This unit applies to individuals with understanding and specialist knowledge, with depth in some areas of business or records systems. The application is in relation to individuals with specialist knowledge in business or records systems. These people will generally be senior staff in a specialist recordkeeping environment with responsibility for a team, though they may also be individuals with sole responsibility for recordkeeping systems within larger enterprises.

ELEMENT

PERFORMANCE CRITERIA

1. Analyse recordkeeping requirements for the function

1.1. Determine recordkeeping environment and legal, business and societal context for the business function

1.2. Establish and document organisation's accountability requirements for the function

1.3. Analyse existing recordkeeping specifications for the function's records from a range of documentation sources, and consider any relevant developments and their implications

1.4. Review and update risk analysis for the function as required in accordance with organisational and applicable Australian Standards and international standards

1.5. Research and analyse patterns of use of existing records to identify internal and external users, and periods and purposes of use

1.6. Canvass and document user views on their needs and accessibility of the records

1.7. Update and document recordkeeping specifications for the function based on review analysis and survey of user views

2. Determine disposal status of records

2.1. Identify and review the function's business processes from existing functional analyses

2.2. Develop a hierarchical structure based on the functions and establish relevant activities in the functional analysis

2.3. Develop disposal classes according to the boundaries of the transactions and activities which make up the function's processes

2.4. Develop disposal status and retention periods for each disposal class from an analysis of documentation sources for business use, legal requirements, access classifications and review of risk analysis of the function

2.5. Review disposal status and retention periods for each disposal class in relation to the internal and external use of the records, the relationship with other organisational activities, and any other requirements determined from analyses of community expectations

2.6. Describe disposal actions for each disposal class

3. Document disposal status and retention periods

3.1. Ensure retention and disposal documentation contain details of business activities, records classes, and required disposal actions

3.2. Identify and assign responsibility for implementing disposal actions for records from retention and disposal documentation

3.3. Submit retention and disposal documentation for approval to appropriate individual or body

3.4. Compile and retain documentation of the analysis and related information for the life of the approved retention and disposal documentation

3.5. Describe disposal class and status, and appropriate disposal actions in the approved retention and disposal documentation

Required skills

communication and negotiation skills to explain complex relationships and processes effectively to users and management, and to consult with relevant stakeholders

information management skills to analyse and synthesise documentation, verbally delivered information, and observed behaviours

literacy skills to prepare, compile and write complex documents and reports, and to document complex relationships and processes

problem-solving skills to solve recordkeeping problems

technology skills to retain and dispose of records.

Required knowledge

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

anti-discrimination legislation

AS 1203:1996 Microfilming of engineering documents

AS 2840:1986 Microfilming newspapers for archival purposes

AS 3674:1989 Storage of microfilm

AS 4003:1996 Permanent paper

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

AS/NZS 4360:2004 Risk management

Australian Stock Exchange(ASX) Principles of Good Corporate Governance

codes of practice

ethical principles

archives and records legsilsation

occupational health and safety

privacy and freedom of information

organisational, jurisdictional and subsidiary functions, structure, policies, strategies and processes

organisational and wider social context in which the jurisdiction, organisation, and part of the organisation operates

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

software applications associated with recordkeeping activities.

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:

developing and documenting a records retention and disposal schedule

knowledge of organisational, jurisdictional and subsidiary functions, structure, policies, strategies and processes.

Context of and specific resources for assessment

Assessment must ensure:

access to an actual workplace or simulated environment

access to examples of records, recordkeeping systems and policies

access to office equipment and resources.

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:

assessment of record retention and disposal schedules

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

observation of presentations of reports on the records retention and disposal schedule

oral or written questioning to assess knowledge and understanding

review of authenticated documents from the workplace or training environment

review of testimony from team members, colleagues, supervisors or managers.

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.

Legal, business and societal context may include:

accountability requirements both internally and externally

codes of ethics, codes of professional conduct specific to an industry sector

community, societal and ethical standards

internal and external stakeholders

legal framework and industry standards which regulates organisational operations

Documentation sources may include:

access (user permission) classification schemes

function-based records classification schemes

material prepared during or supporting documentation deriving from, the functional analyses

statistical reports from business or records systems such as movement histories, and search room or reading room statistics

Community expectations may include:

accountability issues

public access and freedom of information legislation requirements

security and disposal measures to prevent unauthorised use, and to protect privacy and personal information resulting in modifications to disposal status and practices

Disposal actions may include:

conversion to other record formats

destruction

retention

transfer

Appropriate individual or body may include:

board of directors

committee of management

business owner

chief executive officer

external public authority

nominated senior management representative

senior management team

Unit sector

Knowledge Management - Recordkeeping

This unit contains employability skills.