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Elements and Performance Criteria

1. Locate the function in its organisational and regulatory context
   • Identify, review and document regulatory framework for a business function
   • Establish and document organisation’s accountability requirements for the function
   • Establish business processes associated with the function from existing documentation
2. Review existing recordkeeping practices for the function
   • Review existing records generated by the function to identify essential contents, examine the patterns of use, and identify any new developments in processes or regulatory requirements
   • Identify and document risks and liabilities specific to the function from organisation’s risk analysis and litigation history
   • Consult users who carry out the function and create and use records to identify their assessment of the adequacy of existing records
   • Analyse review findings to identify existing and new elements required in the records and document these
3. Document the function’s record requirements
   • Determine requirements for evidence in relation to the function’s performance, accountabilities and risk analysis, and analyse patterns of records usage
   • Analyse requirements for evidence to identify all the business transactions of the function that need to be documented in the business or records system
   • Document criteria for identifying business transactions and procedures for applying the criteria
   • Determine content and structure of the records in all business transactions from the business processes, standards applicable to those processes, and review of existing records
   • Specify document structure and metadata for controlling the records of the business transactions, in accordance with external or organisational standards and organisational styles
   • Prepare and document procedures for capturing the documents, attaching metadata as required and managing the records to instruct users
4. Document the function’s record requirements
   • Determine requirements for evidence in relation to the function’s performance, accountabilities and risk analysis, and analyse patterns of records usage
   • Analyse requirements for evidence to identify all the business transactions of the function that need to be documented in the business or records system
   • Document criteria for identifying business transactions and procedures for applying the criteria
   • Determine content and structure of the records in all business transactions from the business processes, standards applicable to those processes, and review of existing records
   • Specify document structure and metadata for controlling the records of the business transactions, in accordance with external or organisational standards and organisational styles
   • Prepare and document procedures for capturing the documents, attaching metadata as required and managing the records to instruct users