Building Better Records Management Skills

Guideline No.
17
Building Better Records
Management Skills
2004

In these guidelines
Summary
In these guidelines
1. Introduction
2. Managing skills projects
3. Analysing skills required
4. Auditing current skills
5. Determining skill gaps and means to address them
6. Designing or redesigning positions
7. Engaging staff or consultants to fill skill gaps
8. Developing staff to fill skill gaps
9. Further reading
10. Appendices
Summary
Records management functions are changing extensively with increasing
business, regulatory, community and technological demands and a raft of new
standards to meet. Records managers, and indeed all those responsible for
recordkeeping, need to be armed with the appropriate skills and knowledge to:
effectively support business and meet corporate goals
implement best practice and ensure the organisation is accountable, and
comply with the requirements of the State Records Act 1998, particularly
the requirements in the Standard on Managing a Records Management
Program.
These guidelines focus on techniques for skilling staff responsible for records
management functions. They explain how to:
evaluate the skills required of staff responsible for records management
functions and the skills currently available
determine skill gaps, and
address gaps, either through job design or redesign, recruitment,
engaging consultants, or developing staff through training, education and
professional development opportunities.
Browsable version
The guidelines can also be viewed as a browsable document.
1 Introduction
In this section
Purpose of these guidelines
Who should read these guidelines
Definitions
Records management programs require skilled people
Why perform skills projects?
Skills projects at a glance
Small public offices and skills projects
Acknowledgements
Purpose of these guidelines
The purpose of these guidelines is to provide practical guidance and examples of
how NSW public offices can measure and improve the level of records
management skills and knowledge within their organisations, and therefore
improve records management practices.
Who should read these guidelines?
These guidelines are aimed at managers who are responsible for ensuring the
records management program is implemented by staff with appropriate skills and
knowledge.
Definitions
For general recordkeeping or records management terms, see State Records'
Glossary of Recordkeeping Terms. Terms relating to the subject matter of these
guidelines have been defined within the text.
Records management programs require skilled people
A records management program is a management framework consisting of a
mix of objectives, policies, priorities, strategic and operational plans, projects,
resources, performance measures and other elements necessary to ensure that
records management operates efficiently and effectively in an organisation.
The standard for records management programs in NSW government is set in the
Standard on Managing a Records Management Program (2004), issued by State
Records under the terms of section 13(1) of the State Records Act, 1998.
The standard requires that:
'Specialist records management skills required to implement the records
management program and its component recordkeeping systems are
available to the organisation', and
'Staff undertaking records management have appropriate skills for their
positions and responsibilities and these are kept up to date.'
Why perform skills projects?
One of the key ways to promote a strong but flexible records management
program is to ensure staff who are responsible for records management projects
or who are part of the program have suitable skills for their levels of
responsibility.
A skills project can help the organisation to:
assess what the organisation requires of staff performing records
management functions, in measurable terms
understand the existing level of records management skills in the
organisation
know the skill gaps that need to be addressed to improve the records
management program
make informed decisions regarding how skill gaps will be addressed in
order to best meet business needs, or
assess and implement effective solutions that address skill gaps.
A skills projects can also:
raise awareness of the importance of records management in the
organisation
encourage support for the continual development of staff to meet their
responsibilities in records management
assist individuals with career development and improve morale
ensure that staff in all parts of the organisation are fully aware of, and
meeting their responsibilities for records management functions
help the organisation to achieve best practice in records management
help the organisation to be compliant with the State Records Act 1998 and
other relevant legislation such as the Privacy and Personal Information
Protection Act 1998.
Skills projects at a glance
These guidelines describe skills projects that consist of six steps. Not all types of
skills projects will require each of these steps to be performed. Rather, they are a
useful 'checklist' to follow to ensure that the information you gather is
appropriate and that all remedial options are considered.
The aim of Step.. is to...
1 Analyse skills required identify what skills the organisation
actually requires to meet its business
objectives.
2 Audit current skills identify the skills and knowledge (both
used and latent) held by existing staff.
3 Determine skills gaps and the means
to address them
compare skills and knowledge held by
the organisation (determined in the
skills audit) with the skills and
knowledge required (the established
benchmark), and to determine
appropriate ways to fills those gaps
4 Design or redesign positions address skill gaps through better
definition of positions.
5 Engage staff or consultants to fill
skill gaps
conduct recruitment of staff or
consultants to address skills gaps as
appropriate
6 Training and development to fill skill
gaps
conduct a training needs analysis to
identify appropriate training and
development options to fill skill gaps.
Small public offices and skills projects
Even small public offices should ensure that staff are adequately skilled to
develop the framework of the records management program, or to manage the
records of their organisation. The skills project undertaken, however, should be
scaled to a size and scope that it manageable for the staff who undertake it.
The 'Managing the skills project' section of these guidelines includes guidance on
setting the goals of a skills project and determining its scope, based on factors
such as budget, timeframe and human and other resources.
Example
A very small government organisation of 5 full time staff have set themselves a
goal to implement a basic control system for their records using an Access
database. They wish to check the records management skills that they will need
and then ensure they have access to those skills for the successful
implementation of the system.
By using the information in the 'Managing the skills project' section of the Better
Skills guidelines to scope their project, they plan a small scale project to assess
the records skills of the two administrative officers and identify a suitable training
course that will assist them in implementing the new system.
Acknowledgements
State Records wishes to acknowledge the assistance of the Department of
Information and Technology (DITM) and the Department of Education and
Training (DET) in the production of the guidelines. A number of other
departmental representatives contributed comments and additional information.
2 Managing the skills project
In this section
Decide goals and parameters of the project
Select the project team
Plan the project
Prevent conflict with staff through communication
Document the project
Decide goals and parameters of the project
Goals
Factors to consider in framing your scope
Elements that may form part of a project
Goals
The most important factor when framing your skills project is to decide exactly
what you want to achieve. Goals for the project should be related to program and
corporate objectives. Skills projects might be used to clarify skill needs for other
projects, or they may have broader aims to improve skill levels generally. You
should consider your goals carefully as they will greatly influence other project
parameters.
Factors to consider in framing your scope
The following table contains some of the factors you may need to consider when
framing your scope:

Factor Considerations
Budget
Is it adequate to meet project goals? How should it be
allocated?
Timeframe What timeframe is required to meet project goals?
Human resources
Are they adequate to meet project aims within the
timeframe? Do staff possess the necessary skills to
undertake a skills project? Can they obtain them? What
assistance is available?
Other resources
What equipment and supplies and other incidentals are
needed for the project?
Who will be
targeted
Is the skills project for a certain project team? A certain
program area? A certain location? The program as a whole
including those with some records management
responsibilities? The recordkeeping needs of the organisation
as a whole?
Existing information
Has information on existing or required skills been collected
before as part of other initiatives? eg. performance
management? Is this information suitable?

The scope of the project may also be affected by the size of the organisation.

Example:
A large public office, with thousands of staff directly responsible for recordkeeping
may choose to carry out a series of smaller skills projects, with separate project
plans and resources.
A very small public office may have few staff with full responsibility for records
management. As the target group is small, they may be able to obtain a full
understanding of skill levels and needs with one small project.
Elements that may form part of a project
Skills project may include some or all of the following elements:
skills analysis
skills audit
analysis of skill gaps
evaluation or re-evaluation of positions
recruitment of skilled staff
hire of trained consultants
training needs analysis of existing staff
implementation of a training program for existing staff, and/or
re-examination of skill needs and existing skills.
The project goals, and the results of analyses will determine which of these
elements is relevant to your project.

Example 1: A limited skills project to contribute to another project
You may have a goal to develop and implement a new records management
thesaurus in a medium sized public office. You have the budget and enough staff
to achieve this internally, but you are unsure whether your staff possess the skills
necessary to undertake this project In this case you may decide to embark on a
small, focused skills project first. You might decide to do a:
skills analysis (to determine what skills are required to develop and
implement a thesaurus), and
skills audit of relevant records management staff (to determine what skills
they have in thesaurus development and implementation).
analysis of skill gaps (in the area of thesaurus development and
implementation).
From this information you can then decide whether you can proceed with the
thesaurus project internally or whether you need to bring in external expertise
(by recruitment or hiring a consultant).

Example 2: A broad skills project to determine training needs
The organisation may have identified the need to improve its records
management practices as a corporate goal. You believe that the skill level of staff
performing records management functions needs to be improved to achieve this
aim. You do not have the budget to employ a consultant or recruit more staff, but
you do have a small budget to train existing staff and you need to direct this in
the best ways. You know that there is an existing practice of collecting
information about skill levels and training needs as part of performance
management strategies. You may decide that the project should include:
a skills audit to understand the skills required by the organisation
an analysis of the existing information collected on skills and training
needs to see if it is relevant, current and useable before deciding whether
to include a skills audit as part of the projects scope
a comparison of the results to determine skill gaps
a training needs analysis.
Select the project team
Dependent on organisation and project size
Skills required
Involvement of industrial relations staff or union representatives
Dependent on organisation and project size
Decisions regarding the composition of the project teams to conduct skills
projects will depend on the size of the organisation, skill levels and the
parameters of the project.

Example:

In small organisations with very few records staff, the human resource manager
and/or records manager may be responsible for the project.
In a larger organisation with a number of records management staff in
decentralised or devolved locations, the corporate records manager, human
resources manager and staff and union representatives might design key tools in
the project, like the skills analysis and audit, but the business unit managers in
each location may be responsible for implementation. Alternatively, consultants
may be engaged to carry out elements of the project, such as skill and knowledge
evaluations.
Skills required
Whatever the composition, project teams should:
be familiar with the records management function, or have access to such
expertise
be committed to the organisations learning and development programs
have the ability to communicate well and put people at ease, and
be discreet and able to keep personal and sensitive information
confidential.
Involvement of industrial relations staff or union representatives
The sensitivities that can arise with some elements of a skills project may make it
advisable to include industrial relations staff within the organisation or union
representatives in the project team. This should be discussed with management
as early as possible.
Plan the project
Adopt standards
Decide order of elements
Define tasks, responsibilities, detailed timetables and milestones
Define methods of design and analysis
Adopt standards
Whatever its scope, it is important that the project is managed appropriately.
Standards for managing projects of this nature should be adopted and NSW
public sector requirements incorporated as appropriate. These are referenced
throughout these guidelines.
Decide order of elements
The elements undertaken and the order in which they are undertaken will depend
on project goals and existing information.

Example:
One project team, with up-to-date position descriptions and/or competency
profiles may decide to start with a skills audit to measure existing skills.
Another project team might decide that position descriptions and/or competency
profiles are out of date and that some job re-evaluation needs to be undertaken
before a skills audit is conducted.
Define tasks, responsibilities, detailed timetables and milestones
The tasks and responsibilities for the project need to be defined along with
realistic timetables and milestones.
Define methods of design and analysis
Sound methodologies should be adopted and promoted to participants for
activities such as skills audits to reduce risks, such as the potential for bias (see
relevant sections of these guidelines for more information).
Prevent conflict with staff through communication
Potential for mistrust
Communication is essential
Potential for mistrust
It is important to recognise that projects involving the evaluation of skills and
knowledge and the treatment of skill gaps have the potential to cause mistrust
and discomfort among employees.

Example:

Some staff members may suspect that:
loss of wages or perceived status might result
information will be used to restructure areas and retrench individuals
there will be bias in the way skills are weighted, and/or
resulting education programs will highlight individual inadequacies.1[1]
Communication is essential
Therefore, it is vital that sound methods are adopted and communication with
staff and the involvement of staff members is built into project planning.

Examples:
Staff briefings can be held at the beginning and at important stages of the
project.
Up-to-date project information can be made available on Intranets.
Reports on the project can be made at staff or section meetings with
questions encouraged.
Staff representatives can be appointed to project teams.
2[1] G Hayton and P Loveder, How to do a Skills Analysis and Skills Audit,
National Centre for Vocational Education Research, Adelaide, 1992, p.35

Document the project
Need to document
What to document
Part of planning documentation
Need for confidentiality
Need to document
It is important to document the project to:
demonstrate the use of budget and resources for the project itself
justify the solutions chosen to address skill gaps
show compliance with the Standard on Managing a Records Management
Program.
What to document
It is important to document:
project plans
implementation strategies
variations to plans during implementation
results derived, and
any decisions made during the process.
Part of planning documentation
Skills projects may also be documented as part of operational and strategic
planning for the records management program. Planning of records management
activities in a manner that is appropriate to the size and scale of your
organisation is a requirement of the Standard on Managing a Records
Management Program.
Need for confidentiality
Any project files containing personal information should be protected in
accordance with privacy principles and confidentiality standards.
3 Analysing skills required
In this section
Overview of the skills analysis
Stage 1: Define the parameters of the skills analysis
Stage 2: Collect sources for the skills analysis
Stage 3: Analyse sources to define tasks

Stage 4: Analyse tasks to define skills required
Stage 5: Tie tasks and skills to particular positions
Stage 6: Document the analysis
Overview of the skills analysis
What is a skills analysis?
Outcome/s
When do you need to perform a skills analysis?
Stages in performing the skills analysis
What is a skills analysis?
A skills analysis is a process to identify what skills the organisation actually
requires to meet its business objectives.
Outcome/s
The usual outcome of a skills analysis is an inventory or register of the skills
required to meet corporate goals.3[2] The results of the skills analysis can be
compared with the results of aggregated skills audits to identify skill gaps.
When do you need to perform a skills analysis?
A skills analysis should be conducted periodically in order to ensure that the
organisation has at its disposal the necessary knowledge and skills for its
business to run smoothly, supported by an effective records management
program. Suitable points for commencing a skills analysis include:
when the organisation's corporate or strategic plan is revised,
incorporating new objectives requiring different skills and knowledge to
achieve them
when the organisation is involved in governmental administrative change,
bringing in new functions and responsibilities and associated
recordkeeping requirements
when the organisation is subject to internal restructuring, involving the
transfer of skilled personnel into different administrative areas
at the introduction of new or enhanced technologies and systems, bringing
with them different requirements of records professionals, or
on the introduction of new requirements from legislative or other sources
that impact on recordkeeping.
Stages in performing the skills analysis

The following table describes the stages in performing a skills analysis. These are
not necessarily performed in an exact sequence:

Stage Description
1 Define the parameters of the skills analysis
2 Collect sources for the skills analysis
3 Analyse sources to define tasks
4 Analyse tasks to define skills required
5 Tie tasks and skills to particular positions
6 Document the analysis
Stage 1: Define the parameters of the skills analysis
Use project management
Broad or narrow?
A skills analysis may be undertaken as a stand alone project or as part of a wider
project to improve skills. Either way, it should be managed using suitable project
management methodologies.
Broad or narrow?
An analysis can be performed for:
a particular job (see job evaluation)
a particular records management project
the whole records management program, or
action officers performing recordkeeping tasks in other programs.
Stage 2: Collect sources for the skills analysis
Corporate plan for the organisation
Strategic and operational plans for business units
Project plans for relevant projects
Other internal sources
DIRKS project outputs
Recordkeeping competency standards
Other competency standards
Corporate plan for the organisation
The organisations corporate plan identifies what the organisation sees as its
primary objectives within the period of the plan (usually three to five years). A
corporate plan can therefore provide you with information about high-level
organisational goals for which records management knowledge and skills might
be required, such as the introduction of new automated business systems or the
re-engineering of business processes.
Strategic and operational plans for business units
A records management program also needs to have documented plans that are
appropriate to the size and scale of the organisation (also a requirement under
the Standard on Managing a Records Management Program). There may also be
specific strategic planning documentation for business units involved in records
management functions (such as IT strategic plans). Strategic plans should detail
broad goals for the business units or programs, and operational plans will detail
the regular tasks performed to support business needs.
Project plans for relevant projects
Particular projects, such as the implementation of new records management or
business systems, should have detailed project planning documentation. These
will highlight tasks that need to be performed within the project, some of which
may require records management skills.
Other internal sources
A range of other internal sources in the organisation may be consulted to
determine records management functions and tasks within those functions. These
might include:
procedure manuals such as those relating to records management and use
of information management and technology resources
business rules of the organisation
existing position descriptions or statements of duties, and/or
interviews with action officers.
Many of the sources listed above and other sources are analysed as part of
projects to design and implement recordkeeping systems (DIRKS projects).
Strategies for Documenting Government Business: The DIRKS Manual contains
more detailed guidance on sources and the information they contain.
Another useful source for obtaining information on tasks, skills and knowledge is
competency standards. BSB01 Business Services Training Package, Units of
Competency: Recordkeeping are competency standards constructed by the
records management industry and endorsed by the Australian National Training
Authority in 2001. They are useful benchmarks for employers to assess skills,
knowledge and competencies appropriate to records positions against a nationally
endorsed framework. The competency standards are composed of Level III to
Level VI competencies, Level III being entry-level competencies and Level VI
being complex competencies for more senior or experienced staff. Information on
how to obtain a copy of the competency standards is available at www.bsitab.org
In some cases records management staff will also be responsible for other
administrative areas such as human resource management. If the organisation
wishes to assess these areas as part of skills or training needs analyses, other
competency standards should be referred to, such as BSB01 Business Services
Training Package, Units of Competency: Human Resources Competencies. See
www.bsitab.org for more information.
Stage 3: Analyse sources to define tasks
Corporate plan
Strategic, operational and project plans
Procedure manuals and business rules
Existing position descriptions or statements of duties
Interviews
Other standards
Documenting tasks
Corporate plan
The key result areas, expected outcomes and initiatives in the corporate plan may
highlight areas where records management tasks may be performed. However,
they are unlikely to provide information in detail and are useful as indicators only.

Example:
A key result area in the corporate plan may be to implement and regularly review
information management strategies and actions across the organisation to ensure
that they meet best practice and the needs of the organisation and its
stakeholders. Naturally, this will require some records management tasks and
needs to be investigated further.

Corporate level information may also highlight the need for records management
or recordkeeping tasks in other programs. These should be investigated further if
they are part of the scope of the skills project.

Example:
A key result area in the corporate plan may describe a knowledge management
initiative. Such an initiative would certainly require the skills of records
professionals for successful completion.
Strategic, operational and project plans
Strategic, operational and project plans for the records management program
should be scrutinised to obtain more detailed information regarding the goals of
the records management program, and what ongoing and project based tasks are
required.

Example:
Strategic plans may list particular projects that are planned eg. develop a
records retention and disposal authority.
Project plans will indicate the types of tasks required to meet this goal such as:
analyse recordkeeping requirements
determine the disposal classes, etc.
Operational plans will document ongoing tasks performed by records
management staff, such as file or document registration.

Planning information from other program areas should be scrutinised if part of the
scope of the program as they may also reveal the recordkeeping or records
management tasks that need to be performed in those areas.
Procedure manuals and business rules
If planning documentation does not provide sufficient detail to understand the
tasks involved in performing records management functions, procedures manuals
and business rules should be consulted.
Existing position descriptions or statements of duties
Where they exist, existing position descriptions or statements of duties should be
analysed to identify records management tasks that need to be performed and
the skills and knowledge that are required by personnel conducting those
tasks.

Example:
A position description for a records officer might include tasks such as 'Sentence
records' or 'Register files in the TRIM records management system'.
Interviews
Interviews with key staff in records areas and in program areas performing
records functions can also be an excellent source for lower level tasks within
records-related projects.
Discussions and interviews with project and program managers can have the
added benefit of raising:
knowledge about the need to assign recordkeeping responsibilities, and
the profile of the records management program as a source of proactive
advice and assistance in meeting project and corporate goals.
Outputs from projects to design / implement recordkeeping systems
(DIRKS projects)
If 'DIRKS' projects have been undertaken in the organisation the business
analysis and interviews performed in Steps A, B and C of the methodology may
be of some use in analysing and defining tasks. See the Strategies for
Documenting Government Business: The 'DIRKS' Manual for more information.
The recordkeeping competency standards list the major elements (tasks) of
records management functions, from Level III (records officer level) to Level VI
(a highly strategic level).

Example:
The control records unit (a level III or base level of competency) describes the
work required to classify, register and track records and information about
records within a business or records system. Elements of competency (tasks)
include:
identify records for capture
classify record(s)
register record(s)
track record(s) etc.

You can use the recordkeeping competency standards to articulate the tasks in a
standardised way, that is more precise than existing position descriptions. The
competency standards have already linked skills and knowledge to task groups
which can be used later in your analysis as well.
Where tasks in the competency standards are not currently being performed the
project team might question why they are not being performed.

Example:
BSBRKG3102A is a competency to undertake disposal. The organisation may not
currently undertake disposal at all. Therefore, the project team could question
further to find out why. Is it because there is no-one skilled in undertaking
disposal or are there other reasons?
Best practice standards
Best practice standards on records management and recordkeeping are important
sources for identifying tasks which are not currently being performed, but which
should be part of your records management program. These standards include:
records management standards issued by State Records under the State
Records Act, 1998
the Australian Standard AS 4390-1996, Records Management, and
the Australian & International Standard AS ISO 15489 (2002) Records
Management.
If you are doing a skills analysis of positions you may also consider other relevant
competency standards when analysing sources to define tasks.
Documenting tasks
Once you have analysed a range of courses to identify records management tasks
that are being carried out or should be carried out in your organisation, it is
important to document these in order to perform further analysis. A sample
template for documenting records management tasks has been included at
Appendix 1.
Stage 4: Analyse tasks to identify skills required
Need to analyse tasks
Identifying knowledge skills from other sources
Impact on other programs
Documenting knowledge and skills
Need to analyse tasks
Once the tasks within the projects and programs have been defined, they can be
analysed to determine what skills and knowledge are required to perform the
tasks. Information on skills and knowledge may have become obvious when
reading source materials or discussing projects with managers and project teams.
The Units of Competency: Recordkeeping can again be of value, as they list skills
and knowledge that underpin competencies. While the skills and knowledge listed
are linked to the whole competencies rather than task elements, relevant skills
and knowledge can be identified from these listing to match with identified tasks.

Example:
Underpinning skills listed in the competency standards for control records (Level
III competency) include:
explaining and clarifying procedures
understanding and interpreting instructions
listening, questioning and clarifying information requests
managing own activities within a timeframe
records management system and operation including access and security
for vital records etc.
Knowledge requirements include:
recordkeeping principles and processes
knowledge and understanding of organisations business functions
structure and culture
organisational recordkeeping environments and culture including locations
and nature of transactions
organisations policies, strategies and procedures, particularly those
relating to records access and security etc.
To create a knowledge and skills set for the task register files you could compile
a set such as:
Skills required in:
explaining and clarifying procedures
understanding and interpreting instructions
listening, questioning and clarifying information requests
managing own activities within a timeframe.
Knowledge required of:
recordkeeping principles and processes, and
knowledge and understanding of organisations business functions,
structure and culture.
Identifying knowledge and skills from other sources
Any interviews conducted in order to identify records management tasks can also
reveal the knowledge and skills required by personnel performing those tasks.
Similarly, position descriptions and statements of duties used generally contain
both tasks (often 'work performed') as well as the knowledge and skills required
by the position occupant.
Impact on other programs
It is important to recognise that plans from the records management program
may create skill requirements for all staff within the organisation.

Example:
A key result area in the corporate plan may be to provide improved information
technology and management services to meet the business needs of the
organisation in providing a service to the industry and the community.
Reference to strategic planning documentation within the records management
and information technology areas might indicate that the introduction of a records
and document management software package is planned to meet this goal. Lower
level planning documents such as strategic and operational plans will detail the
tasks involved in the project and who is to be responsible for the tasks.
There may be a range of skill and knowledge requirements to meet the tasks in
these plans.
For example, a task might be:
develop records management system specifications.
High-level skills required to complete this task might include:
consulting with practitioners, staff members, customers and others to
elicit information for analysis
communicating complex relationships and processes effectively to users
and management
identifying and viewing component parts as integral elements of the whole
system
documenting complex relationships and processes, and
preparing, compiling and writing complex documents and reports etc
(taken from the Level VI competency determine business or records
system specifications).
High level knowledge requirements for this task include knowledge of:
'organisations functions, structure and culture
organisations policies and strategies
recordkeeping principles and processes including fundamental
requirements for recordkeeping
organisations rules for capture, access use and maintenance, or
workflow principles and practice etc.
The implementation of a new system will, however, impact on the skill needs of
all staff in the organisation that will be using the system. For example, staff may
need to develop skills in using procedures, technology etc. Therefore, initiatives
should be built into project planning for either the particular project, or the skills
project, to address staff skill and knowledge development.
Documenting knowledge and skills
The key pieces of information to be documented at this stage in a skills analysis
are the knowledge and skills required for each task identified, and the source or
sources from which those requirements were identified. A sample template for
documenting this information has been included in Appendix 2.
Stage 5: Tie tasks and skills to particular positions
Why tie to particular positions?
Are all tasks assigned to a position?
Documenting competency profiles
Why tie to particular positions?
Another important aspect of a skills analysis is to tie the results of the analysis
(task and skills/knowledge identification) to particular positions. This is so that
the skill level of occupants of the positions can be measured against what is
required of them.
By tying knowledge and skills requirements to particular positions you are, in
effect, creating 'competency profiles' for those positions. Alternate ways of
creating competency profiles are discussed in the skills audit section of these
guidelines.
Are all tasks assigned to a position?
In some cases the responsibility for a task will be obvious, for example, they will
be documented in position descriptions or statements of duties. In other cases
there may be tasks identified where no clear line of responsibility has been
identified. Indeed the need for a particular task may have never been articulated
or responsibility assigned before.
In these cases, the project team should liaise with the relevant business unit to
assign responsibility for the task to a suitable position. If there is no suitable
position to assign responsibility to, this may highlight the need for a new position
or the broadening of an existing position.
Documenting competency profiles
Documentation of knowledge and skill requirements against specific roles or
teams in your organisation will be valuable for measuring existing knowledge and
skills. A sample competency profile has been included as Appendix 3.
Stage 6: Document the analysis
What to document
Examples of documentation
What to document
A skills analysis should be documented fully. This includes documenting:
sources that have been consulted
records management tasks that have been identified
skills and knowledge that underpin tasks, and
competency profiles (if developed).
Examples of documentation
Sample templates for keeping information gathered during your skills analysis are
provided in the following appendices to these guidelines:
Appendix 1: Sample documentation of records management tasks and
sources used to identify tasks
Appendix 2: Sample documentation of skills and knowledge requirements
for records management tasks
Appendix 3: Sample competency profile documentation
4 Auditing current skills
In this section
Overview of the skills audit
Stage 1: Define parameters of the skills audit
Stage 2: Research methods for the skills audit
Stage 3: Establish benchmarks and tools required
Stage 4: Plan to reduce bias from methods
Stage 5: Conduct the skills audit
Stage 6: Document the skills audit
Overview of the skills audit
Definition
Outcome
Why conduct a skills audit?
Stages in performing the skills audit
Definition
A skills audit involves identifying the skills and knowledge (both used and
latent) held by existing staff.
Outcome/s
The outcomes of a skills audit are existing skill and knowledge profiles for
particular individuals or groups within the organisation.4[3]
Why conduct a skills audit?
A skills audit is conducted in order to identify the gaps, if they exist, between the
skills requirements of the organisation and the actual skills that exist in the
organisation. When skills audits have been completed, the results can be
aggregated to obtain a statistical view of existing skills and knowledge. Section 5
of these guidelines examines how results can be used to identify skills gaps.
Stages in performing the skills audit
The following table describes the stages in performing a skills audit. These are
not necessarily performed in an exact sequence:

Stage Description
1 Define the parameters of the skills audit
2 Research and choose methods for the skills audit
3 Establish benchmarks and tools required
4 Plan to reduce bias from methods
5 Conduct the skills audit
6 Document the skills audit
Stage 1: Define the parameters of the skills audit

Individual audits compared to competency profiles or position descriptions
Aggregated audits compared to skills analysis
Recordkeeping and other skills
A skills audit may be undertaken as a separate project or as part of a wider
project to improve skills. Either way, the staff involved should have appropriate
skills and use suitable project management methodologies.
Individual audits compared to competency profiles or position
descriptions
If the organisation chooses, individual assessments of records management staff
can be performed. Assessments can be compared to:
competency profiles developed through skills analysis projects, or
competency profiles developed as a basis for measurement in skills audits.
See Establish benchmarks and tools required.
The results of such comparisons can then be used for career and personal
development initiatives.
Aggregated audits compared to skills analysis
If all staff in the records management program are audited, the results can be
aggregated and compared to the result of skills analysis in order to identify
knowledge and skill gaps.
Recordkeeping and other skills
Audits may:
focus on only recordkeeping skills
cover recordkeeping skills and other skills required by the position holder
be applied to other program areas where records management or
recordkeeping skills are required
be part of a wider audit of all staff.
Such decisions are dependent on the goals of the project.
Stage 2: Research and choose methods for the skills audit
Methods
Sources of advice
Considerations in the choice of methods
Methods
When the scope of the audit has been determined, the project team will need to
conduct some research and decide on the most suitable method of assessing staff
skills and knowledge.
Methods could include:
checking existing records such as training records to identify what staff
have been trained in
observing staff as they perform their roles and analysing the outcomes for
quality
conducting interviews with staff. This might be part of a performance
review, or undertaken as a separate exercise
running group activities eg. games that highlight skills like communication,
teamwork, leadership and problem solving
using self-assessment surveys to find out what staff perceive are their
skills, knowledge, weaknesses and needs
using surveys to find out what supervisors or peers perceive are the skills,
knowledge, weaknesses and needs of staff
hiring an external assessor to perform a workplace assessment of skills
against the Units of Competency: Recordkeeping. Workplace assessments
have the added benefit of allowing records staff to have their experience in
records management formally recognised
using a combination of methods to ensure an accurate assessment of the
employee is made.
Sources of advice
The human resource management staff may be a useful source of advice on
suitable methods. Alternatively, the Further reading section of these guidelines
may be of assistance.
Considerations in the choice of methods
The project team should choose the method(s) most suitable to its needs. They
might consider, for example:
corporate culture and attitudes toward such initiatives
any information already collected and analysed about skill needs or
existing skills
resources available including human and financial
the size of the audit
the programs being audited, and
the outcomes required.
Stage 3: Establish benchmarks and tools required
Prepare tools
Using the skills analysis as a benchmark
Using position descriptions as benchmarks
Limitations of using position descriptions and benchmarks
Using competency profiles as benchmarks
Example of a self assessment survey
Prepare tools
Depending on the methods of skills audit chosen, the project team may need to
prepare benchmarks and tools in advance to measure staff against.

Examples:
If the project team is using the observation method, they should have objective
criteria to ensure all staff are observed and measured in the same way. If they
are measuring by self-assessment questionnaire the project team will need to
design the questionnaire form in advance.
Using the skills analysis as a benchmark
If the project team has conducted a skills analysis prior to the audit they may
have considerable understanding of the current business climate and what skills
are required to meet business needs, the tasks involved in project and
operational work, who in the organisation is performing those tasks, and the skills
and knowledge required for those tasks. They may have mapped skill needs to
positions, effectively creating a competency profile for each position, which will
help in the design of tools for skills audits, such as survey forms.
Using position descriptions as benchmarks
If skill audits are to be based on information documented in position descriptions,
the project team should ensure these are up to date. See Designing or
redesigning positions.
Limitations of using position descriptions as benchmarks
The disadvantage of using position descriptions as a basis for a skills audit are
that they do not describe the position to the level of detail that you will find in
competency profiles. In addition, they often only generically indicate the
positions relationship to corporate and program goals.
Using competency profiles as benchmarks
If a skills audit is not part of the project, there are other ways the project team
may choose to develop a competency profile for the position. This might involve:
performing a job analysis of each relevant position
considering how the position might relate to corporate goals and program
goals, and
mapping the position to tasks, skills and knowledge required at different
levels in the Units of Competency: Recordkeeping. Such a profile would be
valid for workplace assessment purposes
using other competency standards within the Business Services Training
Package for non-records duties, such as process payroll if relevant to
your scope. See www.bsitab.org for more information.
Example:
One position may perform a number of Level III recordkeeping competencies and
a few Level IV recordkeeping competencies. A competency profile would isolate
which competencies are part of the position and the related skill and knowledge
base the person would be expected to possess. This could then be used as a basis
for preparing assessment tools for the person occupying that position.
Example of a self assessment survey
An example of a self assessment survey form for a staff member, based on Level
III competencies in the Units of Competency: Recordkeeping is provided in
Appendix 4.
Workplace assessment
Recognition of past experience can be given to staff in the form of statements of
competencies, statements of attainment or qualifications such as certificates or
diplomas in records management awarded by Registered Training Organisations
(RTOs) that have recordkeeping as part of their scope of registration.
A prospective TAFE student currently in employment who wishes to obtain
credits via workplace assessment should enrol in the relevant TAFE course, and
then seek workplace assessment through TAFE. For more information, contact
Jeannine Angilley, Manager Business Technology Program, TAFE, (02) 9217 3976,
jeannine.angilley@tafensw.edu.au
Stage 4: Plan to remove bias from methods
Whatever methods and benchmarks are chosen, the potential for bias should be
recognised and reduced through improving the tools themselves or planning
implementation strategies to counteract bias.

Example:

A staff member may over- or under- estimate their skills and knowledge in a self-
assessment survey.

To reduce the potential for such inaccurate results, the goals of the audit should
be explained fully before the survey takes place. Additional surveys by
supervisors or peers might be performed and compared to self-assessments to
objectify results.
Stage 5: Conduct the skills audit
When the project team has decided on methods and has tools in place they can
undertake the audit. It is important to remember the need for constant
communication with staff to ensure they are not concerned about the
consequences of the audit. See Managing the skills project for more information.
It is also important to be discreet with findings about particular individuals,
sharing information only within the project team.
Stage 6: Document the skills audit
What to document
Documentation can demonstrate compliance
What to document
Documentation should be kept of:
project management eg. miletones, resources etc
the reasons behind the choice of audit methods
details of the methods themselves including criteria for assessment
the choice of personnel to audit, and
the results of individual audits.
Documentation can demonstrate compliance
Documentation of skills audits can be shown to auditors to demonstrate
compliance with the Standard on Managing a Records Management Program, in
particular the the principle 'Staffed by skilled people'.
5 Determining skill gaps and means to address them
In this section
Determine skill gaps
Address skill gaps
Determine skill gaps
Compare and analyse the data
Document skill gaps
Compare and analyse the data
The determination of gaps involves comparing skills and knowledge held by the
organisation (determined in the skills audit) with the skills and knowledge
required (the established benchmark).
If a skills analysis has been performed, this would mean:
comparing the aggregated results of the skills audit with the skills analysis
and achieving a statistical result,5[4] or
comparing individual results to competency profiles derived from skills
audits.
Alternatively, individual skills audits can be compared to competency or position
profiles developed as audit benchmarks.

Example:
The comparison of skills required and skills possessed may show that the majority
of staff members in the records management program have considerable skill in
accurately recording details and advice and in collating information in the
context of recording disposal decisions. However, no team members have skills in
consulting with practitioners, staff members, customers and others to elicit
relevant information. A recommendation to address this skill gap might be that
training programs for records staff include training in communication skills.
The analysis may also show that a number of staff members have additional skills
that may be valid for future or related projects.
Document skill gaps
It is important to document the:
methods of comparison used
analysis of results
results and discrepancies found, for example, in a comparison checklist.
These might be ranked from most to least important to address
any initial recommendations on strategies to address key gaps.
Address skill gaps
Methods to analyse skill gaps
Factors affecting choices
Methods to analyse skill gaps
The next step is to examine the best ways that the organisation can address skill
gaps. This may be by:
training/developing existing staff in which case knowledge of gaps can
contribute to the identification of training requirements
redesigning jobs and/or recruiting for new staff in which case the gap
analysis can help focus the organisation on what skills they should be
looking for, or
engaging consultants in which case the gap analysis can help focus the
organisation on what skills they should be looking for in hiring the
consultant.
Factors affecting choices
Decisions about which of these options to take, and how far the project team can
go with them, will depend on factors like:
whether the skill gaps are only gaps in the short term (for example, if
there are skill gaps relating to a particular project a consultant might be
hired or recruitment of a staff member on a temporary basis. If it is for
ongoing work, long term recruitment or training might be preferred)
resources available for recruitment/training compared to risks posed by
lack of skills
the pool of available talent in the organisation/industry, and
the capacity of existing staff to learn new skills.
6 Designing or redesigning positions
In this section
Overview of job design / redesign
Stage 1: Seek information about the job design / redesign process
Stage 2: Collect information about the position
Stage 3: Analyse the position
Stage 4: Create a position description
Overview of job design / re-design
Definition
Outcomes
Why design / redesign positions?
When should positions be re-designed?
Stages in performing a design / re-design
Definition
Job design is a methodology to assess the work requirements of a position. It is
usually done in accordance with established rules and procedures, and results in a
defined or redefined position.
Example:
Section 8 (3) of the Public Sector Management Act 1988 requires department
heads or their delegates to classify and grade non-SES positions in accordance
with guidelines issued by the Premier's Department.
Positions in the NSW public health sector must be evaluated in accordance with
the NSW Health Circular 2001/74: A Framework for Recruitment and Selection
and the relevant award.
Why design or re-design positions?
Job design or re-design should be implemented if skills gaps can be best
addressed through better definition of positions. It should also be used before
recruiting to fill new or substantially altered positions. Standards, legislation or
procedures relevant to your organisation should be followed.
Outcomes
Job design may result in a new position description that better reflects the actual
position parameters and responsibilities, and reclassification of the position if it is
required.
Stages in performing job design / re-design
The following table describes the stages in performing job design:

Stage Description
1 Seek information about the job evaluation process
2 Collect information about the position
3 Analyse the position
4 Create a position description
5 Classify and grade the position
Stage 1: Seek information about the job design / re-design
process
Process of job evaluation
Internal sources
External sources
Process of job evaluation
All government organisations have an accredited job evaluation process. If you
are to be directly involved in job analysis or a member of a job design / re-design
group for records management staff you should be trained in the method/s used
by your organisation.
Internal sources
Your human resource management staff should be able to give you more
information about the process adopted in your organisation. In addition, staff
members directly involved in the process should have received specific training
and may be of assistance.
External sources
Sector Source/s
NSW Government
agencies
The NSW Government Personnel Handbook contains a
chapter on Classifying and Grading Positions. Appendix
A: Summary of Standards for Best Practice for Job
Evaluation describes in detail the job evaluation process
used for classifying positions.
Public health
organisations
In the health sector the NSW Health Circular 2001/74: A
Framework for Recruitment and Selection provides
information on this topic for all health organisations as
defined under section 7 of the Health Services Act 1997,
including Area Health Services, Corrections Health and
the Children's Hospital at Westmead, and the Ambulance
Service of NSW.
Local Government Local government sources include the Local Government
Act, 1993 (NSW), Chapter 11 - How are Councils
Staffed?, the Local Government (State) Award 2001 and
the Department of Local Government Circular 01/17
Advertising of Staff Positions by Local Government.
Universities Each university in NSW formulates its own policy and
procedures for job evaluation, in line with the relevant
awards for both administrative and academic staff.
Stage 2: Collect information about the position
Use information gathering tools
Skills analysis or audit
Use information gathering tools
For NSW Government departments, a standard questionnaire has been developed
as a basis for collecting information on positions to be analysed. This can help in
obtaining information about skills, responsibilities, decision making, complexity,
team work and contact with other people. Information about this questionnaire is
available in the NSW Government Personnel Handbook. Alternatively, you can
develop your own simple questionnaire for information gathering purposes,
focussing on the records management tasks and responsibilities currently within a
position's scope.
The Units of Competency: Recordkeeping is again a valuable tool that can assist
in defining tasks, skills and knowledge for records management activities. It can
be brought to the attention of the people performing the evaluation or records
management professionals in the organisation can assist in interpreting it for the
particular position being evaluated.
One advantage of using the competency standards is that they are nationally
recognised and provide a standardised framework for defining positions, making
movement of personnel between positions easier. In addition, the levels in the
competency standards give some indication of the complexity of tasks.
Example:
In an evaluation process a the following current responsibilities are identified for a
'records officer' position:
controlling records (BSBRK301A)
undertaking records disposal (BSBRK302A)
retrieving information from records (BSBRK303A), and
determining security and access rules and procedures (BSBRK604A).
All of these competencies are at Level III in the Recordkeeping Competencies,
except for 'determining security and access rules and arrangements', which is a
Level VI competency, requiring high level analytical and problem solving skills.
Ideally, this responsibility would be transferred to a more senior records
professional in the organisation. In some organisations, however, such as very
small public offices one records officer would be more likely to have to perform
tasks crossing all levels of the competencies.
If the position involves a range of tasks, including some outside the records
management area, other competency standards might assist, such as the other
competencies in the Business Services Training Package. See www.bsitab.org for
more information.
Skills analysis or audit
If a skills analysis or audit has been conducted, there may be existing information
about the position dimensions and how the competencies relate to the particular
position, such as a competency profile. See the previous sections of these
guidelines for information on skills analysis and skills audit, and Appendix 3 for a
sample competency profile.
Stage 3: Analyse the position
What is job analysis?
Methods of job analysis
Involvement of recordkeeping professionals
Qualifications
What is job analysis?
The next step in the process is to analyse the job. Job analysis is the process of
translating information from the questionnaire and from interviews with position
occupants, into a position description.
Methods of job analysis
The method of analysis will be dependent on which job evaluation methodology
has been adopted by your organisation. It generally involves analysing the
information collected, and holding interviews with individual employees, groups of
employees or a sample of employees with similar responsibilities to verify
information.
Involvement of recordkeeping professionals
Recordkeeping professionals in the organisation (or external professionals
assisting in the process) should certainly be involved at this stage if a records
management position is being analysed, as it is critical that the job is defined
appropriately. Again, if the organisation has performed a skills analysis or audit
the information may be valuable in the analysis stage.
Qualifications
One area of particular importance that should be considered during the analysis is
what qualifications are required.
A qualification is the recognition - accepted in NSW, nationally or
internationally - that a person has attained a certain standard of education,
knowledge and skill in a particular field. Qualifications include degrees, diplomas,
certificates, grades of membership in a professional association or institution, or
enrolment or licensing by legally recognised registration bodies such as courts or
registration boards. 6[5]
The NSW Government Personnel Handbook notes that appropriate emphasis
should be given to the qualification requirements of the position and whether
formal qualifications are essential to the position's functions. 7[6] State Records
believes that formal qualifications from a university or TAFE institution are a
desirable and necessary means of ensuring that records managers with strategic
or prime operational responsibilities have the knowledge and skills level to be
competent in their roles. Staff in junior records positions, such as records officers
or file clerks may not require a qualification of this nature as a prerequisite, but
should still have the incentive to become qualified if they wish to progress to
higher levels.
Information on how to reach records managers with recruitment efforts is
covered in these guidelines. An alternative for junior level positions may be to
seek staff (at recruitment) willing to undertake a qualification, for example, as a
trainee. See Appendix 8 for more information on traineeships.
8[95] NSW Government Personnel Handbook, Chapter 1, Section 1-2.3.3,
Qualifications
10[6] Loc.cit.
Stage 4: Create a position description
What is a position description
Why create a position description?
Contents of a position description
Position description template
Position descriptions for records management staff
Sample position description for records management positions
Position descriptions for other staff
Levels of responsibility
Ensure position descriptions are current
What is a position description?
The results of the analysis are documented in a position description. A position
description provides a concise and accurate picture of a position, explaining why
it exists and what it is supposed to achieve. Position descriptions have largely
replaced statements of duties as the primary source of information about staffing
positions, as they are a more comprehensive analysis of the positions
parameters.

Why create a position description?
A position description can help to:
formally define authorities and responsibilities and communicate these to
incumbents
clarify the expected work outputs
assist managers in allocating work within the workplace or in selecting
suitable applicants for a position by enabling them to match individuals
knowledge, skills and attributes with those required for the position
aid training providers in designing learning resources to meet the needs of
the workplace
contribute towards the job evaluation process and in determining pay.
It has added benefits for individuals in assisting them to:
assess their suitability for a particular job by comparing their
competencies with those required
plan their education and learning to meet the requirements of the type of
employment they will be seeking. 11[7]
Contents of a position description
A standard position description contains:
identifying details
details of the purpose of the position
departmental relationships and context
nature of the work performed
challenges and problem solving associated with the position
decision making requirements
position dimensions
communication needs
key accountabilities
knowledge and skills requirements, and
experience.
For most NSW public sector organisations rules exist for the classification and/or
grading of positions. Check with human resources personnel in your organisation
to ensure these are correctly determined for positions with records management
responsibilities. Follow internal procedures including the use of any corporate
templates that may exist for position descriptions.
Sample position descriptions
Appendix 5 contains sample position descriptions for records management roles
using the format recommended in the NSW Government Personnel Handbook.
Position descriptions in other sectors should be developed in the standard formats
used in their jurisdiction.
Position descriptions for records management staff

By undertaking a comprehensive analysis and describing all relevant elements of
records management positions in a position description, and making that position
description available to the occupant, you are effectively assigning responsibility.
This will assist you in complying with some of the requirements of Principle 4:
Assigned of the Standard on Managing a Records Management Program. The
degree to which incumbents meet their responsibilities can then be measured in
the regular performance management systems adopted by the organisation.
Position descriptions for other staff
All staff have some degree of responsibility for recordkeeping. The Australian
Standard, AS ISO 15489 recommends that the organisation define the
authorities and responsibilities of all employees involved in records
management.12[8] This is reflected in the third requirement in Principle 4,
Assigned, of the Standard on Managing a Records Management Program that the
recordkeeping responsibilities of individual employees have been documented and
communicated to all staff.
Public offices can document the detail of responsibilities in policy or business
rules, but they can also use the position descriptions of every staff member to
formally define authorities and responsibilities at a broad level and promulgate
these to staff. Compliance can then be measured in the regular performance
management systems adopted by the organisation.
Levels of responsibility
The following table shows the positions in the organisation and the type of
responsibility for records management that should be assigned to them:

Position Level of responsibility
Chief executive
Highest level of responsibility ensuring that their public office
complies with all requirements of the State Records Act (State
Records Act, s.10)
Senior
management
High level of responsibility for ensuring that the records
management program is operating successfully. The Corporate
Records Manager belongs at this level.
Managers of
business units
Responsibility for ensuring that their staff create and keep
records as an integral part of their work and in accordance with
established policies, procedures and standards. Provide the
necessary resources for the management of records in their
business units and liaise with the Corporate Records Manager.
Records
managers
Responsible for the operational management of the records of
the organisation, reporting to the Corporate Records Manager;
may supervise records staff.
Staff with
records related
duties such as IT
Responsibility to liaise with recordkeeping professional
regarding records duties and responsibilities.

and compliance
staff
Records staff
13Responsible for performing day to day records management
tasks such as file creation and sentencing.
All staff
Responsibility for creating, receiving and keeping records and
documenting the business they perform and responsibility for
ensuring that these records are captured into authorised
recordkeeping systems. 14[9]
Ensure position descriptions are current
If a position description already exists, it should be checked for currency before
moving to recruitment. Departmental management is responsible for the accuracy
and review of position descriptions. An employee who considers their position
description does not adequately reflect their duties should bring the matter to the
attention of their supervisor.
15[7] Premiers Department, Implementation of National Training Packages: A
Tool Kit for NSW Government Agencies, p.26. Available in October 2002 from
Premiers Department Web site at www.premiers.nsw.gov.au
16[8] AS ISO 15489-2002, Records Management, Part 1-General, Clause 6.3;
Part 2-Guidelines, Clause 2.3.2
17[9] AS ISO 15489-2002, Records Management, Part 2 Guidelines, 2.3.2
7 Recruiting staff and engaging consultants to fill
skill gaps
In this section
Recruiting staff with records management skills
Defining the selection criteria
Sample job advertisements
Traineeships
When the use of consultants is suitable
Stages in the process to hire a consultant
Further information
Recruiting staff with records management skills
In some cases recruitment will be a suitable option for the bridging of records
management skills gaps. Standard recruitment processes should be followed, but

to find personnel with records management skills, additional means of attracting
qualified personnel may be used, such as:
advertisement of the position on the Records Management Association of
Australia listserv [10], or
where permitted, using specialist records/archives employment agencies.
Information on these may be obtained from the Records Management
Association of Australia website, at: www.rmaa.com.au
Defining the selection criteria
All records management positions in the NSW public sector will have selection
criteria relating to common requirements such as the ability to work
independently or with a team, a capacity for innovative thinking or the ability to
manage a budget. Your Human Resources officer can advise on these. Some
examples of other selection criteria that would be suitable for records
management positions at different levels of responsibility are shown below.
Records manager in a medium to large sized public office:
tertiary qualifications in records management such as TAFE Certificate III
or above or post graduate qualifications
extensive experience in the management of records
understanding of and ability to implement the requirements of the State
Records Act 1998 and associated records management standards
Records officer working under a qualified records manager:
experience in the management of records
demonstrated ability to control records using records / document
management software
understanding of the rules and procedures for records disposal in NSW
Government / Local Government / the public health sector etc.
ability to use a controlled vocabulary tool (such as a thesaurus/name of
thesaurus) for records titling
Records management trainee:
successful completion of Year 12 HSC or equivalent
willingness to undertake a Business (Records & Archives) Traineeship
ability to undertake general clerical duties
ability to maintain strict confidentiality & use discretion
experience working with computers
Note: Some records management positions will require the position holder to
carry out heavy lifting. The selection criteria should note this where appropriate.
Sample job advertisements
Any job advertisement that is developed should be based on the specific
competencies of and the qualifications and experience needed for the
position. Some sample job advertisements for records management positions are
provided in Appendix 6.
Traineeships
It may be suitable to offer a records management traineeship. A traineeship is a
job that combines work and learning. It involves a formal agreement between the
employer and the trainee; a training program delivered by a Registered Training
Organisation; and a nationally recognised qualification for the trainee on
completion. In the case of records management this means that over a 12 month
period a trainee will undertake a range of work activities in a records
management environment while they complete a Certificate III in Business
(Records and Archives) at TAFE.
For more information see
http://www.rmaa.com.au/branches/nsw/traineeship.html
When the use of consultants is suitable
If the skills are unavailable internally and the organisation does not wish to
recruit, a solution may be to engage consultants to fill the skill gaps. This solution
is particularly valuable if the skill gap is a short term one and if sufficient
resources are available. You should, of course, ensure that any organisational
rules for the use of consultants are followed.

Example:
An organisation was undertaking a project to introduce a new records
management system. When they analysed the skills required and compared these
to the existing skills in the organisation, they decided that the set of skills they
required were unavailable in the organisation. As there would not be the same
need for these skills when the project was over, they decided to hire a consultant
on a short term basis to implement the system and transfer longer term skills and
knowledge (such as how to use and maintain the system) to the existing staff.

This solution may not be viable if there are insufficient resources or no-one able
to adequately supervise and assess the work of the consultant. In addition, if the
organisations records are of a very sensitive nature, there are risks involved in
hiring external expertise that should be measured.
Stages in the process to hire a consultant
To hire a consultant:

Stage Description
1
Research the parameters of the position you can draw on information
obtained in skills analyses and skills audits and by referring to the
competency standards.
2
Create a project brief indicating what tasks you expect the consultant to
perform and skills and knowledge you expect them to possess this will
assist those submitting tenders or quotations in developing their cost
structures and can serve as criteria for you to assess them by.
3 Locate appropriately qualified consultants
4
Assess consultants check their credentials, samples of work, consult
referees
5
Select and hire the best consultant to meet your requirements this
involves preparing a contract with all relevant detail
6 Appoint a liaison officer to oversee the work of the consultant
7
Continually review the effectiveness of the consultants performance
against the project brief and assess the outcomes achieved
Further information
More information on recruitment and use of consultants can be obtained from:
the NSW Government Personnel Handbook and Premiers Department
circulars for NSW State agencies
NSW Premiers Department, Guidelines for the engagement and use of
consultants, August 2000
NSW Premiers Department, Premiers Circular 2003-08 'Engagement and
use of consultants'
Available at: http://www.premiers.nsw.gov.au
the Local Government (State) Award 2001 and Department of Local
Government Circular 01/17 Advertising of Staff Positions by Local
Government, and
NSW Health, Circular 2001/74: A Framework for Recruitment and
Selection.
State Records' Recordkeeping in Brief 4: Using Consultants for Records
Management contains more detailed information on the process of selecting
consultants according to NSW public sector requirements.
[10] The Records Management Association of Australia hosts an email listserv on
which organisations regularly post position advertisements. For information on
joining the listserv, go to: www.rmaa.com.au
8 Training and development to fill skill gaps
In this section
Overview of training needs analysis
Performing the training needs analysis
Implement training/development solutions
Monitor and review solutions
Overview of training needs analysis
Definition
Outcomes
Individual analysis
Group analysis
Stages in performing the training needs analysis
Definition
A training needs analysis is an analysis of:
how skills gaps can be addressed through training or professional
development initiatives
what types of training/development are required, and
how to prioritise training/development
Outcomes
The outcomes of a training needs analysis are training/development plans or
programs that are prioritised for implementation.
Individual analysis
A training needs analysis may be undertaken for a particular person, and indeed
some staff members may have peculiar needs for training or development.
Group analysis
To direct resources for larger training programs, a broader analysis should be
undertaken, looking at the major training needs for the records management
program as a whole. It may be extended further into the organisation to look at
the training required for action officers performing recordkeeping tasks.
Stages in performing the training needs analysis
A training needs analysis includes the following stages:

Stage Description
1 Obtain a good understanding of skill gaps
2 Consider the type and coverage of training/development required
3 Research options
4 Evaluate options
5 Document the training needs analysis
Performing the training needs analysis
Obtain a good understanding of skill gaps
Collect data on training needs
Document the training needs analysis
Obtain a good understanding of skill gaps
If you are planning to address skill gaps with training, you should have a full
understanding of what the gaps entail, or your efforts could be misdirected and
effectively wasted. As previously outliuned in this guidance, information on skill
gaps can be obtained by performing:
a skills analysis and audit for the records management program and
comparing the results, or
a skills audit and comparing results with competency profiles/position
descriptions for individuals, then aggregating the results to define
collective skill gaps
Collect data on training needs
The self assessment form developed to identify skill gaps can also be used to
record training needs. Suggestions may be collected from staff, their supervisors
or both. Information on training needs may also be gathered as part of
performance reviews.
Document the training needs analysis
The training needs analysis and results should be documented fully.
Recommendations on how to proceed should be forwarded to the appropriate
officer for authorisation. Documentation of the training needs analysis can be
shown to auditors to demonstrate compliance the records management skills
requirements from the Standard on Managing a Records Management Program.
Implement training/development solutions
Evaluate training / development options
On the job coaching
In house training
External training and development
Scholarships
Evaluate training / development options
Training/development options for bridging skill gaps generally fall into the
following categories:
on the job coaching
in-house training, or
external training and development.
The option of.. is suitable when..
on the job coaching the skills and knowledge required are specific
to the organisation
new staff require instruction on internal
procedures or the use of records management
software
there are limited resources to spend on
training and development
staff have the knowledge and skills required to
assist their colleagues
there are adequate coachers for the number of
'coachees'
in-house training the skills exist to deliver training entirely in-
house; or
some resources are available to fund payment
of a consultant to deliver training
the number of staff requiring training justifies
the expense of planning and delivery
external training and
development
resources are available to support staff in
obtaining external qualifications
the necessary skills and knowledge are not
available to train in-house
staff are interesting in progressing in their
careers by obtaining qualifications or by
participating in the professional community
On the job coaching
On the job coaching generally involves instruction of one or two members of staff
on organisational practices and procedures. Rather than being a structured
training course, coaching goes on throughout the working day when it is
required.
In house training
In house training may either be developed by staff or by an external provider.
Some records management consultancy firms in NSW will prepare and provide
tailored courses for individual organisations. The RMAA's Product Directory is a
source for information on records management consultants. Consultants may be
able to instruct records management staff and also train general staff members in
their recordkeeping responsibilities. Most records management software vendors
also offer in-house training for licence holders for a fee or as part of their licence
agreement.
External training and development
There are a number of different options for external training and development in
records management. See:
the current calendars of State Records' short course training in
metropolitan and regional areas
Appendix 7: Linking skill / knowledge gaps with State Records training
courses - this table directs you to State Records courses which are suitable
for bridging certain skills and knowledge gaps
Appendix 8: Professional development for records managers, and
Recordkeeping in Brief 1 - Education and training opportunities - listing a
wide range of training and education options, including TAFE and
University courses.
Scholarships
The NSW Branch of the Records Management Association of Australasia (RMAA)
offers one off payments to assist study in the field of records management. The
scholarships are open to any resident of NSW aged 16 or over who is enrolled in
tertiary study in with an RMAA-recognised university course or registered training
organisation. Further information is available on the RMAA website.
Monitor and review solutions
Need to monitor and review
Ways to monitor and review
If unsuccessful, explore other options
Need to monitor and review
One of the major flaws in many training and professional development strategies
for staff is that their success or failure in filling the skill gap is not monitored or
measured. As training and development involves expenditure it is essential that
there is some follow up to ensure that the solutions chosen have indeed had the
desired effect.
Ways to monitor and review
Ways of monitoring or reviewing the success of solutions may include:
providing evaluation forms or holding evaluation discussions at the end of
training courses to ascertain participants views on what they have learnt
observing or testing changes in practice or knowledge resulting from the
training or development opportunity, and/or
comparing skills audits over time to ascertain any changes in skill levels,
and/or
measuring changes in performance reviews.
If unsuccessful, explore other options
The results should be documented. If, through monitoring, it is discovered that
the training or development opportunity has had little or no effect in raising skill
levels in the organisation, other training and development options may need to be
explored. Alternatively, it may be necessary to look at other means of addressing
skill gaps such as hiring consultants, redeploying staff or recruiting new records
management staff.
9 Further reading
Australian National Training Authority, BSB01 Business Services Training
Package, Units of Competency: Recordkeeping, ANTA, 2001. The standards can
be purchased from bsitab. Details available at: www.bsitab.org

Department of Local Government Circular 01/17 Advertising of Staff Positions by
Local Government. Available at:
http://www.dlg.nsw.gov.au/dlg/dlghome/Documents/Circulars/01-17.pdf

Equal Opportunity for Women in the Workplace Agency website.
This site contains a seven step plan for devising a skills audit and determining
training needs. It also contains an example of a survey questionnaire. Available
at: www.eowa.gov.au/Developing_a_Workplace_Program/Six_Steps
_to_a_Workplace_Program/Step_2/Training_Needs_Analysis_and_Skills_Audit.as
p

Evans, J. Research Report Shock, Informaa Quarterly, Vol.8, November 2002,
pp.16-19

Local Government Act, 1993 (NSW), Chapter 11 - How are Councils Staffed?
Available online at: www.austlii.edu.au

NSW Health, Circular 2001/74: A Framework for Recruitment and Selection.
Available at: http://www.health.nsw.gov.au/fcsd/rmc/cib/circulars/2001/cir2001-
74.pdf

NSW Premiers Department, Implementation of National Training Packages: A Tool
Kit for NSW Government Agencies, Sydney, NSW 2000. This publication describes
the NSW Governments commitment to implementing the National Training
Reform Agenda and how to implement competency standards. Available at:
www.premiers.nsw.gov.au/pubs.htm

NSW Premiers Department, NSW Government Personnel Handbook, October
2000, available at:
www.premiers.nsw.gov.au/pubs_dload_part1/personnel_hb_99-2000/index.htm

Recreation Training Queensland. Although not a records related website this
contains good advice on skills audits and some examples of skills audit tools.
Available at: www.rtq.com.au/Resources/resstart.htm
10 Appendices
Appendix 1: Sample documentation of records management tasks and sources
used to identify tasks
Appendix 2: Sample documentation of skills and knowledge requirements for
records management tasks
Appendix 4: An example of a self assessment survey form for a staff member,
based on Level III competencies in the Units of Competency: Recordkeeping
Appendix 5: Sample records management position descriptions
Appendix 6: Sample records management job advertisements
Appendix 7: Linking skill / knowledge gaps with State Records training courses
Appendix 8: Professional development for records managers
Appendix 1: Sample task documentation
A simple table can be used to document the tasks that the records management
program needs to have performed in order to meet its objectives.
Task Source
1 Sentence records Position Description 00/24: Records
Officer
2 Register files in corporate records
system
Position Description 00/24: Records
Officer
3 Determine business or records
system specifications
BSBRKG501A (Recordkeeping
Competencies)
4 Review functional thesaurus Records Management Program Action
Plan 2002-2003, Goal 10
5 Maintain and monitor records
storage areas
State Records, Standard on the Physical
Storage of State Records, Principle 5,
MCR 1
6 Transport and handle records
safely and securely
Interview with records manager,
24/4/03
Appendix 2: Sample knowledge and skills documentation
The information gathered about tasks can be added to with documentation of the
knowledge and skills required to perform those tasks, including the sources from
which the knowledge and skills were identified.

Task 1: Sentence records
Skills / knowledge required Source
1 Understand the process of assessing records to identify
disposal status
BSBRKG302A
(Recordkeeping
Competencies)
2 Ability to apply disposal information to records in the TRIM
records management software product
Position
Description
00/24: Records
Officer
3 Ability to handle fragile and deteriorating paper records Interview with
records
manager
24/4/03

Task 2: Register files in corporate records system
Skills / knowledge required Source
1 Understand the processes of capture, classification, registration
and tracking the location of records
BSBRKG301A
(Recordkeeping
Competencies)
2 Ability to register records using the TRIM records management
software product
Position
Description
00/24: Records
Officer
3 Identify activities documented by records and apply
classification schemes
BSBRKG301A
(Recordkeeping
Competencies)
4 Record metadata accurately BSBRKG301A
(Recordkeeping
Competencies)
A competency profile should take account of the analysis of tasks and the skills
and knowledge required to perform those tasks.
Note: This example has been provided only as a model for documenting
competency profiles. It is not intended to represent required competencies for all
records officers, it is rather an example only.
Position: Records Officer
Tasks performed:
Classifying, registering and tracking records and information about records
within the records system [BSBRKG301A]
Receiving requests for records and delivering the record or information
about records [BSBRKG303A]
Identifying records that are subject to the disposal program and safely
transferring or securely disposing of the records [BSBRKG302A]
Maintaining the records of the records system in good order on a day to
day basis, including the work to gather together records that are subject
to record system updates, to perform those updates and to retrieve
reports from the system in response to a request. [BSBRKG304A].
Skills required:
ability to register records using the TRIM records management software
product
ability to identify activities documented by records and apply classification
schemes
ability to record metadata in the TRIM records management software
product accurately
ability to apply disposal information to records in the TRIM records
management software product
ability to handle fragile and deteriorating paper records
Knowledge required:
understand the process of assessing records to identify disposal status
understanding of the processes of capture classification registration and
tracking the location of records
Appendix 4: Sample self assessment survey form based on
Level III competencies from Units of Competency:
Recordkeeping
This is an example of a skills audit and training needs analysis by self
assessment. It is for a staff member working at the level of Australian
Qualifications Framework Level III competencies. Questions have been devised
using the underpinning skills and underpinning knowledge sections in the
competency standards Evidence Guide. Some skills and knowledge were grouped
together so that the audit was not overly long. This is an example only of how the
competency standards might be used.
It should be remembered that sometimes records staff in organisations will work
at many levels of competency, depending on their position. They may also need
to have competencies other than recordkeeping competencies eg. team work,
that need to be covered in the skills audit. An analysis of the position dimensions
should therefore precede a skills audit.
Skills audits should be adapted to complement performance management and
training programs in the organisation.
Note: This sample self assessment survey form was developed using the form
provided by the Commonwealth Government Equal Opportunity for Women in the
Workplace Agency in the 'Training Needs Analysis and Skills Audit' page of their
website as a basis.
Records Management Skills Self Assessment Survey
1. Name of staff member
2. Position title
3. How long have you been in your current position?
4. Do you have a position description for your current position?
Yes No - Go to Question
8
5. Is your job accurately described in the position description?
Yes - Go to Question 8 No
6. What extra duties need to be added to your position description?
7. What duties are no longer part of your job and need to be removed from your
position description? Please place a cross (X) against relevant answer.
Please also explain:
a) how you meet the competence, and/or
b) further skills development / training required to meet the competence.
For example:
I have a good knowledge of relevant legislation that affects our business
operations.
Strongly Agree Agree X Disagree Strongly
Disagree
Evidence of competence:
I have read and understand the requirements of the State Records Act and
have been to training sessions at State Records. I am also familiar with the
requirements of our own enabling legislation and the FOI Act. I have had
training in OH&S, equal opportunity and anti discrimination legislation.
Need or desire for further skills development / training:
I would like to know more about the Privacy Act 1998 and how it affects us
giving access to records. I think that NSW Privacy may offer courses.
Knowledge
8. I have a good knowledge of relevant legislation that affects our business
operations.
Strongly Agree Agree Disagree Strongly
Disagree
Need or desire for further skills/training:
9. I have a good knowledge and understanding of the organisations policies,
strategies and procedures.
Disagree
10. I have a good knowledge of the organisation, its culture and structure,
business and functions and activities that it performs.
Disagree
11. I have a good knowledge of the organisations manual and automated
records and archives systems.
Disagree
12. I have a good knowledge of recordkeeping concepts, principles and
processes.
Disagree
13. I have a good knowledge of the organisations records thesaurus and
how to apply it.
Disagree
14. I have a good knowledge of organisational records appraisal, disposal
and approval processes and its retention and disposal authorities.
Disagree
15. I have a good knowledge of what records are vital to the organisation in
enabling it to manage risks and meet its obligations.
Disagree
16. I have a good knowledge of organisational procedures in relation to the
transfer of custody, ownership and/or responsibility for records.
Disagree
17. I have a good knowledge of the organisations security and access
procedures for records.
Disagree
18. I have a good knowledge of the retrieval tools and finding aids for
records and archives in my organisation.
Disagree
19. I understand the principles of Occupational Health and Safety and how
they relate to my work.
Disagree
Skills
20. I have sound interpersonal communication skills.
Disagree
21. I can provide efficient response to customer requests and and use
sensitivity and discretion when dealing with customers.
Disagree
22. I am good at managing my time, prioritising my work and completing
my tasks by set deadlines.
Disagree
23. I use sound judgement and discretion with confidential information.
Disagree
24. I can accurately record information and have attention to detail.
Disagree
25. I am able to read and interpret records in order to classify them, apply
retention and disposal authorities and access and security rules and
conditions.
Disagree
26. I am able to use relevant technology and other tools required to perform
my work.
Disagree
27. I am able to write precise reports on records management activities.
Disagree
28. I can operate appropriate equipment for moving records.
Disagree
Other training needs
29. Is there any other instruction or training you need to perform you job
competently?

30. What other roles in the organisation would be interested in doing if a vacancy
became available and what training would you need to perform these roles?

Future development needs
31. What are your career aspirations?

32. What training or development do you need to help make this happen? (eg.
university qualification, specific training courses etc)

Recognition of prior learning
33. What training have you attended within the last 3 years? (This will help to
identify if any training sessions have been missed or if you need refresher
training).

34. What training or skills have you acquired outside your current job that might
be relevant to the whole organisation?

Thank you for your assistance. Your answers will be assessed and used for
planning skills development and training programs for the next year.
Appendix 5: Sample records management position
descriptions
Explanation
Sample position description for a Records Officer
Sample position description for a Records Manager

Explanation
The format and directions in these position descriptions are from the Premiers
Department, NSW Government Personnel Handbook.
The examples given for the Records Officer are based on the Level III
Competencies in the Australian National Training Authority, BSB01 Business
Services Training Package, Units of Competency: Recordkeeping, ANTA, 2001
(available for purchase from http://www.bsitab.org)
The examples given for the Records Manager are based on the Levels V and VI
Competencies. The elements of competency and performance criteria from the
competency standards are summarised in the work performed section.
Please note, these are examples only of how the competency standards might be
used in position descriptions. Position descriptions will depend on aspects of a
public office

Sample position description for a Records Officer
ORGANISATION X
POSITION DESCRIPTION
POSITION TITLE: Records Officer
Division: Corporate Services
Branch: Information and Communications
Location: Sydney Office
Family Name of Position Holder: Filewright Initials: F
POSITION TITLE OF SUPERVISOR: Records Manager
Family Name of Supervisor: Planwell Initials: P
CHIEF EXECUTIVE OFFICER OR DELEGATE:
Signature:
Date Position Document Approved:
Day Month Year
FOR OFFICE USE ONLY:
POSITION NO: INF 222
CLASSIFICATION: Clerk
GRADE: 3
1. PURPOSE OF POSITION
The purpose of this position is contribute to the efficient operation of the
organisations records management program in order to support business and
meet regulatory and best practice requirements for recordkeeping and records
management.
2. DEPARTMENTAL RELATIONSHIPS
i) Position Title(s) of Supervisor: Records Manager
ii) Position Titles that also report to the Supervisor identified in (i) above:
Other Records Officers (3)
iii) Titles of positions which report to this position: N/A
3. DEPARTMENTAL CONTEXT
The Records Officer position is located in the Corporate Services Division. The
Division is responsible for the provision of support services to the organisations
operational programs. The Corporate Services Division includes three branches:
the Finance, Human Resources and Information and Communication Branches.
The Information and Communications Branch manages the organisation-wide
information and communication functions of the organisation.
The key functions of the Branch are
management, development and support of IT infrastructure and assets
technical management and development (as opposed to content) of the
organisations World Wide Web site and Intranet
coordination and management (as opposed to content development) of
publishing
data administration
library and information brokerage services, and
records management.
The records management unit administers the organisations records
management program, including the provision of customer services to staff and
external clients. It manages the creation, capture, storage, access and disposal of
corporate records, and runs training and educational programs to raise awareness
of staff responsibilities for recordkeeping.
There are four Records Officer positions reporting to the Records Manager. They
perform a number of the day-to-day tasks associated with the provision of a
records management service and with meeting legislative requirements and
policy, standards and codes of best practice to which the organisation is subject.
NATURE AND SCOPE OF POSITION
A. WORK PERFORMED
The Records Officer position has four major components. These are listed below
along with the relevant competency (in brackets) from BSBO1: Business Services
Training Package: Units of Competency Recordkeeping:
Classifying, registering and tracking records and information about records
within the records system [BSBRKG301A]
This work is performed by the records officer so that all relevant records of official
business are captured and managed accountably using corporate records
systems. It involves the selection of appropriate classification information from
the organisation's thesaurus, the registration of records by updating the
organisation's corporate records system with the necessary data, including data
on relationships between records, and the monitoring of records movement and
use using methods such as file audits.
Identifying records that are subject to the disposal program and safely
transferring or securely disposing of the records [BSBRKG302A]
This work is performed by the records officer as part of the organisation's ongoing
records disposal program. It involves consultation with records users,
organisation of records into active, semi-active and inactive groupings, and
sentencing of records using the organsiation's disposal authorities. It also
requires the records officer to maintain up to date documentation of disposal
activity, and involves some physical lifting and moving of records.
Receiving requests for records and delivering the record or information
about records [BSBRKG303A]
This work is performed so that staff of the organisation access to up to date
organisational information from records at all times. The records officer searches
and retrieves data from the records control system, ensures organisational
security and confidentiality restrictions on records are abided by, and retrieves
and delivers records to staff, in either physical or electronic formats.
Maintaining the records of the records system in good order on a day to
day basis, including the work to gather together records that are subject
to record system updates, to perform those updates and to retrieve
reports from the system in response to a request. [BSBRKG304A].
This work is performed so that the organisational records system is up to date
and has integrity at all times. It involves ongoing maintenance of the system,
testing for system errors and producing periodic reports from the system.
B. CHALLENGES AND PROBLEM SOLVING
There are a range of challenges and situations in this position requiring problem-
solving skills. These include:
choosing relevant terms from the organisations functional thesaurus to
classify records covering a range of issues
assessing records and choosing appropriate disposal actions from disposal
authorities in order to sentence them
using the full functionality of the records system
fixing problems with the records system in liaison with software suppliers
keeping information in the records system current and accurate
assisting in the education of users about their responsibilities for records
management
liaising with users regarding the disposal of records and the identification
of vital records when the users are not familiar with records practices or
methods; and analysing that information effectively
managing projects for the physical transfer or disposal of records
providing high quality and timely services to users within tight timeframes
and with limited resources
recommending actions to the Records Manager and Corporate Records
Manager as to how the organisation might better comply with their
legislative and other responsibilities.
C. DECISION - MAKING
The position holder routinely makes decisions on matters such as:
prioritising his / her own workload
which incoming material should be treated as records
the application of the organisations thesaurus when titling files, and
the determination of the disposal status of records
the application of security or access restrictions to records.
The position holder makes recommendations to the supervisor on:
changes needed to the records system
data collected about records disposal and the identification of vital records
projects to relocate or move records
appropriate terms for inclusion in a revised thesaurus
appropriate appraisal decisions as part of the development of a draft
disposal authority
appropriate changes to storage areas and facilities for records
suggestions for the records management program as part of strategic and
operational planning.
POSITION DIMENSIONS
D. COMMUNICATION
The position holder is involved in communication with people from a wide range
of organisations, levels and backgrounds, including:
the Records Manager (the positions supervisor)
other Records Officers
other staff within the Information and Communications Branch
organisational staff over the use of records management system/s and
program services and in order to implement disposal and identify vital
records
staff of the software company/ies contracted to provide records/document
management software for the organisation,
staff at State Records when transferring records or requesting retrievals
suppliers of equipment, stationery and other materials for records
management activities.
E. KEY ACCOUNTABILITIES
The accountabilities associated with this position are:
provide a records management service to organisational staff and
external clients
ensure that physical and electronic records can be identified and retrieved
quickly and easily when needed
ensure that information in records systems is accurate and up to date
ensure that records are disposed of lawfully and efficiently and in
accordance with organisational deadlines
ensure that records are transferred or relocated appropriately when
required
assist the Records Manager and CIO to implement requirements contained
in legislation, policy, standards and codes of best practice
assist the Records Manager to monitor and report to the CIO on the
operation of the records management program.
KNOWLEDGE, SKILLS AND EXPERIENCE
Knowledge
The position requires knowledge of:
relevant legislation, policies, strategies and procedures
business and functions and activities and records classification
methods
manual and automated records and archives systems
recordkeeping concepts, principles and processes
records appraisal, disposal and approval processes and retention
and disposal authorities.
methods for identifying vital records
issues in relation to the transfer of custody, ownership and/or responsibility
for records
security and access issues for records
Skills
The position requires the following skills:
sound interpersonal skills
customer service skills including an ability to respond efficiently to
customer requests and use sensitivity and discretion when dealing with
customers.
time management, and the ability to prioritise and meet deadlines
sound judgement and discretion with confidential information
accuracy and attention to detail
skill to read and interpret records in order to classify them, apply retention
and disposal authorities and access and security rules and conditions
skill in the use of relevant technology
good written communication skills with the ability to write precise reports
on records management activities
skills in operating appropriate equipment for moving records.
Experience
The position requires experience in the management of records, including the use
of records management software. It is desirable for the position holder to have
relevant TAFE or university qualifications, experience in the management of
records in the electronic environment, in the implementation of classification
schemes, disposal authorities and thesauri and in helping to educate users in the
records system and their recordkeeping responsibilities.
Sample position description for a Records Manager
ORGANISATION X
POSITION DESCRIPTION
POSITION TITLE: Records Manager
Division: Corporate Services
Branch: Information and Communications
Location: Sydney Office
Family Name of Position Holder: Planwell Initials: P
POSITION TITLE OF SUPERVISOR: Head of Corporate Services
Family Name of Supervisor: Thudbucket Initials: B
CHIEF EXECUTIVE OFFICER OR DELEGATE:
Signature:
Date Position Document Approved:
Day Month Year
FOR OFFICE USE ONLY:
POSITION NO: INF 222
CLASSIFICATION: Clerk
GRADE: 7/8
1. PURPOSE OF POSITION
The purpose of this position is ensure the efficient operation of the organisations
records management program in order to support business and meet regulatory
and best practice requirements for recordkeeping and records management.
2. DEPARTMENTAL RELATIONSHIPS
i) Position Title(s) of Supervisor: Head of Information and Communications
(Corporate Records Manager)
ii) Position Titles that also report to the Supervisor identified in (i) above:
Librarian
iii) Titles of positions which report to this position: Records Officer
3. DEPARTMENTAL CONTEXT
The Records Manager position is located in the Corporate Services Division. The
Division is responsible for the provision of support services to the organisations
operational programs. The Corporate Services Division includes three branches:
the Finance, Human Resources and Information and Communication Branches.
The Information and Communications Branch manages the organisation-wide
information and communication functions of the organisation.
The key functions of the Branch are
management, development and support of IT infrastructure and assets
technical management and development (as opposed to content) of the
organisations World Wide Web site and Intranet
coordination and management (as opposed to content development) of
publishing
data administration
library and information brokerage services, and
records management.
The records management unit administers the organisations records
management program, including the provision of customer services to staff and
external clients. It manages the creation, capture, storage, access and disposal of
corporate records, and runs training and educational programs to raise awareness
of staff responsibilities for recordkeeping.
The Records Manager is responsible for four Records Officers. They perform a
number of the day-to-day tasks associated with the provision of a records
management service and with meeting legislative requirements and policy,
standards and codes of best practice to which the organisation is subject.
NATURE AND SCOPE OF POSITION
A. WORK PERFORMED
The Records Manager position has four major components. These are listed below
along with the relevant competency (in brackets) from BSBO1: Business Services
Training Package: Units of Competency Recordkeeping:
Define recordkeeping framework [BSBRKG601A]
This work involves the establishment and maintenance of the Department's
records management program. This includes analysis and monitoring of the
regulatory and business environment in which recordkeeping occurs; analysis of
risk associated with the Department's business areas; specification of the
Department's recordkeeping requirements and the assignment of responsibilities
for aspects of the program.
Plan management of records over time [BSBRKG608A]
This work requires the Records Manager to determine strategies for the storage
of records and their protection from harm or deterioration into the future. It also
involves devising strategies for the long term management of electronic and other
equipment / technology dependent records over time. The Records Manager is
required to prepare planning documentation for records in accordance with
Departmental and State Records requirements.
Develop recordkeeping policy [BSBRKG602A]
This work involves the revision of existing Departmental policy on records
management and recordkeeping and/or the development of new policy. Policy is
developed based on an understanding of recordkeeping behaviours, risks and
corporate culture. The Records Manager is required to consult widely with
stakeholders as part of the development of the policy.
Manage and monitor a records system [BSBRKG502A]
This work involves establishing performance targets for the operation of
Departmental recordkeeping systems, and the monitoring of recordkeeping
systems performance over time. This includes the identification of problems and
timely response to identified problems.
B. CHALLENGES AND PROBLEM SOLVING
There are a range of challenges and situations in this position requiring problem-
solving skills. These include:
formulate a recordkeeping framework taking into account users' needs,
technological requirements, budget and resource constraints for
nominated time frame
analysing and interpreting legal and regulatory requirements in order to
define recordkeeping requirements
analysing risk associated with business activities in order to define
recordkeeping requirements
identifying critical indicators of recordkeeping system performance
rectifying recordkeeping system problems with appropriate system
changes
C. DECISION - MAKING
The position holder routinely makes decisions on matters such as:
prioritising his / her own workload
acceptable performance levels in the recordkeeping system and
appropriate solutions for problems identified
responsibilities for record creation and capture
the priorities of the records management program for planning purposes,
and
storage and custody arrangements for current, semi-current and archival
records.
The position holder makes recommendations to the supervisor on:
long term records management program objectives
records management program budget requirements, and
Departmental records management policy.
POSITION DIMENSIONS
D. COMMUNICATION
The position holder is involved in communication with people from a wide range
of organisations, levels and backgrounds, including:
the Chief Information Officer
the Records Officers
the Librarian
other staff within the Information and Communications Branch and the
Corporate Services Division
organisational staff
staff of the software company/ies contracted to provide records/document
management software for the organisation,
staff at State Records
suppliers of equipment, stationery and other materials for records
management activities.
E. KEY ACCOUNTABILITIES
The accountabilities associated with this position are:
ensure a quality records management service is provided to organisational
staff and external clients
ensure that Departmental business is adequately documented through
recordkeeping
ensure the Department's legislative and compliance requirements under
the State Records Act 1998 are met
plan and prioritise work in the records management program
ensure records management policy and procedures are accurate and up to
date at all times
manage records storage arrangements in an accountable and cost
effective manner
ensure that records generated in the Department's electronic business
systems including email are captured and managed appropriately.
KNOWLEDGE, SKILLS AND EXPERIENCE
Knowledge
The position requires knowledge of:
performance management principles and processes
workflow and business re-engineering principles and practices
environmental influences on the Department
budget planning and preparation methods
records management outsourcing and contract negotiation
relevant legislation, policies, strategies and procedures
the business functions, activities and processes of the Department
recordkeeping concepts, principles and processes
recordkeeping risk management techniques
records appraisal, disposal and approval processes and retention
and disposal authorities.
issues in relation to the transfer of custody, ownership and/or
responsibility for records
security and access issues for records
Skills
The position requires the following skills:
analysing and interpreting legal and regulatory requirements
analysing business functions and processes
performance measurement
negotiation
risk assessment
problem solving
Experience
The position requires experience in the management of records and in the
management of small team and a budget. It is essential for the position holder to
have relevant TAFE or university qualifications, experience in the management of
records in the electronic environment, in the implementation of classification
schemes, disposal authorities and thesauri and in helping to educate users in the
records system and their recordkeeping responsibilities. Experience in contract
management is desirable.
Appendix 6: Sample records management job
advertisements
The job advertisements in this section are genuine advertisements drawn from
the Records Management Association of Australasia (RMAA) listserv and
Jobs.nsw. These advertisements should be used as guides only. Any job
advertisement that is developed should be based on the specific competencies of
and the qualifications and experience needed for the position.
Corporate records manager
Records co ordinator
Records management trainee

Corporate Records Manager
Armidale Dumaresq Council has a vacancy for a Records Manager.
Position Role - To be Council's Corporate Records Manager as defined by the
State Records Act 1998, leading and coordinating Council's Records Office
(currently with 2 full time Records Officers and 1 casual). To develop and
maintain Council's Records Management program under the Act, ensuring
provision of quality information and regular archival and disposal programs. It is
expected that the position holder will manage the day to day operations of the
Council's Records Office as well as taking a corporate wide view in leading the
Organisational Development of Council in terms of both document and electronic
Records Management.[1]
Salary - Grade 8 Step 1 currently $1059.91 per 35 hour week

Date advertised: 14/4/2004
Source: Records Management Association of Australasia (RMAA) listserv
Records Co ordinator
Hawkesbury City Council is seeking a Records Co-ordinator to manage the
Records Section and to ensure the integrity of records related data and paper
files.
This is an exciting opportunity to become involved in consolidating and moving
forward with our new electronic Records & Document Management System. You
will be directly responsible for continuing the strategy of electronic distribution,
storage and archival of documents and files. There is work required in disposal,
retention and reconciling of old paper data.
The successful applicant must have a TAFE Certificate in Records Management
and/or demonstrated equivalent experience, minimum 5 years.
Salary negotiable from $45,000 to $54,000 gross pa (depending upon
qualifications and experience)

Source: Records Management Association of Australasia (RMAA) listserv
Records Management Trainee
Provide administrative & clerical support to the Registry Unit of the Police
Integrity Commission - mail, barcoding, records keeping, filing, photocopying &
document delivery.
Total remuneration package to: $25,466.00 ($20,246.00-$23,363.00)

Source: Jobs.nsw http://jobs.nsw.gov.au/

[1] The listserv posting of this advertisement included the following information
to assist possible applicants not possessing the necessary qualifications in records
management: 'Potential applicants who are either partially qualified or who have
a great depth of experience in records management are encouraged to apply.
Council will consider such applicants and may negotiate with the preferred
applicant a lower rate of pay and/or a training plan that ensures that the
technical aspects of the position of Corporate Records Manager are met.' Where
qualified practitioners are scarce, this is a practical way to open up the field of
possible applicants for a position.
Appendix 7: Linking skill / knowledge gaps with State
Records training courses
If the skill/ knowledge gap is... ..then course/s would be..
basic concepts and practices of
records management
classifying records
how records management
software works
understanding the basics of
metadata
storing records appropriately
how records disposal works
providing access to records
under legislative requirements
Records Management Fundamentals
TAFE Statement of Attainment in
Records and Archives
TAFE Certificate III in Business (Records
and Archives)

classifying and titling records
using a functional thesaurus
Using a Keyword Thesaurus
using a records disposal
authority
conducting a records disposal
project
boxing and listing records for
transfer

Implementing GDA10 - Local
Government Records (for the local
Government sector), or
Implementing a Retention and Disposal
Authority (for all other Government
sectors)
developing a business
classification scheme and
thesaurus for records titling and
control
'DIRKS' Steps A&B + Compiling a
Keyword Thesaurus
identifying vital records
conducting a risk assessment for
records
preparing a disaster
management plan
disaster recovery strategies
DeDramatising Disasters
developing a disposal authority
for records of the unique
business functions of your public
office
'DIRKS' Step C + Developing a
Functional Retention and Disposal
Authority
designing or re-designing a
recordkeeping system
selecting and/or implementing
new records management
software
strategies for managing
electronic records from creation
'DIRKS Steps A&B + 'DIRKS' Step C +
'DIRKS Steps D-H'
to long term preservation
developing records management
policy and procedures
planning records management
activities
compliance with 'records
management program'
requirement from the State
Records Act, 1998
measuring the performance of
the records management
program

Appendix 8: Professional development for records managers
Professional associations: ASA and RMAA
Professional associations: Related fields
Records Managers Forum
Professional associations: ASA or RMAA
Professional associations can offer a range of development opportunities. The
main professional associations in Australia for those performing records
management functions are the:
Australian Society of Archivists (ASA) see www.archivists.org.au for
more information
Records Management Association of Australia (RMAA) see
www.rmaa.nsw.gov.au for more information.
They offer a range of developmental activities including:
Activity Detail
Conferences Annual conferences are held by the ASA and RMAA each year at
different locations around Australia
Meetings Both the ASA and RMAA hold monthly meetings which include
presentations on particular topics

Listservs The ASA operates a listserv called the aus archivists listserv.
The RMAA operates a records management listserv.
Journals Archives and Manuscripts is produced by the ASA twice a year,
and Informaa Quarterly by the RMAA on a quarterly basis.
Mentoring
programs
Both the ASA and the RMAA have mentoring programs where
experienced records managers can be linked with inexperienced
staff.
The RMAAs Local Government Chapter in NSW coordinates the
'Infoshare' Partnership Program, a mentoring program allowing
Councils to share resources and expertise to develop better
records management programs and comply with the
requirements of the State Records Act.
Traineeships A traineeship is a job that combines work and learning. It
involves a formal agreement between the employer and the
trainee; a training program delivered by a Registered Training
Organisation; and a nationally recognised qualification for the
trainee on completion. In the case of records management this
means that over a 12 month period a trainee will undertake a
range of work activities in a Records Management environment
while they complete a Certificate III in Business (Records and
Archives) at TAFE. For more information see
http://www.rmaa.com.au/branches/nsw/traineeship.html
Professional associations: related fields
Other associations for related fields can also provide information of assistance to
recordkeeping professionals.
Examples:
The Institute of Public Administration Australia (IPAA) seeks to promote good
governance and excellence in public administration. Its Web site at
www.ipaa.org.au contains details of the professional development initiatives
available.
The Institute for Information Ltd (IMM) seeks to promote information
management and knowledge management initiatives. Its Web site at
www.iim.org.au includes links to formal education available in these areas as well
as news on other professional development opportunities.
Records Manager's Forum
State Records holds quarterly Records Managers Forums for NSW public sector
employees. Their aim is to promote communication between NSW public sector
records managers and provides an opportunity to exchange news, discuss issues
of current concern and highlight achievements and projects in NSW Government
agencies.

State Records Authority of New South Wales, Sydney, Australia 2003
First released as an exposure draft, May 2003 / Revised edition May
2004
Copyright reserved by the Government of NSW, 2003. All rights
reserved. No part of this publication may be reproduced by any method
without the prior written consent of the State Records Authority of NSW.

Terms and conditions of use of on-line versions of our publications.
Contact us for more information.

ISBN 0-9750563-3-6

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