven years.

Keep records safe

All organisations must abide by data privacy legislation in their record keeping. In Australia, this includes the Privacy Act 1988, as well as the National Health Act 1953. Both of these sets of laws include stipulations about how to store data.

Organisations must also keep up to date with evolving requirements, such as handling children’s privacy.

Read more about the 13 Australian Privacy Principles.

Be aware of cybersecurity. Provide regular training to staff on cyber safety. Regularly review record systems for any potential safety risks.

Summary

• Health and safety records continue to have legal implications far into the future
• Decision-makers are accountable for past decisions and their records
• Minutes should cover key decisions, including health and safety
• Regularly evaluate records to ensure legal obligations, policies, and programs are putting key principles into practice
• Poor records management can impact on social outcomes, safety, health, and the environment
• Adopt a systematic approach to record-keeping. Be consistent, accountable, maintain an action register, and set an annual audit
• Document key decisions by using a relevant Agenda template, including recurring items on workplace safety and equity and diversity
• Understand your legal obligations, including keeping wage and time records
• Keep documents safe. Follow regulatory requirements on privacy and health data, provide regular training, and review systems for potential cyber risks