Application
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.
Prerequisites
Not applicable.
Elements and Performance Criteria
1. Determine recordkeeping requirements | 1.1 Identify and 1.2 Determine security and access requirements for 1.3 Analyse business documentation to determine organisational reporting and accountability requirements 1.4 Identify 1.5 Determine nature, detail, and format of |
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 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
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
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
environmental sustainability practices in business operations
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.
Evidence Required
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 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. |
Range Statement
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 | authenticity, integrity, reliability and useability of records or other documents diagrammatic representations formal documents hand written documents informal communications online instructions or computer paper other text. |
Resources | 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 | 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 environmentally sustainable business practice social and ethical standards the community expects the organisation to meet. |
Consultation | head office local management principals staff. |
Business or records systems | archival control systems business systems cash register characteristics relating to: aggregations context entities metadata current business or records systems electronic records and document management system (ERDMS) informal paper PC proprietary recordkeeping package storage facilities systems. |
Organisational functions and activities | 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 | different stages of use: active archival digital: remote drives servers CDs DVDs imaging systems PC mainframe physical: audio graphic microform paper variety of sources: already in the custody of the organisation in the process of being transferred between organisations. |
Metadata | 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 | 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. |
Sectors
Knowledge Management – Recordkeeping
Employability Skills
This unit contains employability skills.
Licensing Information
No licensing, legislative, regulatory or certification requirements apply to this unit at the time of endorsement.