This unit applies to individuals requiring some understanding of relevant theoretical knowledge relating to recordkeeping functions. It is not assumed that individuals at this level would have responsibility for supervising the work of others; however it is assumed that as a recordkeeping practitioner their work will support effective recordkeeping and governance practices across the organisation.

The application is in relation to the retrieval of records from an existing business or records system that has guidelines and processes to assist in providing information in response to basic requests. The location of records will be performed under supervision or in consultation with more senior staff or users of the system.

ELEMENT

PERFORMANCE CRITERIA

1. Locate/retrieve records required

1.1. Identify and refine search criteria and keywords (or other control information) to retrieve records, in consultation with user making request

1.2. Adopt a systematic approach to details that are difficult to determine

1.3. Search business or records system to retrieve records according to agreed criteria

1.4. Locate or retrieve records to match request

2. Ensure security of records

2.1. Identify person requesting the record and access category confirmed, in accordance with organisational procedures

2.2. Check security and access clearance documents to match with category of identified person requesting the record

2.3. Where necessary, inform user of access denial. in accordance with organisational procedures

3. Provide required information or records

3.1. Mask specific records, or portions thereof, to prevent access where required

3.2. Prepare requested information for requester in an appropriate format

3.3. Deliver record, or record information, within the specified timeframes

3.4. Document the process

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

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

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

organisational business functions, structure and culture.

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:

working with system users to identify information requirements

maintaining accuracy in recording information

providing appropriate information and responses to requests.

Context of and specific resources for assessment

Assessment must ensure:

access to an actual workplace or simulated work environment

access to office equipment and resources

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 authenticated documents from the workplace or training environment

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.

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

Request may be:

computer-generated

email

facsimile

internet request

system-generated

verbal

written

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

Appropriate format for provision of information may include:

hard or soft copy of original

digital

original

permission to view the information or record rather than being provided with a copy

Documenting the process may include:

documenting specific records that have been retrieved and used to provide information including details such as the request for information, its receiver, permissions and formats

recording any new locations of records and the formats in which records are provided to the user

Unit sector

Knowledge Management - Recordkeeping

This unit contains employability skills.