Assessor Resource

BSBINS514
Contribute to records retention and disposal schedule

Assessment tool

Version 1.0
Issue Date: May 2024


This unit describes the skills and knowledge required to determine and document retention periods and disposal actions for existing and future records created, received and maintained by an organisation in the course of business.

The unit applies to individuals who use analytical skills and specialist knowledge of information management systems and business areas to support organisational operations. The individual may have responsibility for a team or sole responsibility for their work within the business system.

No licensing, legislative or certification requirements apply to this unit at the time of publication.

You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)


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 candidate must demonstrate the ability to complete the tasks outlined in the elements, performance criteria and foundation skills of this unit, including evidence of the ability to:

research records created by an organisation and create a detailed retention and disposal schedule within legislative and organisational parameters that includes disposal classes applying to at least three organisational functions.

In the course of the above, the candidate must:

work closely with record creators and users to determine their needs and access requirements

complete documentation for submission to the relevant authority for approval.

The candidate must be able to demonstrate knowledge to complete the tasks outlined in the elements, performance criteria and foundation skills of this unit, including knowledge of:

key provisions of relevant legislation, regulations and standards that affect information management systems

relevant organisational, jurisdictional and subsidiary functions, activities, structure, policies, strategies and processes

risk analysis applied to records systems

key aspects of disposal actions and the circumstances in which each could be used

key principles and processes of records management and records management systems.

Skills in this unit must be demonstrated in a workplace or simulated environment where the conditions are typical of those in a working environment in this industry.

This includes access to:

legislation, regulations, standards and codes relevant to records retention and disposal

workplace documentation and resources relevant to performance evidence.

Assessors of this unit must satisfy the requirements for assessors in applicable vocational education and training legislation, frameworks and/or standards.

Submission Requirements

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

The candidate must demonstrate the ability to complete the tasks outlined in the elements, performance criteria and foundation skills of this unit, including evidence of the ability to:

research records created by an organisation and create a detailed retention and disposal schedule within legislative and organisational parameters that includes disposal classes applying to at least three organisational functions.

In the course of the above, the candidate must:

work closely with record creators and users to determine their needs and access requirements

complete documentation for submission to the relevant authority for approval.

The candidate must be able to demonstrate knowledge to complete the tasks outlined in the elements, performance criteria and foundation skills of this unit, including knowledge of:

key provisions of relevant legislation, regulations and standards that affect information management systems

relevant organisational, jurisdictional and subsidiary functions, activities, structure, policies, strategies and processes

risk analysis applied to records systems

key aspects of disposal actions and the circumstances in which each could be used

key principles and processes of records management and records management systems.

Skills in this unit must be demonstrated in a workplace or simulated environment where the conditions are typical of those in a working environment in this industry.

This includes access to:

legislation, regulations, standards and codes relevant to records retention and disposal

workplace documentation and resources relevant to performance evidence.

Assessors of this unit must satisfy the requirements for assessors in applicable vocational education and training legislation, frameworks and/or standards.
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
Research and analyse information management environment and legal, business and societal context for the organisation 
Establish and document organisation’s relevant accountability and information requirements 
Analyse a range of documentation sources, and identify existing relevant information management requirements 
Review and update risk analysis for the organisation, as required, in accordance with relevant standards 
Research and analyse usage patterns of existing records to identify users, and periods and purposes of use 
Consult and document user views on their needs and accessibility of the records 
Update and document relevant information management requirements according to review analysis and consultation of users 
Identify and review the organisation’s business processes from existing functional analyses or consult relevant stakeholders 
Establish relevant information management activities in the functional analysis 
Develop and document disposal classes according to the boundaries of the transactions and activities which make up the organisation’s processes 
Develop disposal status and retention periods for each disposal class from an analysis of relevant documentation sources, legal requirements, access classifications, user consultation and review of risk analysis 
Review disposal status and retention periods for each disposal class in relation to the relevant use of the records, the relationship with other organisational activities, and other relevant requirements 
Describe disposal actions for each disposal class in the relevant documentation 
Test and confirm retention and disposal documentation contains details of business activities, records classes, and required disposal actions 
Identify and assign responsibility for implementing disposal actions for records from retention and disposal documentation 
Describe disposal class and status, and disposal actions in the approved retention and disposal documentation 
Compile and retain documentation of the analysis and related information with the approved retention and disposal documentation 
Submit retention and disposal documentation for approval to relevant individual or body 

Forms

Assessment Cover Sheet

BSBINS514 - Contribute to records retention and disposal schedule
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

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Assessor name:

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Assessment Record Sheet

BSBINS514 - Contribute to records retention and disposal schedule

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:

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