BSBRKG401B
Review the status of a record

This unit describes the performance outcomes, skills and knowledge required to review and document the changing context and status of records which have been appraised as having temporary or ongoing value, and which have been identified as requiring conditions for access.No licensing, legislative, regulatory or certification requirements apply to this unit at the time of endorsement.

Application

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 business or records systems that have guidelines and processes to assist in making judgements on the status and classification of records, and should be performed under supervision, or in consultation with more senior staff or users of the system.


Elements and Performance Criteria

ELEMENT

PERFORMANCE CRITERIA

1. Identify classes of records justifying review

1.1. Compile and review a list of the criteria for review to be met by records and formats

1.2. Apply the records in the subject jurisdiction criteria

1.3. Identify and document the records that meet the criteria

2. Review disposal authority and access conditions

2.1. Identify disposal authority, disposal class references and any access and security conditions for records, in accordance with industry practice

2.2. Identify and document records for which neither a disposal authority nor an access restriction exist, in accordance with industry practice

2.3. Assemble copies of related appraisal reports and access conditions for analysis

2.4. Make comparisons and take notes of any anomalies arising from the comparison, and recommend changes to existing disposal authorities and access conditions

3. Prepare new appraisal reports

3.1. Prepare new appraisal reports including reference to criteria justifying the review

3.2. Make new interpretations of existing access criteria in light of criteria justifying the review

3.3. Expose new appraisals and access interpretations to appropriate stakeholders for comment, and submit for approval

4. Implement recommendations and re interpretations

4.1. Prepare methodology for implementation and assemble necessary resources

4.2. Produce and promulgate revised disposal authorities and access conditions

4.3. Document progress throughout implementation and record any issues or implications arising from revised disposal authorities and access conditions

4.4. Document implementation process and outcomes in organisation's business or recordkeeping systems

Required Skills

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 record content, functions and problems

problem-solving and analysis skills to interpret and apply access and security rules, retention and disposal skills

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, particularly those relating to records access and security.

Evidence Required

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:

defining issues in relation to a review of records

identifying potential recordkeeping implications of a change in the disposal status of records.

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 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 revised disposal authorities and access conditions

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.

Compiling and reviewing criteria may include:

considering requirements for vital records including:

legal liabilities

ownership rights or entitlements

policy records, precedents and decisions

rights or entitlements of individuals

consulting identifying documentation found in:

databases

lists

notes in relation to the records

proforma

consulting retention and disposal schedules, which may be:

continuing

functional

general

multiple

one-time

single

identifying:

access restrictions

any extenuating impediments to the destruction of records

how information is likely to be presented and manipulated

how information is likely to be retrieved

how many people will need to retrieve the information

what information is needed

Criteria for review may include:

particular subject, for example, having political, educational, scientific, sociological or other interest

sustainability - voluminous record that is not used sufficiently frequently might not justify the resources its preservation consumes

sensitivity - some records may be deemed so sensitive that they may never be used for research

data extraction - previously unused means of extracting data from a particular record may increase its value

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

Records and formats may include:

different stages of use:

active

archival

digital:

remote drives

servers

CDs

DVDs

imaging systems

PC-based applications

mainframe

documentation relating to:

authenticity

integrity

reliability

social or business activities

useability

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

Access and security conditions may include:

confidential

high-security (restricted)

open

Anomalies may include:

changes to legislation such as census records becoming publicly accessible

citizenship status of people may change granting them different rights from what existed previously

government policy may see the value of records officially changed by decree

new technology may be developed to enable more information to be extracted from x-ray film

Recordkeeping 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


Sectors

Unit sector


Competency Field

Knowledge Management - Recordkeeping


Employability Skills

This unit contains employability skills.


Licensing Information

Not applicable.