Unit of competency details

Unit descriptor 

This unit describes the performance outcomes, skills and knowledge required to monitor and document changes to the particular context or environment in which specific records were or are created, and in which they are used and maintained.

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.

Examples of changes which should be monitored are reorganisations, down sizing, outsourcing, amalgamations or takeovers, major legislative change or change of government.

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. Identify the context of the organisation

1.1. Determine and document the nature of the organisation and its jurisdiction

1.2. Establish regulatory framework specific to the organisation

2. Establish accountability requirements for creators of records

2.1. Identify creators of records by establishing all parts of the organisation which create records

2.2. Determine and document accountability requirements and functional responsibilities of the creators of records

2.3. Verify and document authentic sources used in the research, in accordance with organisational and external standards

3. Identify contextual changes over time

3.1. Map the functions generating the records and the regulatory framework governing them, to the organisational structures

3.2. Identify and document changes  to the administrative and functional context over time

4. Monitor changes to organisational structures, functions and responsibilities

4.1. Monitor changes which impact on organisational structures

4.2. Review and update documentation  in light of identified changes

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 

• administrative history and regulatory context of area subject to functional analysis
• business in which area subject to functional analysis is engaged
• 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 ISO 15489:2004 Records management
• AS/NZS 4360:2004 Risk management
• AS ISO 23081.1:2006 Information and documentation - Records management processes - Metadata for records - Principles
• AS 5090:2003 Work process analysis for recordkeeping
• Australian Stock Exchange(ASX) Principles of Good Corporate Governance
• codes of practice
• ethical principles
• archives and records legislation
• occupational health and safety
• privacy and freedom of information

• 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

• organisational business functions, structure, context and culture
• organisational policies, strategies and procedures, particularly those relating to records access and security
• technologies used in recordkeeping such as multimedia, records system packages and workflow packages.

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 thefollowing is essential:

• documenting an analysis of the organisation's record creating context and the implications of changes to it in terms of records.

Context of and specific resources for assessment 

Assessment must ensure:

• access to appropriate documentation and resources normally used in the workplace
• access to examples of records, recordkeeping systems and 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:

• assessment of reports on the organisational record creating context
• 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 the record creating context
• 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.

Changes  may include:

• amalgamations or take-overs
• changes in legislation or government
• downsizing
• re-organisations
• restructuring

Documentation  may include:

• a finding aid
• administrative history
• establishment chart and functional analysis
• system administrator's documentation and users' register

Unit sector 

Competency field 

Knowledge Management - Recordkeeping

Co-requisite units