Unit of competency Outline

Date retreived
22/07/2026 12:40 PM AWST

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Define recordkeeping framework

Define recordkeeping framework

Unit of competency
National Code
BSBRKG601B
State Code
D0988
TGA Status
Replaced
DTWD Status
Replaced
Current Release Number
1.00
Current Release Date
10/03/2009
View on TGA
State Implementation and Classification
Approved Date
10/07/2014
Field of Education
091301 - Librarianship And Information Management
Original Release Date
10/07/2014
Nominal Hours
30
Description
This unit describes the performance outcomes, skills and knowledge required to define, identify and establish the recordkeeping framework for an organisation or business unit at functional level.No licensing, legislative, regulatory or certification requirements apply to this unit at the time of endorsement.
Notes
Elements and Performance Criteria
1. Establish regulatory and social environment
  • 1.1. Identify and document legal and regulatory framework for the organisation in accordance with industry standards
  • 1.2. Analyse and document relevant legislation for implications for recordkeeping
  • 1.3. Review documentation of organisational functions for compliance
  • 1.4. Analyse broad social context in which the organisation operates to determine community expectations about how it should conduct itself
2. Determine principal areas of risk requiring recordkeeping strategy
  • 2.1. Review and update organisation's existing risk analyses for implications in relation to redundancy of records
  • 2.2. Review and document regulatory requirements and legal liabilities for their impact on recordkeeping framework
  • 2.3. Determine and document risks and liabilities to be managed by recordkeeping to inform development of the framework
3. Determine record requirements for each business function
  • 3.1. Determine and analyse risks, liabilities and regulatory requirements against each business function
  • 3.2. Communicate and document determined evidence requirements for each business function identifying evidence to be captured as records
  • 3.3. Form the specifications for records from the evidence requirements in accordance with organisational technologies, standards and corporate culture, and in appropriate formats
4. Establish recordkeeping framework for organisation
  • 4.1. Develop and communicate an overview of responsibilities for recordkeeping within the organisation
  • 4.2. Define responsibilities and authorities in relation to regulatory requirements in accordance with industry standards
  • 4.3. Define recordkeeping responsibilities and rights for each business function
  • 4.4. Integrate identified risks and liabilities managed by recordkeeping with the definition of responsibilities for each function
  • 4.5. Define, assign and document levels of accountability and responsibility for each level of recordkeeping
  • 4.6. Communicate documented framework including areas of risk, regulatory requirements, records specifications and responsibilities for recordkeeping review and endorsement, to appropriate persons
  • 4.7. Establish a review process and charge appropriate persons with maintaining the currency of the organisation's recordkeeping framework
RANGE STATEMENT
The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included.
Legal and regulatory framework may include:
anti-discrimination legislation
AS 1203:1996 Microfilming of engineering documents
AS 2840:1986 Microfilming newspapers for archival purposes
AS 3674:1989 Storage of microfilm
AS 4003:1996 Permanent paper
AS ISO 15489:2004 Records management
award and enterprise agreements and relevant industrial instruments
codes of practice
corporation law
ethical principles
freedom of information legislation and principles
healthcare
tax, including income tax
industrial relations
OHS
privacy laws
statutory access
superannuation
Broad social context may include:
analysis of:
codes of ethics, codes of professional conduct specific to an industry sector
community, social and ethical standards
requirements of internal and external stakeholders
legal framework regulating an organisation's operations
Records may include:
different stages of use:
active
archival
digital:
remote drives
servers
CDs
DVDs
imaging systems
PC-based applications
mainframe
physical:
audio-visual or multimedia
graphic
microform
paper-based (acid free or multiple copies)
variety of sources:
already in the custody of the organisation
in the process of being transferred between organisations
Regulatory requirements may include:
requirements in:
codes of practice
codes of practice for self-regulation
international or national standards
regulations or rules
technical standards
Recordkeeping responsibilities may include:
auditing the accuracy of recordkeeping activities
establishing standards and compliances for recordkeeping
establishing overall records management policy and procedures for the organisation based on organisational requirements
generating records
monitoring reliability and continuing operation of systems which generate records
Appropriate persons may include:
management team
reference body appointed by management
senior manager for each business function
EVIDENCE GUIDE
The Evidence Guide provides advice on assessment and must be read in conjunction with the performance criteria, required skills and knowledge, range statement and the Assessment Guidelines for the Training Package.

Overview of assessment

Critical aspects for assessment and evidence required to demonstrate competency in this unit
Evidence of the following is essential:
researching and documenting the legal, regulatory and social factors which impact on the recordkeeping requirements of an organisation
documenting a risk management plan for recordkeeping activities
documenting recordkeeping requirements and plans required to implement the recordkeeping framework in an organisation
knowledge of relevant legislation, regulations and standards.
Context of and specific resources for assessment
Assessment must ensure:
access to an actual workplace
access to examples of records, recordkeeping systems and policies
access to office equipment and resources.
Method of assessment
A range of assessment methods should be used to assess practical skills and knowledge. The following examples are appropriate for this unit:
assessment of written reports on the recordkeeping environment, risk management plans and recordkeeping framework plans
demonstration of research techniques to gather information on the legal, social, regulatory and organisational environment and recordkeeping requirements
direct questioning combined with review of portfolios of evidence and third party workplace reports of on-the-job performance by the candidate
observation of presentations of reports on the legal, social, regulatory and organisational environment and recordkeeping requirements
oral or written questioning to assess knowledge and understanding
review of authenticated documents from the workplace or training environment
review of testimony from team members, colleagues, supervisors or managers.
Guidance information for assessment
Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended, for example:
administration units
other knowledge management units.
Replaced By
State Code National Code Title Type
AUJ99 BSBRKG601 Define recordkeeping framework Unit of competency