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 disposal of records from an existing business or records system that has guidelines and processes to assist in making judgements on the status and classification of records. These judgements should be performed under supervision or in consultation with more senior staff or users of the system.

ELEMENT

PERFORMANCE CRITERIA

1. Conduct a records survey

1.1. Inform users of the business or records system, about the records survey to be conducted, encouraging cooperation and input in identifying and assessing records and formats for disposal

1.2. Gather required data about records in accordance with the predetermined methodology and user requirements

1.3. Assess records to determine disposal status

1.4. Present findings of survey to inform users of proposed disposal processes and requirements

1.5. Undertake quality control measures in accordance with organisational procedures, to ensure consistency in determining disposal status and retention periods

2. Undertake disposal actions

2.1. Seek approval from appropriate individual/body for disposal actions

2.2. Destroy records which are no longer required for any purpose, in accordance with approval and organisational procedures

2.3. Store records which need to be kept for a further period, in accordance with legal obligations and organisational records storage requirements

2.4. Store original vital records, and copies of vital records where applicable, in accordance with organisational procedures and vital records strategy

2.5. Record and authorise all disposal actions in accordance with legal obligations, organisational procedures and business or records system rules

3. Maintain control of records

3.1. Prepare disposal documentation by recording the unique identifiers of the records to be disposed of in a form compliant with organisational rules and procedures for the transfer of custody, ownership and/or responsibility, or destruction of records

3.2. Prepare records for transfer for movement in accordance with storage medium requirements

3.3. Retain identifying documentation for transfer as part of organisational records and forward a copy to the recipient

3.4. Document transit locations for records to be moved in the location control system, where applicable

3.5. Maintain identifying documentation for destroyed records as part of organisational records where appropriate

4. Transfer records

4.1. Determine method, timeframe and personnel to undertake the movement in accordance with the organisational procedures and record requirements

4.2. Document relocation of records in the location control system and other systems, in accordance with organisational procedures

4.3. Complete and document the movement of records in accordance with the organisational procedures

4.4. Obtain proof of receipt and forward to appropriate authority where it is required

5. Destroy records

5.1. Determine method, timeframe and personnel to undertake the destruction, in accordance with organisational procedures and record requirements

5.2. Document destruction of records in the location control system and other systems, in accordance with organisational procedures

5.3. Complete and document destruction of records in accordance with legal requirements and organisational procedures

5.4. Destroy records under secure conditions

Required skills

communication skills to explain and clarify procedures, and to consult with users of a records or business system

literacy skills to read and interpret nature of record content

problem-solving and analysis skills to interpret and apply rules affecting disposal of records

self-management skills to accurately record metadata.

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

organisational business functions, structure and culture

organisational policies, strategies and procedures and tools particularly those relating to description, disposal and storage of records.

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:

assessing records to identify disposal status

recording and controlling processes as part of a disposal program

knowledge of relevant legislation, regulations, standards.

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.

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.

Informing users may include:

access to staff meetings

email

legal or regulatory requirement

minute or memorandum

noticeboards

organisation-wide publications

personal visit

phone call

Users may include:

action officer

external organisation

manager of an operational area or section

more experienced colleague or someone familiar with the area

supervisor

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

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

Records survey may be undertaken to:

add to corporate memory

analyse functions of authorities

aid disaster recovery and critical records planning

identify discovery order

respond to Freedom of Information request

gather general statistics

identify records regularly required for transfer

locate time expired records

prepare retention and disposal schedules

respond to a requirement for repository or storage planning

review a variety of business or records systems

transfer or destroy records

respond to a user satisfaction survey

Identifying and assessing records may include:

applying criteria for vital records, to which specific criteria apply, or which document:

legal liabilities

ownership rights or entitlements

policy records/precedent decisions

rights or entitlements of individuals

consulting identifying documentation found in:

databases

lists

notes about the records

proforma

consulting retention and disposal schedules which may be:

continuing

functional

general

multiple

one-time

single

environmental context - business environments, community expectations, governance frameworks, legislative and regulatory mandates or relevant recordkeeping principles and standards

identifying:

access restrictions

any extenuating impediments to the destruction

how information is likely to be presented and manipulated

how information is to be retrieved

how many people will need to retrieve the information

what information is needed

Formats may include:

audio-visual or multimedia formats

electronic

graphic

mainframe

microform

paper-based (acid free or multiple copies)

PC-based applications

Data about records may include:

documentation relating to:

authenticity

integrity

reliability

social or business activities

useability

record's:

arrangement

condition

creator

date range

format

frequency of use

function

location

owner

quantity

series title

whether or not data has been captured into a business or records system

whether or not there is a retention and disposal schedule

Disposal status may include:

disposal actions

records requiring sentencing or review

records requiring appraisal (where no disposal authority exists)

Approval may include permission for transfer of archival records from:

archival authority

own organisation

receiving organisation

Disposal may be:

outsourced

undertaken by movement, permanent transfer, loan or destruction

undertaken by the organisation

Storing records may include:

digital:

remote drives

servers

CDs

imaging systems

physical:

centralised or decentralised

commercial storage service or government repository

in-house or outsourced

microform

offline or off-site

Transfer may include:

copying or downloading from one medium to another

flagging electronic records for offline storage

migrating from one database to another

movement between organisations

placing paper, microform, audio-visual or multimedia records into boxes

Identifying documentation may include:

recording old and new unique identifiers found in:

business or record system

records themselves

documentation accompanying the records

preparing records of transfer which include:

approving officer

dates

destination

locations

method to be used

originating organisation

range of record unique identifiers

titles

who undertook the transfer

Unit sector

Knowledge Management - Recordkeeping

This unit contains employability skills.