Unit of competency details

Unit descriptor 

This unit describes the performance outcomes, skills and knowledge required to respond as effectively as possible to enquiries from potential users of records, including using appropriate processes to access and provide information about records.

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 who are required to demonstrate understanding of a broad knowledge base incorporating some theoretical recordkeeping concepts. The application is in relation to individuals who may regularly be expected to access an organisation's business and records systems in response to enquiries from users of the systems and others.

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 and gather records required

1.1. Identify  specific information or search criteria required by user

1.2. Identify range of records  likely to contain information required and ascertain their availability using appropriate finding aids  and records systems 

1.3. Obtain range of records likely to contain information required by user, and analyse content

1.4. Track records to record any change in location and use, in accordance with business or records system rules and organisational procedures

1.5. Explain to user any obstacles  to obtaining specific records within specified time and agree a timeframe for provision of records

2. Interpret and administer access rules and procedures

2.1. Identify person requesting record/s and confirm access  category, in accordance with organisational procedures

2.2. Apply access restriction rules and guidelines to record/s requested to match access category of requester

2.3. Inform requester of their rights to review the decision where access restriction rules and guidelines prevent access

3. Provide the required information and/or records

3.1. Prepare requested information/records in appropriate formats, and in accordance with organisational procedures and specified time lines

3.2. Mask specific records, or portions thereof, in accordance with access rules and organisational procedures

3.3. Document records retrieved and used to provide information, in accordance with business or records system operation and organisational procedures

3.4. Record new locations provided to user in accordance with system rules and organisational procedures

3.5. Deliver record, or record information, within specified timeframes

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 and information requested
• self management skills to accurately record metadata
• research skills to identify, retrieve and organise information for users.

Required knowledge 

• construction and use of language in the organisation in relation to recordkeeping (past and present)
• 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
• organisational policies, strategies and procedures, particularly those relating to records access and security.

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:

• identifying records which accurately fulfil requests of users
• applying access and security rules in the provision of records and information
• 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
• 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 requested information/records prepared
• oral or written questioning to assessknowledge 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.

Identifying  information or search criteria may include:

• keywords
• control information

Range of 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

Finding aids  to ascertain the availability of records may include:

• databases
• indexes
• microforms

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

Obstacles  may include:

• cost
• inaccurate finding aids
• reluctance of individuals or organisations to provide records
• remoteness of location
• transaction of standard recordkeeping practices, such as disposal

Access  may include:

• interpretation of clearances and privacy restrictions
• checking level of access and associated security releases

Unit sector 

Competency field 

Knowledge Management - Recordkeeping

Co-requisite units