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 working with electronic records in an existing business or records system that has guidelines and processes to assist in making judgements on the status and classification of records. These judgements should be performed under supervision or in consultation with more senior staff or users of the system.

ELEMENT

PERFORMANCE CRITERIA

1. Confirm requirements for recordkeeping in an online environment

1.1. Identify and confirm system procedures for capturing and managing records

1.2. Identify and verify organisational and risk management requirements for classifying and storing online information

1.3. Identify legal, business, financial, socio-historical, and security requirements for recording online business transactions

1.4. Prepare an organisational checklist in accordance with organisational requirements for use in assessing which electronic information should be captured, for how long and in what format

2. Identify and assess records for storage

2.1. Categorise incoming and outgoing information in terms of key activities and responsible personnel

2.2. Assess information against the organisational checklist and records identified for capture

2.3. Dispose information not to be stored in accordance with organisational procedures

2.4. Determine storage methods and media in accordance with retention requirements

3. Monitor and maintain business records in an online environment

3.1. Classify, sentence and link records with other records in the system in accordance with system rules and organisational procedures

3.2. Assign unique identifiers and register records into the recordkeeping system in accordance with system rules and organisational procedures

3.3. Determine access and security status and disposal requirements of records and records in accordance with organisational procedures

3.4. Store records on required media in accordance with organisational and record retention requirements

3.5. Carry out migration of records from one medium to another in accordance with organisational procedures

3.6. Action and record archiving or disposal of records in accordance with disposal schedule and organisational procedures

3.7. Maintain records in a usable and accessible form in accordance with security conditions and legislative requirements

Required skills

communication skills to identify organisational requirements for recordkeeping in an online environment

technology skills to address online access and security issues

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

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

culturally appropriate communication skills to relate to people from diverse backgrounds and people with diverse abilities

Required knowledge

overview knowledge of key provisions of relevant legislation, regulations, standards and documentation that may affect relevant aspects of business operations, such as;

AS ISO 15489:2004 Records Management

AS 5044 AGLS Metadata element set

AS ISO 23081.1:2006 Information and documentation - Records management processes - Metadata for records - Principles

AS 5090:2003 Work process analysis for recordkeeping

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, including, but not limited to ;

systems of control

records continuum theory

mandate and ownership of business process

online recordkeeping environment including location and nature of transactions

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:

monitoring usage of online business or records system

monitoring application of system procedures

managing records as they are created, updated, migrated and disposed of.

Context of and specific resources for assessment

Assessment must ensure:

examples of real or simulated records, recordkeeping system and policies.

workplace reference materials such 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 in a workplace or simulated environment

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

review of authenticated documents from the workplace or training environment

tests of knowledge on 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:

general 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.

Systems relating to online records may include:

archival control systems

business systems

cash register-based systems

characteristics relating to:

aggregations

context

entities

metadata

current business or records systems

ERDMS (Electronic Records and Document Management System)

informal

paper-based accumulation and card systems

PC-based accounting systems, employee and tax records systems

proprietary recordkeeping package

storage facilities systems

Records may include:

digital, such as:

remote drives

servers

CDs

DVDs

imaging systems

PC-based applications

mainframe

server

physical, such as:

audio-visual or multimedia

graphic

microform

paper-based (acid free or multiple copies

a variety of sources, such as:

already in the custody of the organisation

in the process of being transferred between organisations

different stages of use, e.g.:

active

archival

Risk management requirements may include:

backup and recovery procedures

policy and procedures for checking the accuracy and currency of data

remote storage for backup data

secondary storage requirements

Organisational requirements may include:

business

financial

legal

security

socio-historical

Storage may include:

migration of records from one medium to another eg tape to compact disc

off-line

off-site

online

on-site

outsourced

Storage media may include:

audiotape

audiovisual

compact disc

computer tape

diskette

film

hard drive

imaging systems

mainframe

microform

multimedia

paper based

server

video

Retention requirements may include:

long term storage media for information / records

most cost-effective storage media for ephemeral or short term records

remote storage of backup data in case of fire or other incidents

Access and security status may include:

confidential

high security (restricted)

open

Migration of records may include:

from about-to-be superseded media eg 5¼" disks

from tapes, which may deteriorate over time

Disposal of records may include:

destruction of paper based records eg shredding

permanent deletion from electronic media

Unit sector

Knowledge Management - Recordkeeping

This unit contains employability skills.