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Evidence Guide: TLIP2017 - Maintain control of records

Student: __________________________________________________

Signature: _________________________________________________

Tips for gathering evidence to demonstrate your skills

The important thing to remember when gathering evidence is that the more evidence the better - that is, the more evidence you gather to demonstrate your skills, the more confident an assessor can be that you have learned the skills not just at one point in time, but are continuing to apply and develop those skills (as opposed to just learning for the test!). Furthermore, one piece of evidence that you collect will not usualy demonstrate all the required criteria for a unit of competency, whereas multiple overlapping pieces of evidence will usually do the trick!

From the Wiki University

 

TLIP2017 - Maintain control of records

What evidence can you provide to prove your understanding of each of the following citeria?

Track record

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Conduct a file audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Discrepancies between nominal and actual record locations are identified

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Prepare reports from records system

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Prepare staff lists

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implement disaster recovery procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Policies and procedures are identified for disaster recovery

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

ELEMENTS

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

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

1

Track record

1.1

Unique record identifier 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 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 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 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 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 instructions

4.2

Staff and user lists are duplicated and circulated to all those requiring copies, in accordance with supervisor 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 Skills and Knowledge

ELEMENTS

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

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

1

Track record

1.1

Unique record identifier 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 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 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 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 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 instructions

4.2

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

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:

adapting to differences in equipment in accordance with standard operating procedures

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

communicating and working effectively with others when maintaining control of records

completing documentation related to maintaining control of records

identifying, selecting and using equipment efficiently and effectively for maintaining control of records

implementing contingency plans

maintaining security and confidentiality of material

modifying activities depending on operational contingencies, risk situations and environments

monitoring and auditing records

monitoring and prioritising work activities in terms of planned schedule

operating electronic communications equipment to required protocol

planning own work including predicting consequences and identifying improvements

preparing relevant reports

reading, interpreting and applying instructions, legislation, procedures and information relevant to maintaining control of records

reporting and/or rectifying identified problems 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.

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 maintaining control of records as part of a records management process

problems that may occur with maintaining control of records and appropriate action that can be taken to resolve these problems

regulations relevant to maintaining control of records as part of a records management process

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

workplace procedures and policies for maintaining control of records including policies on confidentiality and security of information and records.

Range Statement

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.