Unit of competency details

Unit descriptor 

This unit describes the performance outcomes, skills and knowledge required to undertake research that supports work across a wide range of recordkeeping functions.

This is a foundation unit for any person wishing to pursue competency in recordkeeping and provides a sound basis for working across various recordkeeping functional areas. This unit is based on the joint Australian Society of Archivists (ASA) and Records Management Association of Australasia's (RMAA) Statement of Knowledge for Recordkeeping Professionals.

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.

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. Research records and recordkeeping systems

1.1. Identify purpose of records  and recordkeeping systems 

1.2. Define characteristics of records 

1.3. Select appropriate recordkeeping system characteristics 

1.4. Research theories and principles of recordkeeping 

2. Review recordkeeping context

2.1. Define environmental context  of records and recordkeeping systems

2.2. Research factors which may influence present or future needs  of records or recordkeeping systems

2.3. Identify needs of stakeholders , agents and users of records 

2.4. Research theories and principles relating to recordkeeping environment or context 

3. Document recordkeeping processes and practices

3.1. Collate, analyse and document recordkeeping processes and practices 

3.2. Write report on outcomes of research

3.3. Develop recommendations for future activity

REQUIRED SKILLS AND KNOWLEDGE 

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

Required skills 

• literacy skills to review records and recordkeeping frameworks
• problem-solving and analysis skills to interpret records management principles and practices.

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

• 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:

• a report which documents the details of recordkeeping functions and processes within a recordkeeping system, and which demonstrates understanding of the requirements of good recordkeeping practices
• knowledge of relevant legislation, regulations and standards.

Context of and specific resources for assessment 

Assessment must ensure:

• 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 written reports
• 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
• oral or written questioning to assess knowledge and understanding

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 recordkeeping 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.

Purpose of records and recordkeeping systems  may include:

• providing evidence of and information about, social and business activities
• relation to context in which records are created
• individual, organisation and social accountability, and memory

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

Characteristics of records  may include:

• authenticity
• documentation of social or business activity outcome
• integrity
• reliability
• useability

Purpose of recordkeeping systems  may include:

• capturing, managing and preserving records and information
• compliance
• enabling access of records to meet requirements as specified by businesses or communities

Recordkeeping systems characteristics  may include:

• aggregations
• context
• entities
• metadata

Theories and principles of recordkeeping  may include:

• accessibility of records
• administrative change
• advocacy and education of value of records for memory
• appraisal theories
• arrangement and description
• classification schemes
• custody principles
• ethics and codes of practice
• life cycle theory
• mandate and ownership of business process
• original order
• provenance
• record continuum theory
• risk principles
• systems of control

Environmental context  may include:

• business environments
• community expectations
• governance frameworks
• legislative and regulatory mandates
• relevant recordkeeping principles and standards

Factors which may influence present or future needs  may include:

• advances in recordkeeping best practice
• changing expectations and/or needs of individuals, organisations, communities or society
• technological change
• value of records over time

Needs of stakeholders , agents and users of records  may include:

• culture and language of individuals, organisations or communities
• educational requirements
• levels of expertise and knowledge
• perspective of stakeholders

Theories and principles relating to recordkeeping environment or context  may include:

• administrative change
• information management frameworks
• legal mandates and ownership of business process
• principles of risk management
• provenance

Documentation relating to recordkeeping processes and practices  may include:

• business and systems analysis
• capturing records
• care and handling
• classification
• context
• custody
• disposal
• functional requirements
• metadata
• preservation
• reference and access
• storage

Unit sector 

Competency field 

Knowledge Management - Recordkeeping

Co-requisite units