Unit of Competency Mapping – Information for Teachers/Assessors – Information for Learners

TLIT407C Mapping and Delivery Guide
Maintain control of records

Version 1.0
Issue Date: March 2024


Qualification -
Unit of Competency TLIT407C - Maintain control of records
Description This unit involves the skills and knowledge required to maintain control of records in accordance with workplace requirements including tracking records, conducting file audits, preparing reports from a records system, preparing staff lists, and implementing disaster recovery procedures.
Employability Skills The required outcomes described in this unit of competency contain applicable facets of Employability Skills. The Employability Skills Summary of the qualification in which this competency is packaged will assist in identifying employability skill requirements.
Learning Outcomes and Application Work must be carried out in accordance with regulations and workplace requirements relevant to a record management process.Work is generally performed under some supervision, within a team/group environment. It involves the application of regulatory requirements and workplace procedures to maintain control of records as part of record management processes in the transport, warehousing, distribution and/or storage industries.
Duration and Setting X weeks, nominally xx hours, delivered in a classroom/online/blended learning setting.
Prerequisites/co-requisites Not applicable.
Competency Field
Development and validation strategy and guide for assessors and learners Student Learning Resources Handouts
Activities
Slides
PPT
Assessment 1 Assessment 2 Assessment 3 Assessment 4
Elements of Competency Performance Criteria              
Element: Track record
  • Unique identifier of record to be located is determined from request or instructions
  • Location of record is obtained from records system in accordance with records system rules and organisational procedures
  • History of record location is obtained from records system in accordance with records system rules and organisational procedures
  • Information about record is obtained from records system in accordance with records system rules and organisational procedures
  • Information about the record is updated and amended in accordance with organisational procedures
  • All transactions on the records system are completed within the designated timeframe
       
Element: Conduct a file audit
  • Files are physically located with action officer and in storage areas in accordance with supervisor's instructions
  • Discrepancies between nominal and actual record locations are identified
  • Supervisor is clearly/specifically informed/notified of any discrepancies and/or issue
  • Unacceptable record keeping practices are observed and noted during the audit activities in accordance with organisational procedures
  • Information about any anomalous record is updated and amended in accordance with organisational procedures
  • Reconciliation statement is prepared and forwarded to supervisor in accordance with organisational procedures and records system procedures
       
Element: Prepare reports from records system
  • Reports are prepared from system in accordance with supervisor's instructions or requests
  • Reports are prepared in accordance with workplace procedures and records system procedures
  • All reports from the records system are prepared within the designated timeframe
       
Element: Prepare staff lists
  • 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
  • Staff and user lists are duplicated and circulated to all those requiring copies in accordance with supervisor's instructions
       
Element: Implement disaster recovery procedures
  • Policies and procedures are identified for disaster recovery
  • Recovery actions are undertaken in accordance with workplace procedures and scope of authority
  • Appropriate personnel are informed of actions taken in accordance with workplace procedures
       


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.

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


Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assignment, 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.

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 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

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
Unique identifier of record to be located is determined from request or instructions 
Location of record is obtained from records system in accordance with records system rules and organisational procedures 
History of record location is obtained from records system in accordance with records system rules and organisational procedures 
Information about record is obtained from records system in accordance with records system rules and organisational procedures 
Information about the record is updated and amended in accordance with organisational procedures 
All transactions on the records system are completed within the designated timeframe 
Files are physically located with action officer and in storage areas in accordance with supervisor's instructions 
Discrepancies between nominal and actual record locations are identified 
Supervisor is clearly/specifically informed/notified of any discrepancies and/or issue 
Unacceptable record keeping practices are observed and noted during the audit activities in accordance with organisational procedures 
Information about any anomalous record is updated and amended in accordance with organisational procedures 
Reconciliation statement is prepared and forwarded to supervisor in accordance with organisational procedures and records system procedures 
Reports are prepared from system in accordance with supervisor's instructions or requests 
Reports are prepared in accordance with workplace procedures and records system procedures 
All reports from the records system are prepared within the designated timeframe 
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 
Staff and user lists are duplicated and circulated to all those requiring copies in accordance with supervisor's instructions 
Policies and procedures are identified for disaster recovery 
Recovery actions are undertaken in accordance with workplace procedures and scope of authority 
Appropriate personnel are informed of actions taken in accordance with workplace procedures 

Forms

Assessment Cover Sheet

TLIT407C - Maintain control of records
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

TLIT407C - Maintain control of records

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: