This unit applies to individuals who are required to demonstrate understanding of a broad knowledge base incorporating some theoretical recordkeeping concepts. The application is in relation to individuals who may regularly be expected to access an organisation's business and records systems in response to enquiries from users of the systems and others.

ELEMENT

PERFORMANCE CRITERIA

1. Identify and gather records required

1.1. Identify specific information or search criteria required by user

1.2. Identify range of records likely to contain information required and ascertain their availability using appropriate finding aids and records systems

1.3. Obtain range of records likely to contain information required by user, and analyse content

1.4. Track records to record any change in location and use, in accordance with business or records system rules and organisational procedures

1.5. Explain to user any obstacles to obtaining specific records within specified time and agree a timeframe for provision of records

2. Interpret and administer access rules and procedures

2.1. Identify person requesting record/s and confirm access category, in accordance with organisational procedures

2.2. Apply access restriction rules and guidelines to record/s requested to match access category of requester

2.3. Inform requester of their rights to review the decision where access restriction rules and guidelines prevent access

3. Provide the required information and/or records

3.1. Prepare requested information/records in appropriate formats, and in accordance with organisational procedures and specified time lines

3.2. Mask specific records, or portions thereof, in accordance with access rules and organisational procedures

3.3. Document records retrieved and used to provide information, in accordance with business or records system operation and organisational procedures

3.4. Record new locations provided to user in accordance with system rules and organisational procedures

3.5. Deliver record, or record information, within specified timeframes

Required skills

communication skills to explain and clarify procedures, and to interview users to identify their records/information needs

literacy skills to read and interpret nature of record content, functions and problems

problem-solving and analysis skills to identify records and information requested

self management skills to accurately record metadata

research skills to identify, retrieve and organise information for users.

Required knowledge

construction and use of language in the organisation in relation to recordkeeping (past and present)

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

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

Australian Stock Exchange(ASX) Principles of Good Corporate Governance

ethical principles

codes of practice

privacy and freedom of information

archives and records legislation

occupational health and safety

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

environmental context

records characteristics

organisational business functions, structure and culture

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

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:

identifying records which accurately fulfil requests of users

applying access and security rules in the provision of records and information

knowledge of relevant legislation, regulations and standards.

Context of and specific resources for assessment

Assessment must ensure:

access to examples of records, recordkeeping systems and policies

access to workplace reference materials such as procedural manuals and company policies.

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:

analysis of responses to case studies and scenarios

demonstration of techniques

direct questioning combined with review of portfolios of evidence and third party workplace reports of on-the-job performance by the candidate

review of requested information/records prepared

oral or written questioning to assessknowledge of general principles and processes of recordkeeping systems.

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.

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.

Identifying information or search criteria may include:

keywords

control information

Range of 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

Finding aids to ascertain the availability of records may include:

databases

indexes

microforms

Records systems may include:

archival control systems

business systems

cash register-based systems

characteristics relating to:

aggregations

context

entities

metadata

current business or records systems

electronic records and document management system (ERDMS)

informal

paper-based accumulation and card systems

PC-based accounting systems, employee and tax records systems

proprietary recordkeeping package

storage facilities systems

Obstacles may include:

cost

inaccurate finding aids

reluctance of individuals or organisations to provide records

remoteness of location

transaction of standard recordkeeping practices, such as disposal

Access may include:

interpretation of clearances and privacy restrictions

checking level of access and associated security releases

Unit sector

Knowledge Management - Recordkeeping

This unit contains employability skills.