Assessor Resource

BSBRKG601B
Define recordkeeping framework

Assessment tool

Version 1.0
Issue Date: May 2024


This unit applies to individuals with understanding and specialist knowledge, with depth in some areas of business or records systems. The application is in relation to senior staff in a specialist recordkeeping environment with responsibility for a team, though the unit may also apply to individuals with sole responsibility for recordkeeping systems within larger enterprises.

The development of a recordkeeping framework enables employees to create records that will adequately document the business activities in which they take part. It will also ensure that the information and processing systems which support business activities create appropriate records as part of their role in supporting those activities. The recordkeeping framework includes regulatory requirements, areas of risk, evidence to be captured as records, and responsibilities for recordkeeping to develop business systems.

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.

You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)

Employability Skills

This unit contains employability skills.



Evidence Required

List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.

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.

Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assingnment, checklist) and due date here

Assessment task 1: [title]      Due date:

(add new lines for each of the assessment tasks)

Assessment Tasks

Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.

Required skills

communication and negotiation skills to explain complex relationships and processes effectively to users and management, and to consult with relevant stakeholders

information management skills to analyse and synthesise documentation, verbally delivered information, and observed behaviours

literacy skills to prepare, compile, and write complex documents and reports, and to document complex relationships and processes

problem-solving skills to solve recordkeeping problems

technology skills to use equipment relevant to conducting recordkeeping activities.

Required knowledge

key provisions of relevant legislation from all forms of government, regulations, standards and documentation that may affect aspects of business operations, such as:

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 5044.1:2002 AGLS Metadata element set

AS 5090:2003 Work process analysis for recordkeeping

AS ISO 15489:2004 Records management

AS ISO 23081.1:2006 Information and documentation - Records management processes - Metadata for records - Principles

AS/NZS 4360:2004 Risk management

Australian Stock Exchange(ASX) Principles of Good Corporate Governance

codes of practice

ethical principles

occupational health and safety (OHS)

archives and records legislation

privacy and freedom of information

general principles and processes of records management and records management systems, such as:

systems of control

records continuum theory

mandate and ownership of business process

organisational business functions, structure and culture

organisational policies, strategies and procedures, particularly those relating to records access and security

recordkeeping policies, strategies, functions and structures in the jurisdiction.

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

Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.

Observation Checklist

Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice Yes No Comments/feedback
Identify and document legal and regulatory framework for the organisation in accordance with industry standards 
Analyse and document relevant legislation for implications for recordkeeping 
Review documentation of organisational functions for compliance 
Analyse broad social context in which the organisation operates to determine community expectations about how it should conduct itself 
Review and update organisation's existing risk analyses for implications in relation to redundancy of records 
Review and document regulatory requirements and legal liabilities for their impact on recordkeeping framework 
Determine and document risks and liabilities to be managed by recordkeeping to inform development of the framework 
Determine and analyse risks, liabilities and regulatory requirements against each business function 
Communicate and document determined evidence requirements for each business function identifying evidence to be captured as records 
Form the specifications for records from the evidence requirements in accordance with organisational technologies, standards and corporate culture, and in appropriate formats 
Develop and communicate an overview of responsibilities for recordkeeping within the organisation 
Define responsibilities and authorities in relation to regulatory requirements in accordance with industry standards 
Define recordkeeping responsibilities and rights for each business function 
Integrate identified risks and liabilities managed by recordkeeping with the definition of responsibilities for each function 
Define, assign and document levels of accountability and responsibility for each level of recordkeeping 
Communicate documented framework including areas of risk, regulatory requirements, records specifications and responsibilities for recordkeeping review and endorsement, to appropriate persons 
Establish a review process and charge appropriate persons with maintaining the currency of the organisation's recordkeeping framework 

Forms

Assessment Cover Sheet

BSBRKG601B - Define recordkeeping framework
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Assessment Record Sheet

BSBRKG601B - Define recordkeeping framework

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