BSBRKG304B - Maintain Business Records2015-7-2 · The range statement relates to the unit of...

978-1-921885-60-0

BSBRKG304B

Maintain business records

SUITABLE

FOR

BSBRKG304

2 © Software Publications Pty Ltd, 2015

Maintain business records

This learner guide supports BSBRKG304B Maintain business records in the BSB07 Business Services Training Package.

© Software Publications Pty Ltd, June 2015

Authors: Leanne Berry – MICB and Software Publications writing team

ISBN 978-1-921885-60-0

Disclaimer

All rights reserved. No part of this publication may be reproduced or transmitted in any form or by any means, electronic or mechanical, including photocopying, scanning, recording or any information storage and retrieval system without permission in writing from Software Publications Pty Ltd. No patent liability is assumed with respect to the use of the information contained herein. While every precaution has been taken in the preparation of this book, the publisher and authors assume no responsibility for errors or omissions. Neither is any liability assumed for damages resulting from the use of the information contained herein.

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Head Office Unit 3 25 Gibbes Street Chatswood NSW 2067 www.softwarepublications.com.au

Published and printed in Australia

© Software Publications Pty Ltd, 2015 5

THE AIM OF THIS LEARNER GUIDE The aim of this learner guide is to give you skills and knowledge to successfully complete the assessment in the following unit of competency.

BSBRKG304B Maintain business records This unit describes the performance outcomes, skills and knowledge required to maintain the records of a business or records system in good order on a day to day basis.

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

Application of the unit This unit applies to individuals requiring some understanding of relevant theoretical knowledge relating to recordkeeping functions. It is not assumed that individuals at this level would have responsibility for supervising the work of others; however it is assumed that as a recordkeeping practitioner their work will support effective recordkeeping and governance practices across the organisation.

The application is in relation to the maintenance of records from an existing business or records system that has guidelines and processes to assist in the process. Work carried out in the interest of system maintenance will be performed under supervision or in consultation with more senior staff or users of the system.


Element Performance criteria Page(s)

Elements describe the essential outcomes.

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

1. Collate business records

1. Identify individual records or information which should be incorporated into business or records system according to organisational criteria

13–26

1.2. Sort records in accordance with workplace requirements

31–33

1.3. Adhere to security and access requirements in accordance with organisational procedures

45–46

2. Update business or records system

2.1. Identify and record control information for describing new records to be incorporated into business or records system

34–46

2.2. Update control information describing movement or use of records within business or records system

46–47

2.3. Accurately record and update control information in business or records system

47

2.4. Identify and remove records of completed business activities from current system for disposal

48–49

3. Prepare reports from the business or records system

3.1. Interpret requests for reports and clarify the content and frequency sought, where necessary

52–54 3.2. Prepare reports from business or records system in accordance with instructions or request

3.3. Prepare reports in accordance with organisational security and access procedures


Required skills and knowledge This describes the essential skills and knowledge and their level, required for this unit.

Page(s) Required skills • communication skills to explain and clarify

procedures, and to interview users to identify their records/information needs

53

• literacy skills to read and interpret nature of record content, functions and problems

Throughout learner guide

• problem-solving and analysis skills to identify and manage records.

Throughout learner guide

Required knowledge • key provisions of relevant legislation from all forms of government, regulations, standards and documentation that may affect aspects of business operations, such as:

• AS 5044.1:2002 AGLS Metadata element set

28

• AS 5090:2003 Work process analysis for recordkeeping

29

• AS ISO 15489:2004 Records management 29 • AS ISO 23081.1:2006 Information and

documentation – Records management processes – Metadata for records – Principles

29

• Australian Stock Exchange(ASX) Principles of Good Corporate Governance

30

• ethical principles n/a • codes of practice 28 • privacy and freedom of information 27 • archives and records legislation 27 • occupational health and safety 27 • general principles and processes of records

management and records management systems, such as:

• systems of control 34–51 • records continuum theory 19 • mandate and ownership of business

process n/a

• environmental context n/a • records characteristics. Throughout

learner guide


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.

Records may be: • at 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

• from a variety of sources: • already in the custody of the organisation • in the process of being transferred between

organisations Information may include: • customer relationship management

• expenditure • human resources management • invoicing/sales • legislative/regulatory/licensing compliance • risk management • stock control • taxation, asset management


Business or records systems may be:

• 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 • systems unique to individual workplaces and

organisations Security and access requirements may relate to:

• individuals or positions of individuals • protection of privacy • security restrictions • trade secrets or commercial-in-confidence

information Reports may be: • ad hoc

• computer generated • hand prepared • part of a management solution for another

support/operational function • regular records management reports • system management reports


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.

Critical aspects for assessment and evidence required to demonstrate competency in this unit

Evidence of the following is essential: • complying with organisational procedures and

workplace requirements

• knowledge and understanding of business or records systems

• accurately recording information.

Context of and specific resources for assessment

Assessment must ensure: • access to an actual workplace or simulated work

environment

• access to office equipment and resources

• access to examples of 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 business or records 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.

Section 1


Records life cycle concept

A life cycle is a popular model for recordkeeping. According to this concept, the life of a record goes through the following phases:

Creation or receipt Phase one of the records life cycle involves records being created, collected or received through the daily transactions of the business.

Storage The record is entered into the records management system.

Maintenance and use The record is used and maintained. This can include filing, retrieving, use, duplication, printing, dissemination, release or exchange of the information in the record.

Preservation or destruction If a record has been determined to be of permanent value to the business then it is preserved. If a record has ceased to be of value to the business, it can be destroyed.

If it has ongoing value to the business or is required by legislation to be preserved for a certain period of time it will be temporarily stored. When the retention date of these records is reached, arrangements can be made for their destruction.

Source: https://sites.google.com/site/managementofrecords/records-life-cycle, retrieved 25 May 2012

Create/Receive

Store

Use/Maintain

Preserve or Destroy

Section 1


Records continuum theory Where the life cycle model outlines a process where a record flows through a number of clearly definable stages and eventually elapses by way of destruction or permanent archive, the records continuum theory argues that ‘records are fixed in time and space from the date of creation, can be used for multiple purposes by delivering them to people living in different time and spaces’.

Source: Yesterday, Today and Tomorrow: A Continuum of Responsibility – Sue McKemmish: www.infotech.monash.edu.au/research/groups/rcrg/publications/recordscontinuum-smckp2.html

The life cycle model is linear, with records moving through each of the stages over time. The records continuum theory has the record moving through phases, based on who is using or taking responsibility for the record. The continuum is not linear as the record can move between phases as needed.

The records continuum theory breaks down the traditional barriers between records personnel (who look after current records) and archivist personnel (who look after historical records). It emphasises an integrated approach to managing records including having a system in place that will:

• capture and record all the necessary information for a record

• retain its integrity and accuracy

• provide necessary metadata for ease of searching and accessing

• manage the disposal/preservation phase of records management.

While many of these theories are developed in relation to the management of public records for government and public institutions, having an understanding of these theories can help you develop systems and policies that can be applied to a small business management of records.

Metadata Metadata is a set of characteristics used to describe an object or group of objects – it is data about data. One example of metadata is a library catalogue entry for a book. The data will include:

• title

• author

• publisher

• date and place of publication

• edition

• ISBN

• library catalogue designation indicating where the book is placed on the shelf.

Section 1


Other metadata captured on the book includes its movement over time. Information such as:

• who has borrowed the book

• when the book is due back

• when it was last borrowed.

When the book is returned the metadata helps the librarian manage the book with information such as whether the book is:

• reserved for another member

• on loan from another library

• on a shelf or stored in the stack room (archived).

Metadata is also used in computer programs. A document created in Microsoft Word contains metadata referred to as ‘properties’. It provides information about the document including:

• author

• document creation date

• document modification dates

• editing time spent on the document

• document size

• file location.

Metadata for records Metadata is used extensively when managing records, ensuring sufficient information is attached to the record to provide its context. The context is the activity during which the record was created. For example, a report may be submitted which needs to be retained as a record. To the author of the report, its meaning and context are clear, but to other staff the context may not be so clear. Therefore metadata could be added to the record to clarify its meaning. This might include:

• author of the report

• staff members/business units included in the project

• creation date

• duration of the project

• description of the scope of the project

• description of the outcomes of the project.

Section 1


Recordkeeping systems Recordkeeping is the making and maintaining of complete, accurate, reliable and easily retrievable evidence of business transactions.

Recordkeeping systems capture, maintain and provide access to business records. They assist with the management of archiving and disposal of records with timeframes.

Examples of recordkeeping and associated systems include:

• manual (paper-based) recordkeeping system

• records management software

• business information system

• document management system

• enterprise content management system.

Many organisations will have more than one of these.

Manual recordkeeping systems Manual systems use paper documents such as journals to record every transaction made by the organisation. These documents are used to record:

• payments received

• payments made

• inventory

• wages

• bank reconciliations.

In today’s climate it is likely that only very small organisations would rely solely on a manual recordkeeping system.

Records management software Records management software is specifically designed to maintain business records. It stores information about each record held by the organisation including classification, metadata, disposal dates and physical location.

The type of records management software used will depend on the type of organisation. Some systems are designed for one specific industry, for example a doctors’ surgery will use a system designed to store medical records. Other systems are generic and can be used by a wide range of organisations.

Section 1


Business information systems The term business information system refers to any electronic system which a business uses.

Examples • Computerised accounting packages (MYOB, QuickBooks, Xero)

• Databases

• Customer relationship management software (CRM)

• Human resource systems

• Email systems

• Internet.

Many business information systems also store records. In many cases an organisation will use a business information system instead of a dedicated recordkeeping system. In other cases, the business information systems will interact with the recordkeeping system to help with the maintenance of all records.

Document management systems A document management system (DMS) allows an organisation to store electronic documents and facilitate collaboration on those documents. Security can be added to the document repository and use can be tracked – showing who accessed which document when. Unlike a recordkeeping system, a DMS does not contain record managing information such as disposal dates.

Enterprise content management software Enterprise content management (ECM) software attempts to be a ‘one stop shop’ for all recordkeeping, document distribution and reporting requirements. It combines recordkeeping and document management functionality along with email and online content storage. It supports all steps in the recordkeeping life cycle from document creation to disposal. ECM software is complicated to set up and maintain and is therefore typically only used by large organisations.

Task 3 List the systems used in your workplace to maintain records.

If you are not working, list the systems that would be required in the desired workplace you identified in Task 1.

Submit your completed task as instructed by your trainer.

Section 3


SECTION 3: COLLATING BUSINESS RECORDS Once records have been identified as needing to be stored, they should be grouped and sorted to facilitate their entry into the recordkeeping system.

Identifying the activity documented by a record To collate a record you need to identify the activity it documents. This will also allow you to match it to the classification system of the business later on. To do this you need a thorough understanding of the business activities.

You should be able to identify the activity by either reading or scanning it. The activity should match one of the major functions performed in the business, for example:

• finance

• human resources

• administration

• sales and marketing.

If a record documents more than one activity, you need to determine the major activity.

In the example email below the major activity is sales and marketing.

From: Howard Wolowitz Sent: Monday, 16 March 2015 2:10 PM To: 'Honky Tonk Children’s' Subject: Stock returns

I will be returning today by courier the new release stock samples sent to me on invoice 000456. Thank you for allowing me to view them. Can you please provide me with the required credit on my next invoice? An order will be placed in the near future for these new releases.

Regards

Howard

Explanation While a financial transaction is the end result of this email, the activity was generated by the sales department providing sample stock for the purpose of promoting the product and creating sales.

Section 3


If the activity is not clear In most cases the activity being documented will be clear; however, in some cases you will be given a record which is not self-explanatory.

When this occurs:

1. Contact the author/creator of the record and ask them to explain the activity being documented.

2. Use the explanation to make notes about the activity and attach them to the record. These notes will help you when you come to classify the record.

Grouping records Records will often go through several levels of grouping. To make things easier, you might group records by the major business activity or workplace department, e.g. all finance records. These finance records can then be sorted into subgroups, such as:

• accounts payable

• accounts receivable

• payroll.

Task 5 These are the records created or received by your workplace today. Create a table and list how you would group these records.

• weekly Accounts Receivable report

• job applications and resumes from a position vacant advertisement

• invoice from a subcontractor for project work undertaken

• complaint letter from a customer

• list of customer contact details

• employee leave forms

• email from human resources to all staff advising of Christmas trading hours

• employee time sheets

• DVD from a new supplier on stock and price lists

• marketing flyer from stationery supplier with special deals

• photos for the new website.


Section 3


Sorting records Records within the groups can be sorted:

• alphabetically

• numerically – based on a serial number

• chronologically (by date).

Forwarding records If you have a decentralised recordkeeping system, the sorted records may need to be forwarded to the appropriate business unit or person.

For example, if the main activity is finance, it would be forwarded to the finance department for action. If the finance department has different staff responsible for different finance tasks, a supplier invoice would be forwarded to the accounts payable section of the department.

Task 6 Select one type of record stored in a recordkeeping system used by your workplace. Describe the type of record, how it is stored and explain what system is used to sort the records.

If you are not working, choose a type of record that would be generated in the workplace you identified in Task 1. If you need help, think about the exercises or assessments you are completing for other Units for your certificate, e.g. BSBCUS301B Deliver and monitor a service to customers, FNSINC301A Work effectively in the financial services industry.

Section 4


Registering records When you have selected the classification and index points for the record, you are ready to register it in the recordkeeping system.

1. Assign a unique identifier to the record.

2. Enter details about the record into the system including metadata.

3. Document any special requirements of the record.

4. Document the security status of the record.

5. Forward the record to its storage location.

Assigning unique identifiers Each record in the recordkeeping system needs a unique identifier so that it can be located easily. Depending on the nature of the workplace, a unique identifier could be allocated to:

• a customer, e.g. all records pertaining to one customer

• a legal matter, e.g. all records dealing with the same matter

• an item, e.g. every item in a library’s catalogue.

The unique identifier can be assigned automatically by an electronic system or assigned manually.

The number needs to be marked somewhere on the file, e.g. on the file cover, so the file can be identified and retrieved. With a digital record, the unique identifier can be stored within the record itself, e.g. within the document properties.

All unique identifiers in the recordkeeping system also need to be recorded somewhere along with their matching titles. This can be in the recordkeeping system itself if it is computer-based. Otherwise it can be in a database or in a paper register such as index cards or form.

If you assign unique identifiers manually, you can use a system that is alphabetical, numerical or which combines both letters and numbers.

For retrieval purposes it is often easiest to file in alphabetical order, e.g. supplier invoices can be filed under the supplier name so anyone can find a required record without having to consult an index and find the unique identifier.

For records management staff it is usually simpler to use a sequential numbering system. New files are simply added to the end of the sequence rather than having to move files to make way for newly opened files in the sequence.

Section 4


There are different types of sequential numbering systems. Example

Straight 000001 – 999999 Each new file is added to the end of the sequence. The disadvantage of straight sequential numbering systems is that related files are not stored together. Other numbering systems avoid this by building more classification into the numbering system.

2015/0001 – 2015/9999 Some sequential systems have the year at the front so that a new sequence is started each year which can assist with disposal.

F/0001 – F/9999 Others have the file series incorporated into the number (where F stands for Finance in this example).

LB 100125 Another version of the file series can use staff initials.

F2015/0001 – F2015/9999

More complex systems can include the file series and year.

Classified 11/7/21 Classified number systems are more complex; you need to use a manual to allocate new file numbers. In the example:

• 11 stands for Finance

• 7 stands for Accounts payable

• 21 means the 21st file to be created within the Finance – Accounts payable classification.

Block 00001 – 10000 (for use by Human Resources department only)

20001 – 30000 (for use by Hobart office only)

Block numbering systems are where blocks of file numbers are allocated to particular sites or functions.

Sometimes records are self-numbering. For example, a computerised accounting system will automatically allocate a number to each transaction.

Task 10 Investigate the recordkeeping systems used in your workplace. Choose one of those systems (electronic or manual) and describe the unique identifiers allocated in this system. Ask more experienced coworkers for help if you are not a regular user of the system.

If you are not working, develop a unique identifier system suitable for the workplace you identified in Task 1 and explain why you chose that system.


Section 4


Entering details into the system The method of entering details about the record into your recordkeeping system depends on what type of recordkeeping system you use, i.e. whether it is electronic or paper-based. Regardless of the type of system, there is certain control information (metadata) that you need to enter for each record.

In a computerised system, some metadata elements might be automatically recorded such as the date of creation, author and software application the record was created in. You may need to assign other elements manually.

The Australian records management standards specify that a record should be registered with at least the two following elements:

• unique identifier

• date and time of registration.

Other elements that may be required by your records system include:

• date received

• details of the record creator

• document title

• document version

• current location

• physical format

• description

• other key terms or names

• access and security status

• links to other documents or files related to the same business activity

• application in which the document was created

• disposal status.


ASSESSMENT BSBRKG304B Maintain business records

Element Performance criteria Task 1. Collate business

records 1.1 Identify individual records or information which

should be incorporated into business or records system according to organisational criteria

Task 1 Task 2 Task 3

1.2. Sort records in accordance with workplace requirements

Task 5 Task 6

1.3. Adhere to security and access requirements in accordance with organisational procedures

Task 11


2.1. Identify and record control information for describing new records to be incorporated into business or records system

Task 7 Task 8 Task 9 Task 10

2.2. Update control information describing movement or use of records within business or records system

Task 12

2.3. Accurately record and update control information in business or records system

Task 13

2.4. Identify and remove records of completed business activities from current system for disposal

Task 14 Task 15


3.1. Interpret requests for reports and clarify the content and frequency sought, where necessary

Task 17

3.2. Prepare reports from business or records system in accordance with instructions or request

Task 17

3.3. Prepare reports in accordance with organisational security and access procedures

Task 17


Required skills and knowledge Task Required skills

• communication skills to explain and clarify procedures,

and to interview users to identify their records/information needs

Task 16

• literacy skills to read and interpret nature of record content, functions and problems

All tasks

• Problem-solving and analysis skills to identify and manage records.

All tasks

Required knowledge

• key provisions of relevant legislation from all forms of government, regulations, standards and documentation that may affect aspects of business operations, such as:

Task 4

• AS 5044.1:2002 AGLS Metadata element set • AS 5090:2003 Work process analysis for

recordkeeping • AS ISO 15489:2004 Records management • AS ISO 23081.1:2006 Information and

documentation – Records management processes – Metadata for records – Principles

• Australian Stock Exchange(ASX) Principles of Good Corporate Governance

• ethical principles • codes of practice • privacy and freedom of information • archives and records legislation • occupational health and safety • general principles and processes of records

management and records management systems, such as:

• systems of control All tasks

• records continuum theory • mandate and ownership of business process • environmental context • records characteristics.

Evidence guide Critical aspects for assessment and evidence required to demonstrate competency in this unit. Evidence of the following is essential:

• complying with organisational procedures and workplace requirements


• knowledge and understanding of business or records systems

All tasks

• accurately recording information. All tasks


Employability skills Employability skills for BSB30807 Certificate III in Recordkeeping are assessed in the following tasks.

Employability Skill Industry/enterprise requirements for this qualification include:

Task

Communication • communicating verbally with others in negotiation, training and questioning

• preparing simple documentation and reports for requests of information

• writing a range of simple documentation and communications

Task 17

Teamwork • completing individual tasks to support team goals • conveying workplace procedures and work instructions

to team members

n/a

Problem-solving • analysing business or records system to efficiently locate information

• using research skills to locate workplace information

Task 17

Initiative and enterprise

• demonstrating individual responsibility for completing tasks

• suggesting improvements to support the development of improved work practices and team effectiveness

n/a

Planning and organising

• contributing to planning processes with team members to meet expected outcomes

• gathering, organising and applying workplace information for the organisation's work processes and records systems


Self-management • identifying development needs and seeking training to fill needs

• monitoring and recording the performance of own work area

n/a

Learning • developing a comprehensive knowledge and understanding of records systems

• identifying priorities and pursuing personal work goals in accordance with organisational objectives

All tasks

Technology • collecting and manipulating data using appropriate technology

• ensuring systems are appropriate for information storage, security and retrieval

Task 17


Employability skills for FNS30111 Certificate III in Financial Services are assessed in the following tasks.

Employability skill

Industry/enterprise requirements for this qualification include:

Task

Communication • conducting research to collect and analyse information and present it in report form

Task 17

• having the ability to question, clarify and evaluate information

n/a

• investigating and negotiating to resolve disputes n/a • liaising with internal and external personnel with an

ability to ‘read’ verbal and non-verbal body language n/a

• using a range of techniques and sales skills to elicit feedback from customers

n/a

• using specialist language in written and oral communication

n/a

• writing in a range of styles to suit different audiences n/a Teamwork • receiving feedback on performance n/a

• referring matters to nominated person as required n/a • working as a member of a team and applying

knowledge of one’s own role to achieve team goals n/a

Problem-solving • collecting, comparing and contrasting data in order to create reports

Task 17

• using problem solving tools and techniques to balance and reconcile amounts

n/a

Initiative and enterprise

• contributing to solutions to workplace challenges n/a • contributing to the design and preparation of reports

to effectively present workplace information Task 17

• identifying cross-selling opportunities n/a Planning and organising

• contributing to the planning process by researching and validating information relating to estates

n/a

• planning work considering resources, time and other constraints

n/a

• processing routine documents and maintaining files, managing information, and scheduling and coordinating competing tasks

All tasks

Self-management • managing own time and priorities and dealing with contingencies

n/a

• operating within industry and organisational codes of practice, legislation and regulations


• taking responsibility as required by work role and ensuring all organisational policies and procedures are followed



Employability skill

Industry/enterprise requirements for this qualification include:

Task

Learning • acquiring and applying knowledge of services and organisational policies and procedures

Task 11 Task 12 Task 14 Task 17

• asking questions to clarify instructions n/a

• seeking advice on technical issues n/a

• using online help and manuals to solve basic technology problems

n/a

Technology • using electronic communication devices and processes such as internet, software packages and email, to produce written correspondence and reports

Task 17

• using technology to assist the management of information and to assist the planning process

n/a


BSB BUSINESS SERVICES TRAINING PACKAGE

SUPPLEMENT

This learner guide can be used by learners completing a qualification in the BSB Business Services Training Package.


BSBRKG304 Maintain business records

Application

This unit describes the skills and knowledge required to maintain the records of a business or records system in good order on a day-to-day basis.

It applies to individuals who follow established guidelines and processes to assist them to carry out their work. They work under supervision or in consultation with more senior staff or system users to support effective recordkeeping and governance practices across the organisation.

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

Unit Sector

Knowledge Management – Recordkeeping


Elements and Performance Criteria

ELEMENT PERFORMANCE CRITERIA Learner guide page reference

Assessment task Elements

describe the essential outcomes.

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

1. Collate business records

1.1 Identify individual records or information which should be incorporated into business or records system according to organisational criteria

13–26 Tasks 1–3

1.2 Sort records in accordance with workplace requirements

31–33 Tasks 5 and 6

1.3 Follow security and access requirements in accordance with organisational procedures

45–46 Task 11


2.1 Identify and record control information for describing new records to be incorporated into business or records system

34–46 Tasks 7–10

2.2 Update control information describing movement or use of records within business or records system

46–47 Task 12

2.3 Accurately record and update control information in business or records system

47 Task 13

2.4 Identify and remove records of completed business activities from current system for disposal

48–49 Tasks 14 and 15


3.1 Interpret requests for reports and clarify the content and frequency sought, where necessary

52–54 Task 17

3.2 Prepare reports from business or records system in accordance with instructions or request

52–54 Task 17

3.3 Prepare reports in accordance with organisational security and access procedures

52–54 Task 17


Foundation Skills

This section describes language, literacy, numeracy and employment skills incorporated in the performance criteria that are required for competent performance.

Skill Performance Criteria

Description Learner guide page reference

Reading 1.1, 1.3, 2.1, 2.4, 3.1

Gathers and interprets textual information from different sources to determine how information may be applied to job requirements

Whole learner guide

Writing 2.1, 2.2, 2.3, 3.1

Uses clear and industry related terminology to complete and update workplace information

34–47, 53

Oral Communication

3.1 Uses questioning and active listening techniques to confirm job requirements

53

Numeracy 1.1 Recognises and uses numerical systems associated with recordkeeping systems

42

Navigate the world of work

1.3, 3.3 Takes some personal responsibility for following organisational procedures

17, 35–51, 54

Get the work done

1.1, 1.2, 2.1, 2.3, 2.4, 3.2

Takes responsibility for planning and organising own workload to ensure work deadlines are met

Timeframes can be applied to all tasks

Takes responsibility for the outcomes of routine decisions related directly to own role

15–17, 31–51


Assessment requirements v1.1

Performance Evidence

Evidence of the ability to: Assessment tasks

collate business records in compliance with organisational procedures and workplace requirements

Tasks 5 and 6

record and update control information accurately in business records system.

Tasks 7, 9, 10 and 13

Knowledge Evidence

To complete the unit requirements safely and effectively, the individual must:

Assessment tasks

outline the organisational requirements regarding the maintenance and security of business records

Tasks 6, 8, 10, 11, 12, 14 and 15

describe the general principles and processes of records management and records management systems, such as: systems of control records continuum theory mandate and ownership of business process environmental context records characteristics.

All assessment tasks

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