Elements and Performance Criteria

RANGE STATEMENT
The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included.
Categorising records may include:
determining storage locations
environmental context - business environments, community expectations, governance frameworks, legislative and regulatory mandates or relevant recordkeeping principles and standards
identifying areas or officers to which records are forwarded
modifying formats or media of record in line with organisational requirements
using organisational checklists of materials for capture
taking action on records which do not require registering, including in relation to records for immediate destruction
validating the authenticity, integrity, reliability and useability of records
Records may include:
different stages of use:
active
archival
digital:
remote drives
servers
CDs
DVDs
imaging systems
PC-based applications
mainframe
physical:
audio-visual or multimedia
graphic
microform
paper-based (acid free or multiple copies)
variety of sources:
already in the custody of the organisation
in the process of being transferred between organisations
Metadata are those records which are maintained about the records themselves and may include:
activity classification terms
date, time, and location of record creation or registration into the system
identity of record creator
indexing and descriptive terms
record format
security and access information
unique identifiers for each record
Business or records systems may include:
archival control systems
business systems
cash register-based systems
characteristics relating to:
aggregations
context
entities
metadata
current business or records systems
electronic records and document management system (ERDMS)
informal
paper-based accumulation and card systems
PC-based accounting systems, employee and tax records systems
proprietary recordkeeping package
storage facilities systems
Rules and procedures may relate to:
classification
destruction
manually generated running numbers
ownership
responsibility
system generated identifiers
transfer of custody
Registering records may include:
access and security status:
confidential
high-security (restricted)
open
description
details of record creator
disposal class and use including:
conversion to other record formats
destruction
retention
transfer
immediate location
other control information to fulfil system requirements
physical dependencies or format of a record that will assist with its management over time
title
Special handling requirements may include:
secondary storage requirements
back-up and recovery procedures
migration requirements, which may include:
superseded media formats
format which may deteriorate over time
Storage location may include:
digital:
remote drives
servers
CDs
imaging systems
physical:
centralised or decentralised
commercial storage service or government repository
in-house or outsourced
microform
offline or off-site
Updating and amending information may derive from:
action officers
file transfer slips
requests
results of quality assurance audit
supervisor
user
Transactions may include:
transfer of records
disposal
reporting
auditing, which may address:
compliance with recordkeeping metadata standards or requirements
content
location
titling
disposal
Documentation or reports may include:
daily correspondence
over due action reports
proof of receipt
record of movement
resubmits for following day
statistics
Criteria for audit may include:
compliance with recordkeeping metadata standards/requirements
content
location
titling
unique identifier

EVIDENCE GUIDE
The Evidence Guide provides advice on assessment and must be read in conjunction with the performance criteria, required skills and knowledge, range statement and the Assessment Guidelines for the Training Package.

Overview of assessment

Critical aspects for assessment and evidence required to demonstrate competency in this unit
Evidence of the following is essential:
registering and tracking the location of records using appropriate processes for capture and classification
identifying activities documented by records
applying classifications schemes
recording metadata accurately.
Context of and specific resources for assessment
Assessment must ensure:
access to examples records, recordkeeping systems and policies
access to workplace reference materials such as procedural manuals and company policies.
Method of assessment
A range of assessment methods should be used to assess practical skills and knowledge. The following examples are appropriate for this unit:
analysis of responses to case studies and scenarios
demonstration of techniques
direct questioning combined with review of portfolios of evidence and third party workplace reports of on-the-job performance by the candidate
review of authenticated documents from the workplace or training environment
oral or written questioning to assess knowledge of general principles and processes of recordkeeping systems.
Guidance information for assessment
Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended, for example:
administration units
other knowledge management units.