Elements and Performance Criteria

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.
Documenting core business may involve identifying:
diagrammatic representations
formal documents
hand written documents
informal communications
online instructions or computer-based format instructions that can be updated
paper-based manuals
other texts
Resources may include:
human resources and their availability
location of resources currently in operation
physical resources
technological resources
those available for purchase or development
Business and social context may include:
clients or customers and their expectation
codes of ethics and codes of professional conduct specific to industry sector
industry sector characteristics and reporting requirements of that sector
internal and external accountability requirements
internal and external stakeholders whose interests must be taken into account
other relevant legislation and regulations, including those covering:
business activity reporting
business and income ( PAYE) taxation
corporation law reporting requirements
environmental protection and waste management
goods and services tax collection
industrial relations
occupational health and safety
privacy protection
statutory access rights and freedom of information
superannuation
internal and external stakeholders whose interests must be taken into account
social and ethical standards the community expects the organisation to meet
Consultation may include organisation's:
head office
local management
principals
staff
Organisational functions and activities that may be documented may include:
asset management
conventional and email correspondence
customer relationship management
human resources management
invoicing and sales
legislative, regulatory and licensing compliance
marketing and promotion
purchasing and expenditure
research and development
risk management
stock control
Metadata are those records which are maintained about the records themselves and may include:
activity classification terms
date, time, and location of record creation or registration into the system
identity of record creator
indexing and descriptive terms
record format
security and access information
unique identifiers for each record
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
Measurable performance indicators may be developed:
from a strategic plan
in consultation with those who will undertake the specific tasks
Measurable performance indicators may include:
disposal (percentage of records, unsentenced records, those overdue for disposal action and functions or records not covered by disposal schedules)
parameters for tracking of records
retrieval and access (security and access rules, response to request time limits, service levels for requests)
records creation and capture performance
Procedures and guidelines may include:
acceptable range of variation for compliance
system requirements
Monitoring may relate to:
broad accumulation and growth monitoring
checking spelling, spacing and numbering
continuing relevance of classification
disposal schedule applicability
examining titling and indexing at item level
new records specifications
number of systems
observation of localised rules and continuing relevance of classification
records creation and capture performance targets
single records management system
Organisational policies and guidelines may include:
actions in relation to freedom of information legislation
actions or accumulations of records above or below anticipated levels
audit trail or log of users and activity in systems
changes in use of classification and indexing terms
access rules
disposal procedures
procedures in relation to disparity, sentencing difficulties or gaps in retention and disposal schedule coverage
procedures in relation to disputes arising from any matters, particularly access questions
failures in tracking or increases in lost items
input of metadata requirements
legal precedents requiring changes to systems
privacy requirements
quality of recordkeeping about records
records of authorisation of destruction
procedures in relation to reliability of optical character recognition techniques
retention of records in relation to a schedule
scanned images
security requirements
specified access restrictions, in the public sector
storage standards and maintenance schedules
Variations may include:
increases or decreases in the use of particular technologies
variations from the business or records system's performance or capacity
variations within the agreed limit which are inconsistent
Reports may include:
compliance
maintenance
record capture
record creation
records use
Appropriate authority may include:
audit committee
board of directors
committee of management
business owner
chief executive officer
delegated individual
external public authority
nominated senior management representative
recordkeeping professionals
senior management team
Problems and changes may include:
case-law precedents
changes in administrative changes to functions and activities
changes of government
changes to organisational structures
closures and bankruptcy
legislative or other regulatory changes
outsourcing and privatisation
takeovers, amalgamations or relocation
technological change and implementation
Systemic responses may include:
amendment/s to the classification system
bulk movement of records to control
migration of systems
new classification and controlled language
new disposal classes or retention periods
new legal liabilities and other risks identified requiring changes to records specifications
new organisational or business unit functions
Revisions may be made to:
access rules and procedures
classification and indexing schemes
disposal schedules
records specifications
storage projections and requirements

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:
translating organisational needs into a business or records system
developing business or records system specifications and performance indicators to monitor and address system effectiveness
knowledge of relevant organisational policies, strategies and procedures.
Context of and specific resources for assessment
Assessment must ensure:
access to an actual workplace or simulated environment
access to office equipment and resources
access to examples of records, recordkeeping systems and policies
access to workplace reference materials such 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 reports provided to appropriate authority relating to use and maintenance of records
oral or written questioning to assess knowledge of 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.