Unit of competency details

Elements and Performance Criteria 

Element 

Performance Criteria 

1

Track record 

1.1

Unique identifier of record to be located is determined from request or instructions

1.2

Location of record is obtained from records system in accordance with records system rules and organisational procedures

1.3

History of record location is obtained from records system in accordance with records system rules and organisational procedures

1.4

Information about record is obtained from records system in accordance with records system rules and organisational procedures

1.5

Information about the record is updated and amended in accordance with organisational procedures

1.6

All transactions on the records system are completed within the designated timeframe

2

Conduct a file audit 

2.1

Files are physically located with action officer and in storage areas in accordance with supervisor's instructions

2.2

Discrepancies between nominal and actual record locations are identified

2.3

Supervisor is clearly/specifically informed/notified of any discrepancies and/or issue

2.4

Unacceptable record keeping practices are observed and noted during the audit activities in accordance with organisational procedures

2.5

Information about any anomalous record is updated and amended in accordance with organisational procedures

2.6

Reconciliation statement is prepared and forwarded to supervisor in accordance with organisational procedures and records system procedures

3

Prepare reports from records system 

3.1

Reports are prepared from system in accordance with supervisor's instructions or requests

3.2

Reports are prepared in accordance with workplace procedures and records system procedures

3.3

All reports from the records system are prepared within the designated timeframe

4

Prepare staff lists 

4.1

Staff and user lists are checked and updated to accord with the current locations and designations of organisational staff members in accordance with supervisor's instructions

4.2

Staff and user lists are duplicated and circulated to all those requiring copies in accordance with supervisor's instructions

5

Implement disaster recovery procedures 

5.1

Policies and procedures are identified for disaster recovery

5.2

Recovery actions are undertaken in accordance with workplace procedures and scope of authority

5.3

Appropriate personnel are informed of actions taken in accordance with workplace procedures

REQUIRED KNOWLEDGE AND SKILLS 

This describes the essential knowledge and skills and their level required for this unit.

Required knowledge :

Regulations relevant to the maintenance of control of records as part of a records management process

Relevant OH&S and environmental protection procedures and guidelines

Workplace procedures and policies for the maintenance of control of records including policies on confidentiality and security of information and records

Focus of operation of work systems, equipment, management and site operating systems for the maintenance of control of records as part of a records management process

Problems that may occur with the maintenance of control of records and appropriate action that can be taken to resolve the problems

Operational workflow within a records management system

Types of equipment used in the maintenance of control of records and the precautions and procedures that should be followed in their use

Housekeeping standards and procedures required in the workplace

Site layout and obstacles

Required skills :

Communicate effectively with others when maintaining control of records

Read and interpret instructions, procedures and information relevant to the maintenance of control of records

Interpret and follow operational instructions and prioritise work

Complete documentation related to the maintenance of control of records

Operate electronic communication equipment to required protocol

Work collaboratively with others when maintaining control of records

Adapt appropriately to cultural differences in the workplace, including modes of behaviour and interactions with others

Promptly report and/or rectify any identified problems that may occur when maintaining control of records in accordance with regulatory requirements and workplace procedures

Apply precautions and required action to minimise, control or eliminate hazards that may exist during work activities

Plan own work including predicting consequences and identifying improvements

Monitor work activities in terms of planned schedule

Modify activities depending on differing operational contingencies, risk situations and environments

Work systematically with required attention to detail

Use a range of information technology devices including computers, radio frequency devices, electronic data exchange systems, etc.

Maintain security and confidentiality of material

Identify, select and efficiently and effectively use equipment for the maintenance of control of records

Adapt to differences in equipment in accordance with standard operating procedures

Select and use required personal protective equipment conforming to industry and OH&S standards

The evidence guide provides advice on assessment and must be read in conjunction with the performance criteria, required knowledge and skills, the range statement and the assessment guidelines for this Training Package.

Critical aspects for assessment and evidence required to demonstrate competency in this unit 

The evidence required to demonstrate competency in this unit must be relevant to and satisfy all of the requirements of the elements and performance criteria of this unit and include demonstration of applying:

the underpinning knowledge and skills

relevant legislation and workplace procedures

other relevant aspects of the range statement

Context of and specific resources for assessment 

Performance is demonstrated consistently over a period of time and in a suitable range of contexts

Resources for assessment include:

a range of relevant exercises, case studies and other simulated practical and knowledge assessment, and/or

access to an appropriate range of relevant operational situations in the workplace

In both real and simulated environments, access is required to:

relevant and appropriate materials and/or equipment, and/or

applicable documentation including workplace procedures, regulations, codes of practice and operation manuals

Method of assessment 

Assessment of this unit must be undertaken by a registered training organisation

As a minimum, assessment of knowledge must be conducted through appropriate written/oral tests

Practical assessment must occur:

through appropriately simulated activities at the registered training organisation, and/or

in an appropriate range of situations in the workplace

RANGE STATEMENT 

The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance.

Work may be conducted:

in a range of work environments

by day or night

Customers may be:

internal or external

Workplaces may comprise:

large, medium or small worksites

Workplace environment may include movement of:

equipment

goods

products

materials

vehicular traffic

Records may be:

paper- or electronically-based

Storage requirements may include records in various modes such as:

paper-based

computer disks and reels

CD-ROM

microfiche

film

audio

The record control process is:

conducted as part of records management activities with the operator using discretion and judgement within established procedures

Record information to be updated may come from:

supervisor

user

file transfer slips

action officers

results of file audit

requests

Standard reports prepared from the record keeping system may include:

statistics

resubmits for following day

over due action reports

daily correspondence

Those requiring copies of staff/user lists may include:

managers of record keeping areas

those undertaking classification and capture

OH&S requirements include:

manual handling

protective clothing

elimination/control of hazards

Communication in the work area may include:

phone

fax

email/internet

electronic data interchange (EDI)

RF systems

barcode readers

oral, aural or signed communications

Depending on the type of organisation concerned and the local terminology used, workplace procedures may include:

company procedures

enterprise procedures

organisational procedures

established or standard procedures

Consultative processes may involve:

workplace personnel including supervisors and managers

customers/clients

suppliers and contractors

union representatives

industrial relations and OH&S specialists

other professional or technical staff

Hazards in the work area may include:

height and reach implications of storage facilities

dust and vapours

stationary and moving equipment, parts and materials

noise, light, energy sources

electrical equipment

humidity, air temperature, radiant heat

debris on floor

faulty racking

poorly stacked records or boxes

faulty equipment

Personal protective equipment may include:

gloves

safety headwear and footwear

safety glasses

protective clothing

high visibility clothing

Information/documents may include:

job specifications and workplace operating procedures

relevant Australian or international standards pertaining to records management

storage specifications and requirements

manufacturers specifications for equipment/tools

supplier and/or client instructions

codes of practice including the National Standards for Manual Handling and the Industry Safety Code

relevant regulations including the privacy and confidentiality requirements

award, enterprise bargaining agreement, other industrial arrangements

standards and certification requirements

emergency procedures

quality assurance standards for records management

Applicable regulations and legislation may include:

relevant codes and regulations pertaining to records management

relevant Australian Standards relating to records management

relevant state/territory OH&S legislation

relevant state/territory environmental protection legislation

privacy and confidentiality legislation and regulations

freedom of information regulations

workplace relations regulations including equal opportunity, equal employment opportunity and affirmative action legislation

workers compensation regulations