Elements and Performance Criteria
- Establish regulatory and social environment
- 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
- Determine principal areas of risk requiring recordkeeping strategy
- 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 record requirements for each business function
- 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
- Establish recordkeeping framework for organisation
- 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