Modification History
Not applicable.
Unit Descriptor
This unit describes the work required to classify, register, and track records and information about records within a business or records system.
Linkages outside these National Competency Standards
ISO DIS 15489 - Draft International Standard on Records Management
The work described in this unit is linked to the work described in the following unit (s ):
Previous Business Qualification(s)
Nil
The Same Business Qualification:
BSBRKG302A Undertake disposal
This unit represents a progression of skills described in other units. It is recommended, then, that the following units are achieved prior to the achievement of this unit:
BSBRKG303A Retrieve information from information
BSBRKG304A Maintain business records
Subsequent Business Qualification(s):
BSBRKG401A Review the status of a record
BSBRKG402A Provide information from and about the records
BSBRKG403A Set up a business or records system for a small office
BSBRKG501A Determine business or records system specifications
BSBRKG503A Develop and maintain a classification scheme
BSBRKG604A Determine security and access rules and procedures
This unit describes the work required to classify, register, and track records and information about records within a business or records system.
Linkages outside these National Competency Standards
ISO DIS 15489 - Draft International Standard on Records Management
The work described in this unit is linked to the work described in the following unit (s ):
Previous Business Qualification(s)
Nil
The Same Business Qualification:
BSBRKG302A Undertake disposal
This unit represents a progression of skills described in other units. It is recommended, then, that the following units are achieved prior to the achievement of this unit:
BSBRKG303A Retrieve information from information
BSBRKG304A Maintain business records
Subsequent Business Qualification(s):
BSBRKG401A Review the status of a record
BSBRKG402A Provide information from and about the records
BSBRKG403A Set up a business or records system for a small office
BSBRKG501A Determine business or records system specifications
BSBRKG503A Develop and maintain a classification scheme
BSBRKG604A Determine security and access rules and procedures
Application of the Unit
Not applicable.
Licensing/Regulatory Information
Not applicable.
Pre-Requisites
Not applicable.
Employability Skills Information
Not applicable.
Elements and Performance Criteria Pre-Content
Not applicable.
Elements and Performance Criteria
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Elements and Performance Criteria |
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Element |
Performance Criteria |
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1 |
Identify records for capture |
1.1 |
Incoming material is categorised for records capture in accordance with organisational procedures |
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1.2 |
Activity documented by the record is identified from the elements of the record in accordance with organisational procedures |
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1.3 |
Area or action officer to which the record needs to be forwarded is identified from elements of the record, or its content, and in accordance with organisational procedures |
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1.4 |
Incoming material is assessed against organisational checklist for determining what material needs to be captured. |
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1.5 |
Material which does not need to be registered is dealt with in accordance with organisational procedures |
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1.6 |
Records on which action is complete are located, removed, or copied from the active business or records system, in accordance with organisational procedures |
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1.7 |
Where required by organisation procedures, the format/media of the record is modified in accordance with organisation requirements and procedures |
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2 |
Classify record(s) |
2.1 |
The identified transaction/action/activity documented by the record is matched to the organisation's classification scheme |
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2.2 |
The full classification and sentencing of the record is selected in accordance with the system's rules and organisational procedures |
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2.3 |
The classified/sentenced record is linked to other records in the business or records system in accordance with the system's rules and organisational procedures |
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2.4 |
Indexing points (cross reference terms) are selected for the record in accordance with the system's rules and organisational procedures |
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3 |
Register record(s) |
3.1 |
Unique identifier is selected for record in accordance with organisational procedures and business or records system rules |
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3.2 |
Record is registered into business or records system with title, description, details of record creator, immediate location and any other control information to fulfil the system requirements in accordance with organisational procedures and business or records system rules |
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3.3 |
Any physical dependencies or format of a record that will assist with its management over time are recorded in accordance with business or records system rules |
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3.4 |
Access and security status are determined in accordance with organisational procedures and documented in accordance with business or records system rules |
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3.5 |
Disposal class and status of the record is determined and recorded in accordance with the business or records system's rules, and organisational procedures and schedules |
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3.6 |
Record is forwarded to its appropriate location, which is recorded, in accordance with the system rules and organisational procedures |
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3.7 |
The items identified for immediate destruction are separated from the rest of the body of records |
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4 |
Track record(s) |
4.1 |
Unique identifier of record to be located is determined from request or instructions |
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4.2 |
Location of record is obtained from business or records system in accordance with system rules and organisational procedures |
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4.3 |
History of record location is obtained from business or records system in accordance with system rules and organisational procedures |
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4.4 |
Information about record is obtained from business or records system in accordance with system rules and organisational procedures |
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4.5 |
Information about the record is updated and amended in accordance with organisational procedures |
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4.6 |
All transactions on the business or records system are completed within the designated timeframe |
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5 |
Audit records against predetermined criteria |
5.1 |
Records are located with action officer and in storage areas in accordance with supervisors instructions |
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5.2 |
Records are audited against predetermined criteria in accordance with organisational procedures and quality program |
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5.3 |
Any discrepancies found are noted, and reported, in accordance with organisational procedures |
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Required Skills and Knowledge
Not applicable.
Evidence Guide
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
Demonstrate ability to :
Understand the processes of capture, classification, registration and tracking the location of records
Identify activities documented by records and apply classifications schemes
Record metadata accurately
Underpinning Knowledge
At this level the learner must demonstrate some relevant theoretical knowledge.
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
Recordkeeping principles and processes
Concepts of, and reasons for, effective records and archives management
Knowledge and understanding of organisation's business, functions, structure, and culture
Organisation's policies, strategies and procedures, particularly those relating to records access and security
Organisational recordkeeping environments and culture including locations and nature of transactions
Organisation's recordkeeping and information (including classification) systems
Underpinning Skills
Explaining and clarifying procedures
Understanding and interpreting instructions
Listening to, questioning, and clarifying information requests
Managing own activities within a timeframe
Records management system and operation including access and security for vital records
Systematic approach to work
Using judgement and discretion with confidential information
Working systematically with accuracy and attention to detail
Reading and comprehending/interpreting nature of record content
Interpreting retention and disposal schedules
Interpreting and applying relevant access and security rules and conditions
Accurately recording metadata
Writing reports where precise meaning is required
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 1) - to register, track and record the record within the guidelines of the organisation
Communicating ideas and information (Level 1) - in documenting the location of records
Planning and organising activities (Level 1) - in planning the classification and registration activities
Working with teams and others -
Using mathematical ideas and techniques (Level 1) - in following a logical process to classify, register and track the records
Solving problems (Level 1) - presented by discrepancies between actual and nominal record locations
Using technology (Level 1) - to register and track the records within the organisation's systems
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
Demonstrate ability to :
Understand the processes of capture, classification, registration and tracking the location of records
Identify activities documented by records and apply classifications schemes
Record metadata accurately
Underpinning Knowledge
At this level the learner must demonstrate some relevant theoretical knowledge.
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
Recordkeeping principles and processes
Concepts of, and reasons for, effective records and archives management
Knowledge and understanding of organisation's business, functions, structure, and culture
Organisation's policies, strategies and procedures, particularly those relating to records access and security
Organisational recordkeeping environments and culture including locations and nature of transactions
Organisation's recordkeeping and information (including classification) systems
Underpinning Skills
Explaining and clarifying procedures
Understanding and interpreting instructions
Listening to, questioning, and clarifying information requests
Managing own activities within a timeframe
Records management system and operation including access and security for vital records
Systematic approach to work
Using judgement and discretion with confidential information
Working systematically with accuracy and attention to detail
Reading and comprehending/interpreting nature of record content
Interpreting retention and disposal schedules
Interpreting and applying relevant access and security rules and conditions
Accurately recording metadata
Writing reports where precise meaning is required
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 1) - to register, track and record the record within the guidelines of the organisation
Communicating ideas and information (Level 1) - in documenting the location of records
Planning and organising activities (Level 1) - in planning the classification and registration activities
Working with teams and others -
Using mathematical ideas and techniques (Level 1) - in following a logical process to classify, register and track the records
Solving problems (Level 1) - presented by discrepancies between actual and nominal record locations
Using technology (Level 1) - to register and track the records within the organisation's systems
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
Access status of records may be :
confidential
high security (restricted)
open
Appropriate level may be :
item level
chronological group
series
business or records system
Quality assurance audit may be of part of , or all of , an organisation
Operating environment may be :
under supervision
a team effort
solo
Record information to be updated may come from :
supervisor
user
file transfer slips
action officers
results of quality assurance audit
requests
Record media may be :
electronic
paper-based
microform
graphic
mainframe
PC-based applications
Records may be registered (captured ) into :
current business or records systems
archival control systems
business systems
storage facilities systems
Records may be subject to special access conditions , arising from agreement with records creator or depositor , privacy or confidentiality considerations
Standard reports prepared from the business or records system may include :
statistics
resubmits for following day
over due action reports
daily correspondence
Storage may be :
centralised or decentralised
off-line or off-site
in-house or out-sourced
commercial storage service or government repository
CD storage
imaging systems
microform
audio-visual/multimedia formats
Storage environment may be :
temperature controlled
dust free
air conditioned
fire secure
intrusion secure
Location of record may be :
on a server
on a remote drive
physical
digital
Disposal actions may include :
retention
destruction
conversion to other record formats
transfer
Criteria for audit may include :
location
unique identifier
content
titling
compliance with recordkeeping metadata standards / requirements
Discrepancies may be reported to :
colleague
supervisor
manager
Form of reporting may be :
written
oral
reconciliation 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
Access status of records may be :
confidential
high security (restricted)
open
Appropriate level may be :
item level
chronological group
series
business or records system
Quality assurance audit may be of part of , or all of , an organisation
Operating environment may be :
under supervision
a team effort
solo
Record information to be updated may come from :
supervisor
user
file transfer slips
action officers
results of quality assurance audit
requests
Record media may be :
electronic
paper-based
microform
graphic
mainframe
PC-based applications
Records may be registered (captured ) into :
current business or records systems
archival control systems
business systems
storage facilities systems
Records may be subject to special access conditions , arising from agreement with records creator or depositor , privacy or confidentiality considerations
Standard reports prepared from the business or records system may include :
statistics
resubmits for following day
over due action reports
daily correspondence
Storage may be :
centralised or decentralised
off-line or off-site
in-house or out-sourced
commercial storage service or government repository
CD storage
imaging systems
microform
audio-visual/multimedia formats
Storage environment may be :
temperature controlled
dust free
air conditioned
fire secure
intrusion secure
Location of record may be :
on a server
on a remote drive
physical
digital
Disposal actions may include :
retention
destruction
conversion to other record formats
transfer
Criteria for audit may include :
location
unique identifier
content
titling
compliance with recordkeeping metadata standards / requirements
Discrepancies may be reported to :
colleague
supervisor
manager
Form of reporting may be :
written
oral
reconciliation statement
Unit Sector(s)
Not applicable.
