Elements and Performance Criteria

The Range Statement provides advice to interpret the scope and context of this unit of competence, allowing for differences between enterprises and workplaces. It relates to the unit as a whole and facilitates holistic assessment. The following variables may be present for this particular unit:
Legislation, codes and national standards relevant to the workplace which may include:
award and enterprise agreements and relevant industrial instruments
relevant legislation from all levels of government that affects business operation, especially in regard to Occupational Health and Safety and environmental issues, equal opportunity, industrial relations and anti-discrimination
relevant industry codes of practice
Vital records are those to which specific criteria apply, or which document:
legal liabilities
ownership rights or entitlements
rights or entitlements of individuals
policy records/precedents decisions
A finding aid may be generated in this unit
Appraisal may be required where no relevant disposal authority exists
Approval will be required for archival transfer of records
Approval may be formal or informal and may be gained from:
own organisation
receiving organisation
archival authority
Consultation may be with:
supervisor
manager of an operational area/section
action officer
external organisation
more experienced colleague/someone familiar with the area
Data about records may include:
format
series title
date range
quantity
arrangement
frequency of use
function
location
condition
owner
creator
whether or not it's been captured into a business or records system
whether or not there's a retention and disposal schedule
whether or not it's been captured
Documentation of record as vital may be:
on the record itself
in a register
in a list and stored separately
Documentation of unique identifiers may be:
both old and new identifiers listed on the records themselves
both old and new identifiers listed in the business or records system
both old and new identifiers listed with the records themselves
Group of records may include:
simple series
individual complex series
Identifying documentation may be manual or electronic and may be:
data base
list
noted on the records
proforma
Information relating to the transfer may include:
locations
dates
titles
destination
originating organisation
approving officer
who undertook the transfer
method to be used
range of record unique identifiers
Instructions may provide for:
title
reference numbers
format
Means of transfer in machine environment may include:
records may be migrated from one database to another and checked to confirm ongoing usability
records may be copied or downloaded from one medium to another (e.g. microfilm, COM, data tapes, CD ROM, floppy disks)
Medium in which vital records are stored may be:
acid-free paper
electronic
microform
multiple copies
Method of informing staff may include:
personal visit
phone call
e-mail
minute/memorandum
organisation-wide publication
notice boards
access to staff meetings
legal/regulatory requirement
Disposal may be undertaken by the organisation or be out-sourced and may be:
movement/loan/destruction
permanent transfer
Needs from the survey may include:
will the information be retrieved by one or many?
how will information be retrieved?
what will they want to know?
how is the information likely to be presented/manipulated?
identification of access restrictions
any extenuating impediments to the destruction
Paper, microform or audio-visual/multimedia records may be:
boxed for transfer
electronic records may be flagged and migrated for storage off-line or in new medium
Range of records may include:
single series
multiple series
multiple systems
in various formats including paper
electronic storage media
structured
free text
graphic
Reason for the survey may include:
preparation of retention and disposal schedule
transfer/destruction
adding to pre-existing corporate memory
Freedom of Information legislation request
discovery order
requirement for repository/storage planning
review of variety of business or records systems
analysis of functions/authorities on the ground
gathering general statistics
user satisfaction survey
locating time expired records
disaster recovery and critical records planning
identify records regularly required for transfer
Record storage may be:
centralised or decentralised
off-line or off-site
in-house or out-sourced
commercial storage service or government repository
CD storage
imaging systems
microform
audio-visual/multimedia formats
Business or records system may include limited access
Records may be in the following formats:
paper
microform
electronic
audio-visual/multimedia
Resources needed to undertake the program may include:
people
equipment
facilities
Retention and disposal schedules may be:
functional
general
single
multiple
continuing
one-time
Trigger fordisposal may include:
administrative change
disposal action
change in accommodation
changes in systems
The Range Statement provides advice to interpret the scope and context of this unit of competence, allowing for differences between enterprises and workplaces. It relates to the unit as a whole and facilitates holistic assessment. The following variables may be present for this particular unit:
Legislation, codes and national standards relevant to the workplace which may include:
award and enterprise agreements and relevant industrial instruments
relevant legislation from all levels of government that affects business operation, especially in regard to Occupational Health and Safety and environmental issues, equal opportunity, industrial relations and anti-discrimination
relevant industry codes of practice
Vital records are those to which specific criteria apply, or which document:
legal liabilities
ownership rights or entitlements
rights or entitlements of individuals
policy records/precedents decisions
A finding aid may be generated in this unit
Appraisal may be required where no relevant disposal authority exists
Approval will be required for archival transfer of records
Approval may be formal or informal and may be gained from:
own organisation
receiving organisation
archival authority
Consultation may be with:
supervisor
manager of an operational area/section
action officer
external organisation
more experienced colleague/someone familiar with the area
Data about records may include:
format
series title
date range
quantity
arrangement
frequency of use
function
location
condition
owner
creator
whether or not it's been captured into a business or records system
whether or not there's a retention and disposal schedule
whether or not it's been captured
Documentation of record as vital may be:
on the record itself
in a register
in a list and stored separately
Documentation of unique identifiers may be:
both old and new identifiers listed on the records themselves
both old and new identifiers listed in the business or records system
both old and new identifiers listed with the records themselves
Group of records may include:
simple series
individual complex series
Identifying documentation may be manual or electronic and may be:
data base
list
noted on the records
proforma
Information relating to the transfer may include:
locations
dates
titles
destination
originating organisation
approving officer
who undertook the transfer
method to be used
range of record unique identifiers
Instructions may provide for:
title
reference numbers
format
Means of transfer in machine environment may include:
records may be migrated from one database to another and checked to confirm ongoing usability
records may be copied or downloaded from one medium to another (e.g. microfilm, COM, data tapes, CD ROM, floppy disks)
Medium in which vital records are stored may be:
acid-free paper
electronic
microform
multiple copies
Method of informing staff may include:
personal visit
phone call
e-mail
minute/memorandum
organisation-wide publication
notice boards
access to staff meetings
legal/regulatory requirement
Disposal may be undertaken by the organisation or be out-sourced and may be:
movement/loan/destruction
permanent transfer
Needs from the survey may include:
will the information be retrieved by one or many?
how will information be retrieved?
what will they want to know?
how is the information likely to be presented/manipulated?
identification of access restrictions
any extenuating impediments to the destruction
Paper, microform or audio-visual/multimedia records may be:
boxed for transfer
electronic records may be flagged and migrated for storage off-line or in new medium
Range of records may include:
single series
multiple series
multiple systems
in various formats including paper
electronic storage media
structured
free text
graphic
Reason for the survey may include:
preparation of retention and disposal schedule
transfer/destruction
adding to pre-existing corporate memory
Freedom of Information legislation request
discovery order
requirement for repository/storage planning
review of variety of business or records systems
analysis of functions/authorities on the ground
gathering general statistics
user satisfaction survey
locating time expired records
disaster recovery and critical records planning
identify records regularly required for transfer
Record storage may be:
centralised or decentralised
off-line or off-site
in-house or out-sourced
commercial storage service or government repository
CD storage
imaging systems
microform
audio-visual/multimedia formats
Business or records system may include limited access
Records may be in the following formats:
paper
microform
electronic
audio-visual/multimedia
Resources needed to undertake the program may include:
people
equipment
facilities
Retention and disposal schedules may be:
functional
general
single
multiple
continuing
one-time
Trigger fordisposal may include:
administrative change
disposal action
change in accommodation
changes in systems

The Evidence Guide identifies the critical aspects, knowledge and skills to be demonstrated to confirm competence for this unit. This is an integral part of the assessment of competence and should be read in conjunction with the Range The Range Statement provides advice to interpret the scope and context of this unit of competence, allowing for differences between enterprises and workplaces. It relates to the unit as a whole and facilitates holistic assessment. The following variables may be present for this particular unit:
Legislation, codes and national standards relevant to the workplace which may include:
award and enterprise agreements and relevant industrial instruments
relevant legislation from all levels of government that affects business operation, especially in regard to Occupational Health and Safety and environmental issues, equal opportunity, industrial relations and anti-discrimination
relevant industry codes of practice
Vital records are those to which specific criteria apply, or which document:
legal liabilities
ownership rights or entitlements
rights or entitlements of individuals
policy records/precedents decisions
A finding aid may be generated in this unit
Appraisal may be required where no relevant disposal authority exists
Approval will be required for archival transfer of records
Approval may be formal or informal and may be gained from:
own organisation
receiving organisation
archival authority
Consultation may be with:
supervisor
manager of an operational area/section
action officer
external organisation
more experienced colleague/someone familiar with the area
Data about records may include:
format
series title
date range
quantity
arrangement
frequency of use
function
location
condition
owner
creator
whether or not it's been captured into a business or records system
whether or not there's a retention and disposal schedule
whether or not it's been captured
Documentation of record as vital may be:
on the record itself
in a register
in a list and stored separately
Documentation of unique identifiers may be:
both old and new identifiers listed on the records themselves
both old and new identifiers listed in the business or records system
both old and new identifiers listed with the records themselves
Group of records may include:
simple series
individual complex series
Identifying documentation may be manual or electronic and may be:
data base
list
noted on the records
proforma
Information relating to the transfer may include:
locations
dates
titles
destination
originating organisation
approving officer
who undertook the transfer
method to be used
range of record unique identifiers
Instructions may provide for:
title
reference numbers
format
Means of transfer in machine environment may include:
records may be migrated from one database to another and checked to confirm ongoing usability
records may be copied or downloaded from one medium to another (e.g. microfilm, COM, data tapes, CD ROM, floppy disks)
Medium in which vital records are stored may be:
acid-free paper
electronic
microform
multiple copies
Method of informing staff may include:
personal visit
phone call
e-mail
minute/memorandum
organisation-wide publication
notice boards
access to staff meetings
legal/regulatory requirement
Disposal may be undertaken by the organisation or be out-sourced and may be:
movement/loan/destruction
permanent transfer
Needs from the survey may include:
will the information be retrieved by one or many?
how will information be retrieved?
what will they want to know?
how is the information likely to be presented/manipulated?
identification of access restrictions
any extenuating impediments to the destruction
Paper, microform or audio-visual/multimedia records may be:
boxed for transfer
electronic records may be flagged and migrated for storage off-line or in new medium
Range of records may include:
single series
multiple series
multiple systems
in various formats including paper
electronic storage media
structured
free text
graphic
Reason for the survey may include:
preparation of retention and disposal schedule
transfer/destruction
adding to pre-existing corporate memory
Freedom of Information legislation request
discovery order
requirement for repository/storage planning
review of variety of business or records systems
analysis of functions/authorities on the ground
gathering general statistics
user satisfaction survey
locating time expired records
disaster recovery and critical records planning
identify records regularly required for transfer
Record storage may be:
centralised or decentralised
off-line or off-site
in-house or out-sourced
commercial storage service or government repository
CD storage
imaging systems
microform
audio-visual/multimedia formats
Business or records system may include limited access
Records may be in the following formats:
paper
microform
electronic
audio-visual/multimedia
Resources needed to undertake the program may include:
people
equipment
facilities
Retention and disposal schedules may be:
functional
general
single
multiple
continuing
one-time
Trigger fordisposal may include:
administrative change
disposal action
change in accommodation
changes in systems
Critical Aspects of Evidence
Demonstrate ability to:
Understand the processes of assessing records to identify disposal status
Implement the recording and control processes making up a disposal program
Underpinning Knowledge*
* At this level the learner must demonstrate some relevant theoretical knowledge.
Relevant legislation from all levels of government that affects business operation, especially in regard to Occupational Health and Safety and environmental issues, equal opportunity, industrial relations and anti-discrimination
Recordkeeping concepts, principles, processes and justification
What records are vital to an organisation in enabling it to manage risks and meet its obligations
Knowledge and understanding of organisation's business functions, structure and culture (past and present)
Organisation's policies, strategies and processes
Organisation's manual and automated records&archives management systems
Organisation's recordkeeping environments and culture including locations and nature of transactions
Organisational records appraisal and disposal approval processes and its retention and disposal schedules
Organisation's procedures in relation to the transfer of custody, ownership and/or responsibility for records in bulk
Occupational health and safety guidelines for movement of loads
Underpinning Skills
Maintaining provenance of each record
Accurately documenting metadata about records
Accurately recording details and advice and in collating "information"
Analysing and synthesising documentation, verbally delivered information, and observed behaviours
Identifying and viewing component parts as integral elements of the whole system
Working systematically with accuracy and attention to detail
Managing own activities within a timeframe
Analysing process functions and problems
Using judgement and discretion with confidential information
Negotiating to achieve suitable results for the organisation's recordkeeping practices
Listening to, questioning, and clarifying information requests
Consulting with practitioners, staff members, customers, and others to elicit relevant information
Understanding and interpreting instructions
Explaining and clarifying procedures
Using sensitivity when dealing with customer/user needs and values
Managing people, time, and activities to achieve appropriate organisational outcomes
Documenting complex relationships and processes
Accurately locating and placing records
Reading and comprehending/interpreting nature of record content
Writing reports where precise meaning and accurate details are required
Using tools and techniques to solve problems
Ability to relate to people from a range of social, cultural and ethnic backgrounds and physical and mental abilities
Resource Implications
The learner and trainer should have access to appropriate documentation and resources normally used in the workplace
Consistency of Performance
In order to achieve consistency of performance, evidence should be collected over a set period of time which is sufficient to include dealings with an appropriate range and variety of situations
Context/s of Assessment
Competency is demonstrated by performance of all stated criteria, including paying particular attention to the critical aspects and the knowledge and skills elaborated in the Evidence Guide, and within the scope as defined by the Range Statement
Assessment must take account of the endorsed assessment guidelines in the Business Services Training Package
Assessment of performance requirements in this unit should be undertaken in an actual workplace or simulated environment
Assessment should reinforce the integration of the key competencies and the business services common competencies for the particular AQF level. Refer to the Key Competency Levels at the end of this unit
Key Competency Levels
Collecting, analysing and organising information (Level 2) - for input to the records survey
Communicating ideas and information (Level 1) - in recording disposal actions
Planning and organising activities (Level 1) - in organising and conducting consultation with colleagues
Working with teams and others (Level 1) - in conducting consultations with colleagues
Using mathematical ideas and techniques (Level 1) - to record and organise survey information
Solving problems (Level 1) - presented by mismatches in recorded locations
Using technology (Level 1) - to track and control records
Please refer to the Assessment Guidelines for advice on how to use the Key Competencies
The Evidence Guide identifies the critical aspects, knowledge and skills to be demonstrated to confirm competence for this unit. This is an integral part of the assessment of competence and should be read in conjunction with the Range The Range Statement provides advice to interpret the scope and context of this unit of competence, allowing for differences between enterprises and workplaces. It relates to the unit as a whole and facilitates holistic assessment. The following variables may be present for this particular unit:
Legislation, codes and national standards relevant to the workplace which may include:
award and enterprise agreements and relevant industrial instruments
relevant legislation from all levels of government that affects business operation, especially in regard to Occupational Health and Safety and environmental issues, equal opportunity, industrial relations and anti-discrimination
relevant industry codes of practice
Vital records are those to which specific criteria apply, or which document:
legal liabilities
ownership rights or entitlements
rights or entitlements of individuals
policy records/precedents decisions
A finding aid may be generated in this unit
Appraisal may be required where no relevant disposal authority exists
Approval will be required for archival transfer of records
Approval may be formal or informal and may be gained from:
own organisation
receiving organisation
archival authority
Consultation may be with:
supervisor
manager of an operational area/section
action officer
external organisation
more experienced colleague/someone familiar with the area
Data about records may include:
format
series title
date range
quantity
arrangement
frequency of use
function
location
condition
owner
creator
whether or not it's been captured into a business or records system
whether or not there's a retention and disposal schedule
whether or not it's been captured
Documentation of record as vital may be:
on the record itself
in a register
in a list and stored separately
Documentation of unique identifiers may be:
both old and new identifiers listed on the records themselves
both old and new identifiers listed in the business or records system
both old and new identifiers listed with the records themselves
Group of records may include:
simple series
individual complex series
Identifying documentation may be manual or electronic and may be:
data base
list
noted on the records
proforma
Information relating to the transfer may include:
locations
dates
titles
destination
originating organisation
approving officer
who undertook the transfer
method to be used
range of record unique identifiers
Instructions may provide for:
title
reference numbers
format
Means of transfer in machine environment may include:
records may be migrated from one database to another and checked to confirm ongoing usability
records may be copied or downloaded from one medium to another (e.g. microfilm, COM, data tapes, CD ROM, floppy disks)
Medium in which vital records are stored may be:
acid-free paper
electronic
microform
multiple copies
Method of informing staff may include:
personal visit
phone call
e-mail
minute/memorandum
organisation-wide publication
notice boards
access to staff meetings
legal/regulatory requirement
Disposal may be undertaken by the organisation or be out-sourced and may be:
movement/loan/destruction
permanent transfer
Needs from the survey may include:
will the information be retrieved by one or many?
how will information be retrieved?
what will they want to know?
how is the information likely to be presented/manipulated?
identification of access restrictions
any extenuating impediments to the destruction
Paper, microform or audio-visual/multimedia records may be:
boxed for transfer
electronic records may be flagged and migrated for storage off-line or in new medium
Range of records may include:
single series
multiple series
multiple systems
in various formats including paper
electronic storage media
structured
free text
graphic
Reason for the survey may include:
preparation of retention and disposal schedule
transfer/destruction
adding to pre-existing corporate memory
Freedom of Information legislation request
discovery order
requirement for repository/storage planning
review of variety of business or records systems
analysis of functions/authorities on the ground
gathering general statistics
user satisfaction survey
locating time expired records
disaster recovery and critical records planning
identify records regularly required for transfer
Record storage may be:
centralised or decentralised
off-line or off-site
in-house or out-sourced
commercial storage service or government repository
CD storage
imaging systems
microform
audio-visual/multimedia formats
Business or records system may include limited access
Records may be in the following formats:
paper
microform
electronic
audio-visual/multimedia
Resources needed to undertake the program may include:
people
equipment
facilities
Retention and disposal schedules may be:
functional
general
single
multiple
continuing
one-time
Trigger fordisposal may include:
administrative change
disposal action
change in accommodation
changes in systems
Critical Aspects of Evidence
Demonstrate ability to:
Understand the processes of assessing records to identify disposal status
Implement the recording and control processes making up a disposal program
Underpinning Knowledge*
* At this level the learner must demonstrate some relevant theoretical knowledge.
Relevant legislation from all levels of government that affects business operation, especially in regard to Occupational Health and Safety and environmental issues, equal opportunity, industrial relations and anti-discrimination
Recordkeeping concepts, principles, processes and justification
What records are vital to an organisation in enabling it to manage risks and meet its obligations
Knowledge and understanding of organisation's business functions, structure and culture (past and present)
Organisation's policies, strategies and processes
Organisation's manual and automated records&archives management systems
Organisation's recordkeeping environments and culture including locations and nature of transactions
Organisational records appraisal and disposal approval processes and its retention and disposal schedules
Organisation's procedures in relation to the transfer of custody, ownership and/or responsibility for records in bulk
Occupational health and safety guidelines for movement of loads
Underpinning Skills
Maintaining provenance of each record
Accurately documenting metadata about records
Accurately recording details and advice and in collating "information"
Analysing and synthesising documentation, verbally delivered information, and observed behaviours
Identifying and viewing component parts as integral elements of the whole system
Working systematically with accuracy and attention to detail
Managing own activities within a timeframe
Analysing process functions and problems
Using judgement and discretion with confidential information
Negotiating to achieve suitable results for the organisation's recordkeeping practices
Listening to, questioning, and clarifying information requests
Consulting with practitioners, staff members, customers, and others to elicit relevant information
Understanding and interpreting instructions
Explaining and clarifying procedures
Using sensitivity when dealing with customer/user needs and values
Managing people, time, and activities to achieve appropriate organisational outcomes
Documenting complex relationships and processes
Accurately locating and placing records
Reading and comprehending/interpreting nature of record content
Writing reports where precise meaning and accurate details are required
Using tools and techniques to solve problems
Ability to relate to people from a range of social, cultural and ethnic backgrounds and physical and mental abilities
Resource Implications
The learner and trainer should have access to appropriate documentation and resources normally used in the workplace
Consistency of Performance
In order to achieve consistency of performance, evidence should be collected over a set period of time which is sufficient to include dealings with an appropriate range and variety of situations
Context/s of Assessment
Competency is demonstrated by performance of all stated criteria, including paying particular attention to the critical aspects and the knowledge and skills elaborated in the Evidence Guide, and within the scope as defined by the Range Statement
Assessment must take account of the endorsed assessment guidelines in the Business Services Training Package
Assessment of performance requirements in this unit should be undertaken in an actual workplace or simulated environment
Assessment should reinforce the integration of the key competencies and the business services common competencies for the particular AQF level. Refer to the Key Competency Levels at the end of this unit
Key Competency Levels
Collecting, analysing and organising information (Level 2) - for input to the records survey
Communicating ideas and information (Level 1) - in recording disposal actions
Planning and organising activities (Level 1) - in organising and conducting consultation with colleagues
Working with teams and others (Level 1) - in conducting consultations with colleagues
Using mathematical ideas and techniques (Level 1) - to record and organise survey information
Solving problems (Level 1) - presented by mismatches in recorded locations
Using technology (Level 1) - to track and control records
Please refer to the Assessment Guidelines for advice on how to use the Key Competencies