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 working in a range of 'small' office environments where, in most cases, recordkeeping is only part of the individual's responsibilities; the unit addresses the less formal recordkeeping requirements of micro or small businesses or branches and technical operations centres of larger organisations.

Typically, the individual would report to a supervisor or manager within the organisation and be solely responsible for the development and implementation of business or records systems, including training users of the system.

ELEMENT

PERFORMANCE CRITERIA

1. Determine recordkeeping requirements

1.1. Identify and document core business, supporting activities, resources, and business and social context using observation and consultation

1.2. Determine security and access requirements for business or records system content from analysis of organisation's activities

1.3. Analyse business documentation to determine organisational reporting and accountability requirements

1.4. Identify organisational functions and activities for which records must be kept, from analysis of business and context documentation

1.5. Determine nature, detail, and format of records (content and metadata) for each organisational function and activity from analysis of the business and its context

2. Devise an appropriate recordkeeping system

2.1. Determine metadata needed to manage records (store, locate and retrieve) in a business or records system

2.2. Select scale and number of business or records systems appropriate to scale and nature of business operations

2.3. Select technological requirements of business or records systems appropriate to scale and nature of business operations

2.4. Select cost structure for business or records systems appropriate to scale, nature, and organisational cash flow requirements

2.5. Ensure maintenance, disposal and updating requirements of business or records system conform to scale, nature, and culture of the organisation

2.6. Select business or records system suited to projected growth of the organisation

3. Develop business rules and procedures to support operations

3.1. Develop rules for incorporating individual records and information (records capture) into the business or records system

3.2. Develop rules for deciding and recording retention periods and appropriate disposal actions for records

3.3. Develop and document procedures for the use of the system

3.4. Provide system users with training or instructions in the use of the business or records system, in line with the culture and scale of the organisation

Required skills

communication skills to explain and clarify procedures, and to consult with users of a records or business system

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

problem-solving and analysis skills to identify requirements of business or records system.

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:

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

internal controls

organisational functions, structure and culture

organisational policies and strategies

organisational technological base.

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:

translating business functions and reporting requirements into a brief that describes the requirements of a business or records system

developing a business or records system, including rules and procedures

knowledge of organisational functions, structure and culture.

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 documentation outlining procedures developed for the use of the system

oral or written questioning to assess knowledge 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.

Documenting core business may involve identifying:

authenticity, integrity, reliability and useability of records or other documents

diagrammatic representations

formal documents

hand written documents

informal communications

online instructions or computer-based format instructions that can be updated

paper-based manuals

other text

Resources may include:

human resources and their availability

location of resources currently in operation

physical resources

organisational policies and procedures

technological resources

those available for purchase or development

Business and social context may include:

clients or customers and their expectations

codes of ethics and codes of professional conduct specific to industry sector

community expectations

governance frameworks

industry sector characteristics and reporting requirements of that sector

internal and external accountability requirements

internal and external stakeholders whose interests must be taken into account

other relevant legislation and regulations, including those covering:

business activity reporting

business and income ( PAYE) taxation

corporation law reporting requirements

environmental protection and waste management

goods and services tax collection

industrial relations

occupational health and safety

privacy protection

statutory access rights and freedom of information

superannuation

social and ethical standards the community expects the organisation to meet

Consultation may include organisation's:

head office

local management

principals

staff

Business or 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

Organisational functions and activities that may be documented may include:

asset management

conventional and email correspondence

customer relationship management

human resources management

invoicing and sales

legislative, regulatory and licensing compliance

marketing and promotion

purchasing and expenditure

research and development

risk management

stock control

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

Metadata are those records which are maintained about the records themselves and may include:

activity classification terms

date, time, and location of record creation or registration into the system

identity of record creator

indexing and descriptive terms

record format

security and access information

unique identifiers for each record

Procedures for the use of the system may include:

how to use the business or records system

considering format and style

considering appropriateness for scale, nature, culture and number of operators who use the system

Unit sector

Knowledge Management - Recordkeeping

This unit contains employability skills.