Control records

This unit describes the performance outcomes, skills and knowledge required to classify, register, and track records and information about records within a business or records system.No licensing, legislative, regulatory or certification requirements apply to this unit at the time of endorsement.


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

Elements and Performance Criteria



1. Identify records for capture

1.1. Categorise incoming material and identify records, metadata and formats for capture

1.2. Assess incoming material against organisational checklist for determining what material needs to be captured

1.3. Deal with material which does not need to be registered

1.4. Locate, remove or copy record, when action is complete, from the active business or records system

2. Classify records

2.1. Match identified transaction, action or activity documented by records to organisation's classification scheme

2.2. Select full classification and sentencing of records in accordance with the system's rules and organisational procedures

2.3. Link classified or sentenced records to other records in business or records system

2.4. Select indexing points (cross reference terms) for records in accordance with system's rules and organisational procedures

3. Register records

3.1. Select and record unique identifiers for records in accordance with business or records system rules and procedures

3.2. Register records into business or records system

3.3. Document and forward records to appropriate locations or officers, observing any special handling requirements of the record format

4. Track records

4.1. Determine unique identifiers of records from requests or instructions

4.2. Obtain storage location, history and information of records from business or records system

4.3. Update and amend information about records

4.4. Complete all transactions within designated timeframes

4.5. Complete and obtain appropriate documentation or reports

5. Audit records

5.1. Locate records with action officer and in storage areas, in accordance with supervisor's instructions

5.2. Audit records against predetermined criteria in accordance with organisational procedures and quality program

5.3. Document and report any discrepancies

Required Skills

Required skills

communication skills to explain and clarify procedures, and to receive and interpret requests for records

literacy skills to read and interpret nature of record content

problem-solving and analysis skills to interpret and apply descriptive standards

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:

registering and tracking the location of records using appropriate processes for capture and classification

identifying activities documented by records

applying classifications schemes

recording metadata accurately.

Context of and specific resources for assessment

Assessment must ensure:

access to examples 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.

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.

Categorising records may include:

determining storage locations

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

identifying areas or officers to which records are forwarded

modifying formats or media of record in line with organisational requirements

using organisational checklists of materials for capture

taking action on records which do not require registering, including in relation to records for immediate destruction

validating the authenticity, integrity, reliability and useability of records

Records may include:

different stages of use:




remote drives




imaging systems

PC-based applications



audio-visual or multimedia



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

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:





current business or records systems

electronic records and document management system (ERDMS)


paper-based accumulation and card systems

PC-based accounting systems, employee and tax records systems

proprietary recordkeeping package

storage facilities systems

Rules and procedures may relate to:



manually generated running numbers



system generated identifiers

transfer of custody

Registering records may include:

access and security status:


high-security (restricted)



details of record creator

disposal class and use including:

conversion to other record formats




immediate location

other control information to fulfil system requirements

physical dependencies or format of a record that will assist with its management over time


Special handling requirements may include:

secondary storage requirements

back-up and recovery procedures

migration requirements, which may include:

superseded media formats

format which may deteriorate over time

Storage location may include:


remote drives



imaging systems


centralised or decentralised

commercial storage service or government repository

in-house or outsourced


offline or off-site

Updating and amending information may derive from:

action officers

file transfer slips


results of quality assurance audit



Transactions may include:

transfer of records



auditing, which may address:

compliance with recordkeeping metadata standards or requirements





Documentation or reports may include:

daily correspondence

over due action reports

proof of receipt

record of movement

resubmits for following day


Criteria for audit may include:

compliance with recordkeeping metadata standards/requirements




unique identifier


Unit sector

Competency Field

Knowledge Management - Recordkeeping

Employability Skills

This unit contains employability skills.

Licensing Information

Not applicable.