Application
This unit of competency covers the skills and knowledge required to maintain workplace records in paper, electronic or other form. Sample products or materials for testing or quality purposes may also form part of the records system.
This unit of competency applies to personnel who are required to process records, track location of records, apply security controls and respond to requests for information.
Work is governed by established workplace procedures and extent of authority for adjustments and other work activities are defined.
This unit of competency applies to an individual working alone or as part of a team or group and working in liaison with other shift team members and the control room operator, as appropriate.
This unit of competency applies to all work environments and sectors within the industry.
No licensing, legislative or certification requirements apply to this unit at the time of publication.
Elements and Performance Criteria
Elements describe the essential outcomes | Performance criteria describe the performance needed to demonstrate achievement of the element | ||
1 | Identify records to be stored | 1.1 | Classify records to be maintained in relation to customer requirements, quality system or production requirements |
1.2 | Identify requirements for completion of workplace records in accordance with workplace procedures | ||
1.3 | Record and collate information ensuring appropriate information and any samples are included in an appropriate manner | ||
2 | Maintain filing arrangements | 2.1 | Identify organisation system for records |
2.2 | Categorise and file records following workplace conventions | ||
2.3 | Deal with obsolete or non-conforming records following workplace procedures | ||
2.4 | Identify problems and take appropriate action |
3 | Respond to information requests | 3.1 | Interpret requests for information and prioritise |
3.2 | Locate and provide information requested within required workplace policies and timeframes | ||
3.3 | Collate information as required according to procedures |
4 | Organise file movements | 4.1 | Identify files to be relocated |
4.2 | Confirm logistics of relocation | ||
4.3 | Ensure files are relocated as organised | ||
4.4 | Complete records of movement and file following workplace procedures |
5 | Maintain security of workplace records | 5.1 | Identify security requirements for workplace records |
5.2 | Maintain security arrangements for files | ||
5.3 | Notify (any) security breaches to appropriate personnel |
Evidence of Performance
Evidence required to demonstrate competence in this unit must be relevant to and satisfy the requirements of the elements and performance criteria and must include the ability to:
collate and file information, records and related materials according to record keeping, filing and security requirements
prioritise and respond to requests for information from records and/or files to be relocated
identify and locate records
apply operational knowledge to non-routine problems
complete workplace forms and records
read and interpret procedures, work instructions, forms and records.
Evidence of Knowledge
Evidence must be provided that demonstrates knowledge of:
organisational procedures, including those covering:
data systems and data security
record keeping
privacy
intellectual property (IP)
record retention schedules and record destruction procedures.
Assessment Conditions
The unit should be assessed holistically and the judgement of competence based on a holistic assessment of the evidence.
The collection of performance evidence:
should occur over a range of situations which include typical disruptions to normal, smooth operations
will typically include a supervisor/third-party report focusing on consistent performance and problem recognition and solving. A supervisor/third-party report must be prepared by someone who has a direct, relevant, current relationship with the person being assessed and who is in a position to form a judgement on workplace performance relevant to the unit of competency
must include the use of appropriate equipment/systems requiring demonstration of preparation, operation, completion and responding to problems
may use industry-based simulation for all or part of the unit particularly where safety, lack of opportunity or significant cost is an issue.
Assessment should occur in operational workplace situations. Where this is not possible, or where personal safety or environmental damage are limiting factors, assessment must occur in a sufficiently rigorous simulated environment reflecting realistic operational workplace conditions. This must cover all aspects of workplace performance, including environment, task skills, task management skills, contingency management skills and job role environment skills.
Assessment in a simulated environment should use evidence collected from one or more of:
walk-throughs
pilot plant operation
demonstration of skills
industry-based case studies/scenarios
‘what ifs’.
Knowledge evidence may be collected concurrently with performance evidence (provided a record is kept) or through an independent process, such as workbooks, written assessments or interviews (provided a record is kept).
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.
Conditions for assessment must include access to all tools, equipment, materials and documentation required, including relevant workplace procedures, product and manufacturing specifications associated with this unit.
The regulatory framework will be reflected in workplace policies and procedures and is not required to be independently assessed.
Foundation skills are integral to competent performance of the unit and should not be assessed separately.
As a minimum, assessors must satisfy the Standards for Registered Training Organisations 2015 assessor requirements.
Foundation Skills
This section describes those language, literacy, numeracy and employment skills that are essential to performance.
Foundation skills essential to performance are explicit in the performance criteria of this unit of competency.
Range Statement
This field allows for different work environments and conditions that may affect performance. Essential operating conditions that may be present (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) are included. | |
Regulatory framework | The latest version of all legislation, regulations, industry codes of practice and Australian/international standards, or the version specified by the local regulatory authority, must be used, and include one or more of the following: legislative requirements, including work health and safety (WHS) industry codes of practice and guidelines environmental regulations and guidelines Australian and other standards licence and certification requirements |
Procedures | All operations must be performed in accordance with relevant procedures. Procedures are written, verbal, visual, computer-based or in some other form, and include one or more of the following: emergency procedures work instructions standard operating procedures (SOPs) safe work method statements (SWMS) formulas/recipes batch sheets temporary instructions any similar instructions provided for the smooth running of the plant |
Records | Records will be specified in the organisation’s record keeping processes and procedures and include one or more of the following: hard copy, such as documents, images, reports and forms electronic, such as documents, images, reports, forms, databases and spreadsheets physical, such as samples of products or materials |
Non-routine problems | Non-routine problems must be resolved by applying operational knowledge to develop new solutions, either individually or in collaboration with relevant experts to: determine problems needing action determine possible fault causes develop solutions to problems which do not have a known solution follow through items initiated until final resolution has occurred report problems outside area of responsibility to designated person Non-routine problems are unexpected problems, or variations of previous problems and include one or more of the following: lost files misfiling poor controls insufficient space/storage facilities incorrect destruction of records Operational knowledge includes one or more of the following: procedures training technical information, such as journals and engineering specifications remembered experience relevant knowledge obtained from appropriate people |
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