Assessor Resource

TLIP3015
Document a records system

Assessment tool

Version 1.0
Issue Date: March 2024


This unit involves the skills and knowledge required to document a records system in accordance with regulations and workplace requirements in the transport and logistics industry.

It includes identifying records creators and their accountability requirements, locating records creators in their organisational structure and identifying the activities/functions documented by records. It also includes analysing the record keeping system to identify the series, explaining links between record keeping series, identifying anomalies to the normal order of the series, and documenting records series and relationships over time.

Work is generally performed under some supervision, within a team/group environment.

No licensing, legislative or certification requirements apply to this unit at the time of publication.

You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)



Evidence Required

List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.

ELEMENTS

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1

Identify records creators and their accountability requirements

1.1

Creating organisation is identified as a public or private entity and likely sources of information about the creator are identified and assessed as relevant

1.2

Person who created records and/or part of organisation where records were created, is identified

1.3

Where there is more than one creator over time, all creators are located in their organisational and chronological context

1.4

Available information sources are used to determine records creator accountability requirements and functional responsibilities

1.5

Sources of information used in the research are identified as authentic and copies are kept in accordance with organisational record keeping practice

2

Locate records creators in their organisational structure

2.1

Nature of the jurisdiction governing the organisation is outlined

2.2

Location and context of records creators are conveyed in their organisational structure and context

3

Identify activities/functions documented by records

3.1

Actions/activities by which records are generated or documented, are identified

3.2

Boundaries of activities are identified from records and checked against organisational functional analysis

3.3

Records are matched to the functions for which records creators are responsible

3.4

Date-ranges for records are determined from records and are supplemented from external sources as required

3.5

Changes to the activities/function are documented over the time period of the records

4

Analyse record keeping system

4.1

Elements of record keeping system/s are identified from records and documented

4.2

Records series is/are identified and documented in accordance with organisational standards and procedures

4.3

History and context of records system is documented in accordance with organisational standards and procedures

5

Explain links between record keeping series

5.1

Related record series which make up the records series system are identified from analysis of the available source information and the records themselves

5.2

Predecessor and subsequent records series are outlined to place series in its chronological context

5.3

Anomalies to series normal order are outlined

6

Maintain the normal order of the series

6.1

Anomalies that have occurred over time to the systemic order of the series are identified from analysis of available source information and the records themselves

6.2

Anomalies to the systemic order of the series are confirmed and corrected in accordance with organisational procedures

6.3

Causes of anomalies that have occurred over time are identified and processes are established to prevent further anomalies

7

Document records series and relationships over time

7.1

Available information and analysis results are documented

7.2

Documentation is formatted to enable easy access for researchers and users

Evidence required to demonstrate competence in this unit must be relevant to and satisfy all of the requirements of the elements and performance criteria on at least one occasion and include:

applying relevant workplace procedures

communicating and working effectively with others

identifying and using relevant equipment

interpreting and following operational instructions and prioritising work

maintaining security and confidentiality of material

monitoring work activities in terms of planned schedule

operating and adapting to differences in equipment in accordance with operational procedures

planning own work, predicting consequences and identifying improvements

reading and interpreting relevant instructions, procedures, information and signs

reporting and/or rectifying identified problems, faults or malfunctions promptly, in accordance with regulatory requirements and workplace procedures

using a range of information technology devices including computers, radio frequency devices, electronic data exchange systems

working systematically with required attention to detail without injury to self or others, or damage to goods or equipment.

Evidence required to demonstrate competence in this unit must be relevant to and satisfy all of the requirements of the elements and performance criteria and include knowledge of:

housekeeping standards and procedures

operational workflow within a records management system

operational work systems, equipment, management and site operating systems for documenting a records system

problems that may occur and appropriate action that can be taken to resolve these problems

regulations relevant for documenting a records system as part of a records management process

site layout and obstacles

types of equipment used for documenting a records system and the precautions and procedures that should be followed in their use

workplace procedures and policies for documenting a records system including policies on confidentiality and security of information and records.

As a minimum, assessors must satisfy applicable regulatory requirements, which include requirements in the Standards for Registered Training Organisations current at the time of assessment.

As a minimum, assessment must satisfy applicable regulatory requirements, which include requirements in the Standards for Registered Training Organisations current at the time of assessment.

Assessment must occur in workplace operational situations where it is appropriate to do so; where this is not appropriate, assessment must occur in simulated workplace operational situations that replicate workplace conditions.

Assessment processes and techniques must be appropriate to the language, literacy and numeracy requirements of the work being performed and the needs of the candidate.

Resources for assessment include:

a range of relevant exercises, case studies and/or simulations

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

relevant materials, tools, equipment and personal protective equipment currently used in industry.


Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assingnment, checklist) and due date here

Assessment task 1: [title]      Due date:

(add new lines for each of the assessment tasks)


Assessment Tasks

Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.

ELEMENTS

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1

Identify records creators and their accountability requirements

1.1

Creating organisation is identified as a public or private entity and likely sources of information about the creator are identified and assessed as relevant

1.2

Person who created records and/or part of organisation where records were created, is identified

1.3

Where there is more than one creator over time, all creators are located in their organisational and chronological context

1.4

Available information sources are used to determine records creator accountability requirements and functional responsibilities

1.5

Sources of information used in the research are identified as authentic and copies are kept in accordance with organisational record keeping practice

2

Locate records creators in their organisational structure

2.1

Nature of the jurisdiction governing the organisation is outlined

2.2

Location and context of records creators are conveyed in their organisational structure and context

3

Identify activities/functions documented by records

3.1

Actions/activities by which records are generated or documented, are identified

3.2

Boundaries of activities are identified from records and checked against organisational functional analysis

3.3

Records are matched to the functions for which records creators are responsible

3.4

Date-ranges for records are determined from records and are supplemented from external sources as required

3.5

Changes to the activities/function are documented over the time period of the records

4

Analyse record keeping system

4.1

Elements of record keeping system/s are identified from records and documented

4.2

Records series is/are identified and documented in accordance with organisational standards and procedures

4.3

History and context of records system is documented in accordance with organisational standards and procedures

5

Explain links between record keeping series

5.1

Related record series which make up the records series system are identified from analysis of the available source information and the records themselves

5.2

Predecessor and subsequent records series are outlined to place series in its chronological context

5.3

Anomalies to series normal order are outlined

6

Maintain the normal order of the series

6.1

Anomalies that have occurred over time to the systemic order of the series are identified from analysis of available source information and the records themselves

6.2

Anomalies to the systemic order of the series are confirmed and corrected in accordance with organisational procedures

6.3

Causes of anomalies that have occurred over time are identified and processes are established to prevent further anomalies

7

Document records series and relationships over time

7.1

Available information and analysis results are documented

7.2

Documentation is formatted to enable easy access for researchers and users

Range is restricted to essential operating conditions and any other variables essential to the work environment.

Non-essential conditions can be found in the Companion Volume Implementation Guide.

Evidence required to demonstrate competence in this unit must be relevant to and satisfy all of the requirements of the elements and performance criteria on at least one occasion and include:

applying relevant workplace procedures

communicating and working effectively with others

identifying and using relevant equipment

interpreting and following operational instructions and prioritising work

maintaining security and confidentiality of material

monitoring work activities in terms of planned schedule

operating and adapting to differences in equipment in accordance with operational procedures

planning own work, predicting consequences and identifying improvements

reading and interpreting relevant instructions, procedures, information and signs

reporting and/or rectifying identified problems, faults or malfunctions promptly, in accordance with regulatory requirements and workplace procedures

using a range of information technology devices including computers, radio frequency devices, electronic data exchange systems

working systematically with required attention to detail without injury to self or others, or damage to goods or equipment.

Evidence required to demonstrate competence in this unit must be relevant to and satisfy all of the requirements of the elements and performance criteria and include knowledge of:

housekeeping standards and procedures

operational workflow within a records management system

operational work systems, equipment, management and site operating systems for documenting a records system

problems that may occur and appropriate action that can be taken to resolve these problems

regulations relevant for documenting a records system as part of a records management process

site layout and obstacles

types of equipment used for documenting a records system and the precautions and procedures that should be followed in their use

workplace procedures and policies for documenting a records system including policies on confidentiality and security of information and records.

As a minimum, assessors must satisfy applicable regulatory requirements, which include requirements in the Standards for Registered Training Organisations current at the time of assessment.

As a minimum, assessment must satisfy applicable regulatory requirements, which include requirements in the Standards for Registered Training Organisations current at the time of assessment.

Assessment must occur in workplace operational situations where it is appropriate to do so; where this is not appropriate, assessment must occur in simulated workplace operational situations that replicate workplace conditions.

Assessment processes and techniques must be appropriate to the language, literacy and numeracy requirements of the work being performed and the needs of the candidate.

Resources for assessment include:

a range of relevant exercises, case studies and/or simulations

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

relevant materials, tools, equipment and personal protective equipment currently used in industry.

Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.

Observation Checklist

Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice Yes No Comments/feedback
Creating organisation is identified as a public or private entity and likely sources of information about the creator are identified and assessed as relevant 
Person who created records and/or part of organisation where records were created, is identified 
Where there is more than one creator over time, all creators are located in their organisational and chronological context 
Available information sources are used to determine records creator accountability requirements and functional responsibilities 
Sources of information used in the research are identified as authentic and copies are kept in accordance with organisational record keeping practice 
Nature of the jurisdiction governing the organisation is outlined 
Location and context of records creators are conveyed in their organisational structure and context 
Actions/activities by which records are generated or documented, are identified 
Boundaries of activities are identified from records and checked against organisational functional analysis 
Records are matched to the functions for which records creators are responsible 
Date-ranges for records are determined from records and are supplemented from external sources as required 
Changes to the activities/function are documented over the time period of the records 
Elements of record keeping system/s are identified from records and documented 
Records series is/are identified and documented in accordance with organisational standards and procedures 
History and context of records system is documented in accordance with organisational standards and procedures 
Related record series which make up the records series system are identified from analysis of the available source information and the records themselves 
Predecessor and subsequent records series are outlined to place series in its chronological context 
Anomalies to series normal order are outlined 
Anomalies that have occurred over time to the systemic order of the series are identified from analysis of available source information and the records themselves 
Anomalies to the systemic order of the series are confirmed and corrected in accordance with organisational procedures 
Causes of anomalies that have occurred over time are identified and processes are established to prevent further anomalies 
Available information and analysis results are documented 
Documentation is formatted to enable easy access for researchers and users 

Forms

Assessment Cover Sheet

TLIP3015 - Document a records system
Assessment task 1: [title]

Student name:

Student ID:

I declare that the assessment tasks submitted for this unit are my own work.

Student signature:

Result: Competent Not yet competent

Feedback to student

 

 

 

 

 

 

 

 

Assessor name:

Signature:

Date:


Assessment Record Sheet

TLIP3015 - Document a records system

Student name:

Student ID:

Assessment task 1: [title] Result: Competent Not yet competent

(add lines for each task)

Feedback to student:

 

 

 

 

 

 

 

 

Overall assessment result: Competent Not yet competent

Assessor name:

Signature:

Date:

Student signature:

Date: