- BSBRKG501A - Determine business or records system specifications
BSBRKG501A
Determine business or records system specifications
This unit describes the work that is required to determine the recordkeeping specifications of a business or records system, and its procedures and guidelines for a whole function; it is scalable up to the business or records system for a whole organisation or down to activities within a function. It may also be used for the review of the specifications, procedures and guidelines.Linkages outside these National Competency StandardsISO DIS 15489 - Draft International Standard on Records ManagementLinksThe work described in this unit is linked to the work described in the following unit(s):Previous Business Qualification(s)BSBRKG301A Control recordsBSBRKG401A Review the status of a recordThe Same Business QualificationBSBRKG502A Manage and monitor business or records systemsSubsequent Business Qualification(s)BSBRKG603A Prepare a functional analysis for an organisationBSBRKG604A Determine security and access rules and proceduresBSBRKG605A Determine records requirements to document a functionBSBRKG606A Design a records retention and disposal schedule This unit describes the work that is required to determine the recordkeeping specifications of a business or records system, and its procedures and guidelines for a whole function; it is scalable up to the business or records system for a whole organisation or down to activities within a function. It may also be used for the review of the specifications, procedures and guidelines.Linkages outside these National Competency StandardsISO DIS 15489 - Draft International Standard on Records ManagementLinksThe work described in this unit is linked to the work described in the following unit(s):Previous Business Qualification(s)BSBRKG301A Control recordsBSBRKG401A Review the status of a recordThe Same Business QualificationBSBRKG502A Manage and monitor business or records systemsSubsequent Business Qualification(s)BSBRKG603A Prepare a functional analysis for an organisationBSBRKG604A Determine security and access rules and proceduresBSBRKG605A Determine records requirements to document a functionBSBRKG606A Design a records retention and disposal schedule
Application
Not applicable.
Prerequisites
Not applicable.
Elements and Performance Criteria
Elements and Performance Criteria | |||
Element | Performance Criteria | ||
1 | Review the existing business or records system | 1.1 | The existing records system is reviewed to identify its essential elements, changes and failings over failures relating to past operations |
1.2 | Existing procedures are examined to assess currency and identify gaps and non-compliance issues | ||
1.3 | The users of the system are identified and consulted regarding their requirements and views on the current system | ||
1.4 | The current volumes of records and their usage are assessed to determine whether they need to be converted to the new system of control or otherwise linked to the new system | ||
1.5 | The current system technology is assessed to determine whether it should be upgraded or replaced to meet current need | ||
1.6 | The findings of the review and the recommendation for changes are documented in accordance with organisational standards | ||
2 | Develop the system specifications for managing the function's records | 2.1 | The contents and structure of the records required for the function are analysed to identify the classifications and terms for titling and describing the records, and documented |
2.2 | The metadata required to identify, control and link the records are identified and documented in accordance with the applicable technology | ||
2.3 | The metadata and records of recordkeeping transactions processed by the new system are identified and documented | ||
2.4 | The metadata for controlling the records of the function in the old system are mapped to the metadata for the new and a specification for conversion prepared where appropriate | ||
2.5 | The classifications, descriptive terms, and all metadata sets and mapping are developed into a systems specification appropriate for the selected technology in accordance with organisational standards | ||
3 | Develop the procedures and guidelines for capturing and controlling the records in the new system | 3.1 | The rules developed for identifying the transactions of the function to be documented are reviewed and customised in line with the users' requirements, the new system and selected technology |
3.2 | Guidelines for applying the classifications and descriptive terms for the records of the transactions are developed in accordance with organisational best practice and documented | ||
3.3 | Procedures for identifying and recording the disposal status and access classification of the records of the transactions are prepared and documented | ||
3.4 | Procedures for registering records of the transactions and recording the recordkeeping transactions controlling them are prepared in line with the identified user requirements and the new system and documented | ||
3.5 | The procedures for classification, capture, registration and control of the records in the new system are circulated to the users for review and comment | ||
3.6 | The final version of the new system's specification, procedures and guidelines are documented according to organisational standards and submitted to the appropriate authority for approval | ||
Required Skills
Not applicable.
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
Ability to synthesise changes in organisational context and users' needs to determine new records requirements should be demonstrated
A thorough knowledge of, and skills in identifying, metadata for recording recordkeeping transactions and controlling records should be demonstrated
Ability to document and update procedures across a whole system, or organisation should be demonstrated
A thorough knowledge of and skills in identifying metadata for recording recordkeeping transactions and controlling records should be demonstrated
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 anti-discrimination
Organisation's functions, structure and culture
Organisation's policies and strategies
Internal controls
Recordkeeping principles and processes including functional requirements for recordkeeping
Recordkeeping terminology
Familiarity with organisation's classification scheme and language
Organisation's rules for the capture, access, use and maintenance
Segregation of duties
Workflow principles and practices
Familiarity with recordkeeping software applications
Underpinning Skills
Communicating complex relationships and processes effectively to users and management
Consulting with practitioners, staff members, customers, and others to elicit relevant information for analysis
Identifying and viewing component parts as integral elements of the whole system
Analysing and synthesising documentation, verbally delivered information, and observed behaviours
Documenting complex relationships and processes
Preparing, compiling and writing complex documents and reports
Analysing process functions and problems
Negotiating to achieve suitable results for the organisation's recordkeeping practices
Researching and analysing organisation requirements for recordkeeping
Auditing and monitoring use of the business or records system
Preparing and writing correspondence for both internal and external customers
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
Context/s 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 3) - in analysing the content and structure of the records required for the organisation's functions
Communicating ideas and information (Level 2) - in presenting the results of the review
Planning and organising activities (Level 2) - in arranging consultation with the users of the system
Working with teams and others (Level 2) - in consulting with the users of the system
Using mathematical ideas and techniques (Level 3) - in assessing and analysing the usage volumes of the records
Solving problems (Level 3) - presented by aligning the requirements of the system with the requirements of the users
Using technology (Level 2) - in working closely with the requirements of the system
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
Ability to synthesise changes in organisational context and users' needs to determine new records requirements should be demonstrated
A thorough knowledge of, and skills in identifying, metadata for recording recordkeeping transactions and controlling records should be demonstrated
Ability to document and update procedures across a whole system, or organisation should be demonstrated
A thorough knowledge of and skills in identifying metadata for recording recordkeeping transactions and controlling records should be demonstrated
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 anti-discrimination
Organisation's functions, structure and culture
Organisation's policies and strategies
Internal controls
Recordkeeping principles and processes including functional requirements for recordkeeping
Recordkeeping terminology
Familiarity with organisation's classification scheme and language
Organisation's rules for the capture, access, use and maintenance
Segregation of duties
Workflow principles and practices
Familiarity with recordkeeping software applications
Underpinning Skills
Communicating complex relationships and processes effectively to users and management
Consulting with practitioners, staff members, customers, and others to elicit relevant information for analysis
Identifying and viewing component parts as integral elements of the whole system
Analysing and synthesising documentation, verbally delivered information, and observed behaviours
Documenting complex relationships and processes
Preparing, compiling and writing complex documents and reports
Analysing process functions and problems
Negotiating to achieve suitable results for the organisation's recordkeeping practices
Researching and analysing organisation requirements for recordkeeping
Auditing and monitoring use of the business or records system
Preparing and writing correspondence for both internal and external customers
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
Context/s 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 3) - in analysing the content and structure of the records required for the organisation's functions
Communicating ideas and information (Level 2) - in presenting the results of the review
Planning and organising activities (Level 2) - in arranging consultation with the users of the system
Working with teams and others (Level 2) - in consulting with the users of the system
Using mathematical ideas and techniques (Level 3) - in assessing and analysing the usage volumes of the records
Solving problems (Level 3) - presented by aligning the requirements of the system with the requirements of the users
Using technology (Level 2) - in working closely with the requirements of the system
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
Function may be:
core business activities (operational)
support function (e.g.: financial, personnel, asset management or correspondence business or records system)
The new system may be developed from a review of an existing system, or occasioned by:
changes to the function or activities
changes in organisational structures
technological changes or changes in regulatory requirements
Technological change may require:
complete or partial conversion of old system's records to new format
medium or wholesale migration of old records and their recordkeeping histories to a new system (migration)
Classification capture, and/or registration rules and procedures may include:
procedures for decisions to create a record
identifying and classifying the transactions for access and/or disposal status
attaching recordkeeping metadata including numbering or other unique identifiers
applying thesaurus terms and functional classifications
Recordkeeping transactions processing the records in the system include:
all location
tracking
retrieval
read-only use
review of status (sentencing and access status) and disposal transactions
Metadata may include:
unique identifiers and other registration data
creating context data
classification (access, functional, disposal status) data
indexing and retrieval data
location, movement and use data,
For example, document name or title; text description or abstract; date of creation; date and time of communication and receipt; author; sender; recipient; physical form; links to related records documenting the same sequence of business activity; business system from which the record was captured; application software and version under which the record was created or in which it was captured; standard with which the records structure complies (e.g. Standard Generalised Markup Language (SGML)); details of embedded document links including applications software and version under which linked record was created; templates required to interpret document structure; and other structural and contextual information useful for management purposes; terms and conditions of access and disposal; use history; terms and conditions of access and disposal history
Users may be:
workers processing business transactions in the system
other employees internal to the organisation or external
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
Function may be:
core business activities (operational)
support function (e.g.: financial, personnel, asset management or correspondence business or records system)
The new system may be developed from a review of an existing system, or occasioned by:
changes to the function or activities
changes in organisational structures
technological changes or changes in regulatory requirements
Technological change may require:
complete or partial conversion of old system's records to new format
medium or wholesale migration of old records and their recordkeeping histories to a new system (migration)
Classification capture, and/or registration rules and procedures may include:
procedures for decisions to create a record
identifying and classifying the transactions for access and/or disposal status
attaching recordkeeping metadata including numbering or other unique identifiers
applying thesaurus terms and functional classifications
Recordkeeping transactions processing the records in the system include:
all location
tracking
retrieval
read-only use
review of status (sentencing and access status) and disposal transactions
Metadata may include:
unique identifiers and other registration data
creating context data
classification (access, functional, disposal status) data
indexing and retrieval data
location, movement and use data,
For example, document name or title; text description or abstract; date of creation; date and time of communication and receipt; author; sender; recipient; physical form; links to related records documenting the same sequence of business activity; business system from which the record was captured; application software and version under which the record was created or in which it was captured; standard with which the records structure complies (e.g. Standard Generalised Markup Language (SGML)); details of embedded document links including applications software and version under which linked record was created; templates required to interpret document structure; and other structural and contextual information useful for management purposes; terms and conditions of access and disposal; use history; terms and conditions of access and disposal history
Users may be:
workers processing business transactions in the system
other employees internal to the organisation or external
Sectors
Not applicable.
Employability Skills
Not applicable.
Licensing Information
Not applicable.