Unit of competency details

Unit descriptor 

This unit describes the performance outcomes, skills and knowledge required to receive a request and to deliver the record or information about the record.

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 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.

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/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 AND KNOWLEDGE 

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

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.

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:

• 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.

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.

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 

Competency field 

Knowledge Management - Recordkeeping

Co-requisite units