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Elements and Performance Criteria

  1. Develop key performance indicators for recordkeeping activities including compliance with system rules, standards and procedures
  2. Designate records use and maintenance responsibilities
  3. Develop monitoring methodology
  4. Monitor a business or records system
  5. Identify and respond to problems and changes
  6. Designate records creation and capture responsibilities

Evidence Required

The Evidence Guide identifies the critical aspects knowledge and skills to be demonstrated to confirm competence for this unit This is an integral part of the assessment of competence and should be read in conjunction with the Range Statement

Critical Aspects of Evidence

Demonstrated ability to identify critical indicators of the systems performance appropriate to the organisational context

Demonstrated ability to respond to problems with or changes to the system performance to manage them

Underpinning Knowledge

At this level the learner must demonstrate understanding of a broad knowledge base incorporating theoretical concepts with substantial depth in some areas

Relevant legislation from all levels of government that affects business operation especially in regard to Occupational Health and Safety and environmental issues equal opportunity industrial relations and antidiscrimination

Organisational functions structure and culture

Organisational policies strategies and procedures

Organisations and other business or records systems

Organisations rules for the capture of access to and use and maintenance of records

Familiarity with organisations classification scheme and language

Recordkeeping standards principles process and functional requirements

Quality assurance principles and processes

Performance management principles and processes

Workflow and business process reengineering principles and practices

Underpinning Skills

Analysing process functions and problems

Analysing and synthesising documentation verbally delivered information and observed behaviours

Preparing compiling and writing complex documents and reports

Communicating complex relationships and processes effectively to users and management

Negotiating to achieve suitable results for the organisations recordkeeping practices

Auditing and monitoring use of the business or records system

Preparing and writing correspondence for both internal and external customers

Managing financial human physical and technical resources to achieve an appropriate organisational outcome

Identifying and viewing component parts as integral elements of a whole system

Using tools and techniques to solve problems

Ability to relate to people from a range of social cultural and ethnic backgrounds and physical and mental abilities

Resource Implications

The learner and trainer should have access to appropriate documentation and resources normally used in the workplace

Consistency of Performance

In order to achieve consistency of performance evidence should be collected over a set period of time which is sufficient to include dealings with an appropriate range and variety of situations

Contexts of Assessment

Competency is demonstrated by performance of all stated criteria including paying particular attention to the critical aspects and the knowledge and skills elaborated in the Evidence Guide and within the scope as defined by the Range Statement

Assessment must take account of the endorsed assessment guidelines in the Business Services Training Package

Assessment of performance requirements in this unit should be undertaken in an actual workplace or simulated environment

Assessment should reinforce the integration of the key competencies and the business services common competencies for the particular AQF level Refer to the Key Competency Levels at the end of this unit

Key Competency Levels

Collecting analysing and organising information Level in developing the key performance indicators for the business systems

Communicating ideas and information Level in delegating responsibilities for records use and maintenance activities

Planning and organising activities Level in undertaking regular monitoring activities for the business systemss

Working with teams and others Level in allocating the responsibilities for records use and maintenance activities

Using mathematical ideas and techniques Level to analyse and detect problems and changes within the business systems

Solving problems Level that require a systemic response

Using technology Level to monitor system performance

Please refer to the Assessment Guidelines for advice on how to use the Key Competencies

The Evidence Guide identifies the critical aspects knowledge and skills to be demonstrated to confirm competence for this unit This is an integral part of the assessment of competence and should be read in conjunction with the Range Statement

Critical Aspects of Evidence

Demonstrated ability to identify critical indicators of the systems performance appropriate to the organisational context

Demonstrated ability to respond to problems with or changes to the system performance to manage them

Underpinning Knowledge

At this level the learner must demonstrate understanding of a broad knowledge base incorporating theoretical concepts with substantial depth in some areas

Relevant legislation from all levels of government that affects business operation especially in regard to Occupational Health and Safety and environmental issues equal opportunity industrial relations and antidiscrimination

Organisational functions structure and culture

Organisational policies strategies and procedures

Organisations and other business or records systems

Organisations rules for the capture of access to and use and maintenance of records

Familiarity with organisations classification scheme and language

Recordkeeping standards principles process and functional requirements

Quality assurance principles and processes

Performance management principles and processes

Workflow and business process reengineering principles and practices

Underpinning Skills

Analysing process functions and problems

Analysing and synthesising documentation verbally delivered information and observed behaviours

Preparing compiling and writing complex documents and reports

Communicating complex relationships and processes effectively to users and management

Negotiating to achieve suitable results for the organisations recordkeeping practices

Auditing and monitoring use of the business or records system

Preparing and writing correspondence for both internal and external customers

Managing financial human physical and technical resources to achieve an appropriate organisational outcome

Identifying and viewing component parts as integral elements of a whole system

Using tools and techniques to solve problems

Ability to relate to people from a range of social cultural and ethnic backgrounds and physical and mental abilities

Resource Implications

The learner and trainer should have access to appropriate documentation and resources normally used in the workplace

Consistency of Performance

In order to achieve consistency of performance evidence should be collected over a set period of time which is sufficient to include dealings with an appropriate range and variety of situations

Contexts of Assessment

Competency is demonstrated by performance of all stated criteria including paying particular attention to the critical aspects and the knowledge and skills elaborated in the Evidence Guide and within the scope as defined by the Range Statement

Assessment must take account of the endorsed assessment guidelines in the Business Services Training Package

Assessment of performance requirements in this unit should be undertaken in an actual workplace or simulated environment

Assessment should reinforce the integration of the key competencies and the business services common competencies for the particular AQF level Refer to the Key Competency Levels at the end of this unit

Key Competency Levels

Collecting analysing and organising information Level in developing the key performance indicators for the business systems

Communicating ideas and information Level in delegating responsibilities for records use and maintenance activities

Planning and organising activities Level in undertaking regular monitoring activities for the business systemss

Working with teams and others Level in allocating the responsibilities for records use and maintenance activities

Using mathematical ideas and techniques Level to analyse and detect problems and changes within the business systems

Solving problems Level that require a systemic response

Using technology Level to monitor system performance

Please refer to the Assessment Guidelines for advice on how to use the Key Competencies


Range Statement

The Range Statement provides advice to interpret the scope and context of this unit of competence, allowing for differences between enterprises and workplaces. It relates to the unit as a whole and facilitates holistic assessment. The following variables may be present for this particular unit:

Legislation, codes and national standards relevant to the workplace which may include:

award and enterprise agreements and relevant industrial instruments

relevant legislation from all levels of government that affects business operation, especially in regard to Occupational Health and Safety and environmental issues, equal opportunity, industrial relations and anti-discrimination

relevant industry codes of practice

Identification and documentation of recordkeeping responsibilities is based on:

the organisation's responsibility and accountability analysis

the system's rules, standards and procedures

Appropriate individual/body for approvals may be:

board of directors

chief executive officer

nominated senior management representative

business owner

senior management team

external public authority

recordkeeping professional(s)

delegated individual

audit committee

Reports on the business or records system may provide input to the next planning cycle for both annual recordkeeping program(s)may be and for the recordkeeping strategic plan, and may be about:

records use

compliance

maintenance

record creation

record capture

Monitoring may relate to:

a single records management system

a number of systems

Within a system, monitoring may include:

broad accumulation and growth monitoring

examining titling and indexing at item level

checking spelling

observation of localised rules and continuing relevance of classification

continuing relevance of classification

disposal schedule applicability

new records specifications

Specific objects of monitoring may include:

compliance with access rules

security

actions relating to freedom of information legislation

privacy requirements

specified access restrictions in the public sector

audit trail or log of users and activity in systems

compliance with disposal procedures

retention of records in relation according to schedule

records of authorisation of destruction

quality of recordkeeping about records

storage standards maintenance

correct use of spelling, spacing and numbering

changes in use of classification and indexing terms

volumes of actions or accumulations of records above or below anticipated levels

failures in tracking or increases in lost items

disparity, sentencing difficulties or gaps in retention and disposal schedule coverage

space shortages

disputes arising from any matters, particularly access questions

legal precedents requiring changes to system(s)

scanned clarity of images

reliability of optical character recognition techniques

input of metadata requirements

Systems may be:

current record systems

archival control systems

business systems (which generate records)

storage facilities systems

Performance indicators relate to:

parameters for tracking of records

retrieval and access (security and access rules, response to request time limits, service levels for requests)

disposal (percentage of records, unsentenced records, overdue for disposal action, functions/records not covered by disposal schedules)

Means of surveillance may include:

real-time observation (scrutiny of process)

examination of results (records)

statistical reports

selected snapshots of the system

compliance with organisational rules for monitoring staff

methods of preserving privacy

form(s) of reporting

Variations from the agreed limitations may include:

increases or decreases in the use of particular technologies

variations within the agreed limit but which are consistent

variations from the business or records system's performance or capacity

Approved methodology may include:

methods of preserving privacy

timeframes, frequency, and forms of monitoring and reporting

real-time observations (scrutiny of process)

examinations of results (records)

statistical reports

selected snap-shots of the system

compliance with the organisation's rules for monitoring staff

methods of preserving privacy

Problems and changes may include:

changes in administrative changes to functions/activities

changes to organisational structures

legislative or other regulatory changes

changes of government

takeovers, amalgamations or relocation

closures and bankruptcy

outsourcing and privatisation

case-law precedents

technological change and implementation

Systemic changes may include:

new classification and controlled language

new disposal classes or retention periods

new legal liabilities and other risks identified requiring changes to records specifications

migration of systems

bulk movement of records to control

new organisational or business unit functions

amendment to the classification system

Matters recommended for revision may include:

classification and indexing schemes

records specifications

disposal schedules

access rules and procedures

storage projections and requirements

Rules may be devised for:

the identification of record creators

negotiating transfer of custody or ownership

the generation and allocation of unique identifiers to record items

the naming/titling of items

the classification and indexing of items

the allocation of access/security status

the identification and record of disposal status items

the location and tracking of items

links between record items

recording the use history of items

capturing structural and contextual metadata

Recommendations for remedial action may include:

changes to/enforcement of procedures

disciplinary action

counselling of non-conforming individuals/business units

The Range Statement provides advice to interpret the scope and context of this unit of competence, allowing for differences between enterprises and workplaces. It relates to the unit as a whole and facilitates holistic assessment. The following variables may be present for this particular unit:

Legislation, codes and national standards relevant to the workplace which may include:

award and enterprise agreements and relevant industrial instruments

relevant legislation from all levels of government that affects business operation, especially in regard to Occupational Health and Safety and environmental issues, equal opportunity, industrial relations and anti-discrimination

relevant industry codes of practice

Identification and documentation of recordkeeping responsibilities is based on:

the organisation's responsibility and accountability analysis

the system's rules, standards and procedures

Appropriate individual/body for approvals may be:

board of directors

chief executive officer

nominated senior management representative

business owner

senior management team

external public authority

recordkeeping professional(s)

delegated individual

audit committee

Reports on the business or records system may provide input to the next planning cycle for both annual recordkeeping program(s)may be and for the recordkeeping strategic plan, and may be about:

records use

compliance

maintenance

record creation

record capture

Monitoring may relate to:

a single records management system

a number of systems

Within a system, monitoring may include:

broad accumulation and growth monitoring

examining titling and indexing at item level

checking spelling

observation of localised rules and continuing relevance of classification

continuing relevance of classification

disposal schedule applicability

new records specifications

Specific objects of monitoring may include:

compliance with access rules

security

actions relating to freedom of information legislation

privacy requirements

specified access restrictions in the public sector

audit trail or log of users and activity in systems

compliance with disposal procedures

retention of records in relation according to schedule

records of authorisation of destruction

quality of recordkeeping about records

storage standards maintenance

correct use of spelling, spacing and numbering

changes in use of classification and indexing terms

volumes of actions or accumulations of records above or below anticipated levels

failures in tracking or increases in lost items

disparity, sentencing difficulties or gaps in retention and disposal schedule coverage

space shortages

disputes arising from any matters, particularly access questions

legal precedents requiring changes to system(s)

scanned clarity of images

reliability of optical character recognition techniques

input of metadata requirements

Systems may be:

current record systems

archival control systems

business systems (which generate records)

storage facilities systems

Performance indicators relate to:

parameters for tracking of records

retrieval and access (security and access rules, response to request time limits, service levels for requests)

disposal (percentage of records, unsentenced records, overdue for disposal action, functions/records not covered by disposal schedules)

Means of surveillance may include:

real-time observation (scrutiny of process)

examination of results (records)

statistical reports

selected snapshots of the system

compliance with organisational rules for monitoring staff

methods of preserving privacy

form(s) of reporting

Variations from the agreed limitations may include:

increases or decreases in the use of particular technologies

variations within the agreed limit but which are consistent

variations from the business or records system's performance or capacity

Approved methodology may include:

methods of preserving privacy

timeframes, frequency, and forms of monitoring and reporting

real-time observations (scrutiny of process)

examinations of results (records)

statistical reports

selected snap-shots of the system

compliance with the organisation's rules for monitoring staff

methods of preserving privacy

Problems and changes may include:

changes in administrative changes to functions/activities

changes to organisational structures

legislative or other regulatory changes

changes of government

takeovers, amalgamations or relocation

closures and bankruptcy

outsourcing and privatisation

case-law precedents

technological change and implementation

Systemic changes may include:

new classification and controlled language

new disposal classes or retention periods

new legal liabilities and other risks identified requiring changes to records specifications

migration of systems

bulk movement of records to control

new organisational or business unit functions

amendment to the classification system

Matters recommended for revision may include:

classification and indexing schemes

records specifications

disposal schedules

access rules and procedures

storage projections and requirements

Rules may be devised for:

the identification of record creators

negotiating transfer of custody or ownership

the generation and allocation of unique identifiers to record items

the naming/titling of items

the classification and indexing of items

the allocation of access/security status

the identification and record of disposal status items

the location and tracking of items

links between record items

recording the use history of items

capturing structural and contextual metadata

Recommendations for remedial action may include:

changes to/enforcement of procedures

disciplinary action

counselling of non-conforming individuals/business units