Unit of competency details

Unit descriptor 

This unit describes the performance outcomes, skills and knowledge required to determine the structure, content and context of records to document a business function.

No licensing, legislative, regulatory or certification requirements apply to this unit at the time of endorsement.

Application of the unit 

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.

Note that the record requirements for a given function tend to have a longer life span than any system developed to manage its records; this is particularly the case with computerised systems in which specifications tend to change with each cycle of software upgrade.

Prerequisite units 

Employability skills 

This unit contains employability skills.

Elements describe the essential outcomes of a unit of competency.

Performance criteria describe the performance needed to demonstrate achievement of the element. Where bold italicised text is used, further information is detailed in the required skills and knowledge section and the range statement. Assessment of performance is to be consistent with the evidence guide.

ELEMENT 

PERFORMANCE CRITERIA 

1. Locate the function in its organisational and regulatory context

1.1. Identify, review and document regulatory framework for a business function 

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

1.3. Establish business processes associated with the function from existing documentation 

2. Review existing recordkeeping practices for the function

2.1. Review existing records generated by the function to identify essential contents, examine the patterns of use, and identify any new developments in processes or regulatory requirements

2.2. Identify and document risks and liabilities specific to the function from organisation's risk analysis and litigation history

2.3. Consult users who carry out the function and create and use records to identify their assessment of the adequacy of existing records

2.4. Analyse review findings to identify existing and new elements required in the records and to document these

3. Document the function's record requirements

3.1. Determine requirements for evidence in relation to the function's performance, accountabilities and risk analysis, and analyse patterns of use of records

3.2. Analyse requirements for evidence to identify all the business transactions of the function that need to be documented in the business or records system

3.3. Document criteria for identifying business transactions and procedures for applying the criteria

3.4. Determine content and structure of the records in all business transactions from the business processes, standards applicable to those processes, and review of existing records

3.5. Specify document structure and metadata  for controlling the records of the business transactions, in accordance with external or organisational standards and organisational styles

3.6. Prepare and document procedures for capturing the documents, attaching metadata as required and managing the records to instruct users

REQUIRED SKILLS AND KNOWLEDGE 

This section describes the skills and knowledge required for this unit.

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.

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
• AS/NZS 4360:2004 Risk management
• Australian Stock Exchange(ASX) Principles of Good Corporate Governance
• ethical principles
• codes of practice
• archives and records legislation
• privacy and freedom of information
• 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.

EVIDENCE GUIDE 

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:

• reporting on the recordkeeping requirements of business functions
• knowledge of general principles and processes of records management and records management systems.

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 written reports on business function recordkeeping requirements
• demonstration of research undertaken to gather information on the legal, social, regulatory and organisational environment and analysis of existing recordkeeping practices
• 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 on records requirements for a function
• 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.

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.

Business functions  may include:

• core business activities
• operational activities
• support activities (e.g. financial, personnel and asset management)

Existing documentation  may include:

• documents outlining responsibilities for recordkeeping
• documents pertaining to risk management activities
• existing records requirements for business functions
• functional analysis or representation of the organisation
• organisation's recordkeeping policy

Metadata  may include:

• classification data (access, functional, disposal status)
• creating context data
• indexing and retrieval data
• unique identifiers and other registration data

Unit sector 

Competency field 

Knowledge Management - Recordkeeping

Co-requisite units