Business Services Training Package BSB01 · BSB30803 Certificate III in Business (International Trade) BSB42003 Certificate IV in Business (International Trade) BSB41603 Certificate

Business Services Training Package

BSB01 Volume 3 of 8

The contents of this volume refer only to the Endorsed Components of BSB01 Business Services Training Package. This volume should not

be read in isolation but in the context of the Training Package as a whole Please refer to the following page for details of other volumes in this Training Package.

This volume contains units of competency for Recordkeeping


Volume 3 Page ii © Australian National Training Authority 2004 BSB01 Business Services Training Package to be reviewed by 30/04/2006 Version 4

BSB01 Business Services Training Package © Australian National Training Authority (ANTA) 2004

This work has been produced with the assistance of funding provided by the Commonwealth Government through ANTA.

An individual may make a photocopy of all or part of the work for their personal use.

A Registered Training Organisation may make photocopies of all or part of the work for the teaching purposes of that organisation, including for supply to its students provided that any consideration does not exceed the marginal cost of preparation, reproduction, assembly and delivery.

Except as permitted under the Copyright Act 1968, all other rights are reserved. Requests for permission may be directed to:

Australian National Training Authority Level 11, AMP Place 10 Eagle Street BRISBANE QLD 4000 Phone: (07) 3246 2300 Fax: (07) 3246 2490 Website: www.anta.gov.au

This work is the result of wide consultations with Australian industry participants. It is a collaborative view and does not necessarily represent the view of ANTA or any specific body. For the sake of brevity it may omit factors which could be pertinent in particular cases.

While care has been taken in the preparation of this Training Package, ANTA and the original developer do not warrant that any licensing or registration requirements specified here are either complete or up-to-date for your State or Territory. ANTA and the original developer do not accept any liability for any damage or loss (including indirect and consequential loss) incurred by any person as a result of relying on the information contained in this Training Package.

This Training Package should not be regarded as professional advice and it should not be relied upon in any important matter without obtaining appropriate advice relevant to your circumstances. Published by: Australian Training Products Ltd

Level 25 / 150 Lonsdale St, Melbourne , 3000 PO Box 12211 A’Beckett St Post Office Melbourne, Victoria 8006, Australia Telephone +61 3 9655 0600 Facsimile +61 3 9639 4684 E-mail: [email protected]

First published: September 2001 Stock Code Number: atp9611 ISBN: 0 642 80159 2 (set) Business Services Training Package-BSB01 V4 (Vol 3 ) Printed by: Document Printing Australia, Melbourne, Australia AEShareNet Code: P Version No: 4 Release Date: 23 October 2004

Preliminary Information

© Australian National Training Authority 2004 Volume 3 Page iii BSB01 Business Services Training Package to be reviewed by 30/04/2006 Version 4

Preliminary Information Important Note to Users Training Packages are not static documents; they are amended periodically to reflect the latest industry practices and are version controlled. It is essential that the latest version is always used.

Check the version number before commencing training or assessment This Training Package is Version 4 – check whether this is the latest version by going to the National Training Information Service (www.ntis.gov.au) and locating information about the Training Package. Alternatively, contact Innovation and Business Skills Australia (www.ibsa.org.au) to confirm the latest version number.

Explanation of version number conventions The primary release Training Package is Version 1. When changes are made to a Training Package, sometimes the version number is changed and sometimes it is not, depending on the extent of the change. When a Training Package is reviewed it is considered to be a new Training Package for the purposes of version control, and is Version 1. Do not confuse the version number with the Training Package’s national code (which remains the same during its period of endorsement).

Explanation of the review date The review date (shown on the title page and in the footer of each page) indicates when the Training Package is expected to be reviewed in the light of changes such as changing technologies and circumstances. The Training Package review date is not an expiry date. Endorsed Training Packages and their components remain current until they are reviewed or replaced.

Version modification history The version details of this endorsed Training Package are in the table below. The latest information is at the top of the table.

Version Release Date Comments 4 October 2004 Fields and domains

Version 4 includes all the fields and domains in Version 3 plus: - a new field of International Services which includes the new domain of

International Trade/Business, - an expanded Business Management Services field with two new domains of

Occupational Health and Safety (OHS) and Compliance Management, and - an expanded Common Business field to include 1 new unit.

In total Version 4 BSB01 contains eight fields and twenty-four domains. Qualifications added to BSB01 in Version 4 Version 4 includes all the qualifications in Version 3 plus the following six new qualifications. BSB30803 Certificate III in Business (International Trade) BSB42003 Certificate IV in Business (International Trade) BSB41603 Certificate IV in Occupational Health and Safety BSB51903 Diploma in International Business BSB51603 Diploma of Occupational Health and Safety BSB61003 Advanced Diploma of Occupational Health and Safety Qualification Guide amendments The Qualification Guide has been amended to include the new qualifications.


Volume 3 Page iv © Australian National Training Authority 2004 BSB01 Business Services Training Package to be reviewed by 30/04/2006 Version 4

Version Release Date Comments Units of competency This version includes all the units of competency provided in Version 3 plus the following additional fifty-seven new units of competency. BSBCMN421A Assist with compliance with OHS and other relevant laws BSBOHS401A Contribute to the implementation of a systematic approach to managing OHS BSBOHS402A Contribute to the implementation of the OHS consultation process BSBOHS403A Identify hazards and assess OHS risks BSBOHS404A Contribute to the implementation of strategies to control OHS risk BSBOHS405A Contribute to the implementation of emergency procedures BSBOHS406A Use equipment to conduct workplace monitoring BSBOHS501A Participate in the coordination and maintenance of a systematic approach to managing OHS BSBOHS502A Participate in the management of the OHS information and data systems BSBOHS503A Assist in the design and development of OHS participative arrangements BSBOHS504A Apply principles of OHS risk management BSBOHS505A Manage hazards in the work environment BSBOHS506A Monitor and facilitate the management of hazards associated with plant BSBOHS507A Facilitate the application of principles of occupational health to control OHS risk BSBOHS508A Participate in the investigation of incidents BSBOHS601A Develop a systematic approach to managing OHS BSBOHS602A Develop OHS information and data analysis and reporting and recording processes BSBOHS603A Analyse and evaluate OHS risk BSBOHS604A Apply ergonomic principles to control OHS risk BSBOHS605A Apply occupational hygiene principles to control OHS risk BSBOHS606A Develop and implement crisis management processes BSBOHS607A Advise on application of safe design principles to control OHS risk BSBOHS608A Conduct an OHS audit BSBOHS609A Evaluate an organisation’s OHS performance BSBCOM401A Organise and monitor the operation of compliance management system BSBCOM402A Implement processes for the management of breaches in compliance requirements BSBCOM403A Promote and liaise on compliance requirements, systems and related issues BSBCOM501A Identify and interpret compliance requirements BSBCOM502A Evaluate and review compliance BSBCOM503A Develop processes for the management of breaches in compliance requirements BSBCOM504A Create a culture of compliance within an organisation BSBCOM601A Research compliance requirements and issues BSBCOM602A Develop and create compliance requirements BSBCOM603A Plan and establish compliance management systems BSBINT301A Apply knowledge of the international trade environment to complete work BSBINT302A Apply knowledge of legislation relevant to international trade to complete work BSBINT303A Organise the importing and exporting of goods BSBINT304A Assist in the international transfer of services BSBINT305A Prepare business documents for the international trade of goods BSBINT306A Apply knowledge of international finance and insurance to complete work requirements BSBINT401A Research international business opportunities BSBINT402A Market goods and services internationally BSBINT403A Research international markets BSBINT404A Implement international client relationship strategies BSBINT405A Apply knowledge of import and export international conventions, laws and finance BSBINT406A Promote compliance with legislation BSBINT407A Prepare business advice on export Free on Board Value BSBINT408A Prepare business advice on the taxes and duties for international trade transactions


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Version Release Date Comments BSBINT409A Plan for international trade BSBINT501A Profile international markets BSBINT502A Analyse consumer behaviour for specific international markets BSBINT503A Analyse data from international markets BSBINT504A Forecast international market and business needs BSBINT505A Build international client relationships BSBINT506A Build international business networks BSBINT507A Report on finances related to international business BSBINT508A Promote products and services to international markets

3 March 2004 Version 3 of BSB01 Business Services Training Package included the seven fields and twelve domains developed in Phase One (see version 1 & 2 notes below) together with the extensions to fields, additional domains, new units of competency and new and replacement qualifications developed in Phase Two as described below. Fields expanded in Phase Two Common Business – expanded to incorporate units of competency under additional areas (business communication; generalist marketing; first aid; project management; risk management; customer service; diversity and knowledge management). Business Administration Services – expanded to incorporate units of competency and qualifications in two new domains – Purchasing and Medical Administration. Business Management Services– expanded to incorporate units of competency and qualifications in three new domains – Project Management, Franchising, Quality Auditing, and to provide additional Strategic Management units. Human Resources Management – expanded to incorporate units of competency and qualifications in two new domains – Unionism and Employment Services, and to provide additional Human Resources units. Business Development – expanded to incorporate additional units of competency for the Marketing domain. Domains developed in Phase Two Purchasing Medical Administration Project Management Franchising Unionism Employment Services Quality Auditing Frontline Management (review only) Qualifications added to BSB01 in Phase Two BSB30504 Certificate III in Business (Frontline Management) BSB30704 Certificate III in Business (Medical Administration) BSB41004 Certificate IV in Business (Frontline Management) BSB41404 Certificate IV in Business (Purchasing) BSB41504 Certificate IV in Project Management BSB41704 Certificate IV in Business (Franchising) BSB41804 Certificate IV in Unionism BSB41904 Certificate IV in Business (Employment Services) BSB51004 Diploma of Business (Frontline Management) BSB51404 Diploma of Business (Purchasing) BSB51504 Diploma of Project Management BSB51704 Diploma of Business (Franchising) BSB51804 Diploma of Unionism BSB51904 Diploma of Business (Quality Auditing) BSB60904 Advanced Diploma of Project Management Deleted/replaced qualifications The Frontline Management qualifications from BSB01 Versions 1 & 2 – BSB30501 Certificate III in Frontline Management, BSB41001 Certificate IV in Business (Frontline Management) and BSB51001 Diploma of Business (Frontline Management) are now replaced by new frontline qualifications at the same qualification as shown in the list above. Qualifications Framework amendments The Qualifications Framework has been amended to include the new qualifications, provide advice about replaced qualifications and provide specific packaging rules for three of the new qualifications – BSB41504 Certificate IV in Project Management, BSB51504 Diploma of Project Management, BSB60904 Advanced Diploma of Project Management – these have different rules and structure to the rest of the qualifications in BSB01.


Volume 3 Page vi © Australian National Training Authority 2004 BSB01 Business Services Training Package to be reviewed by 30/04/2006 Version 4

Version Release Date Comments Deleted/replaced units of competency • BSBFLM302A Support leadership in the workplace (deleted) • BSBFLM304A Participate in work teams (deleted) Because of overlap these units were replaced with a new unit – BSBFLM312A Contribute to team effectiveness • BSBFLM402A Show leadership in the workplace (deleted) • BSBFLM404A Lead work teams (deleted) Because of overlap these units were replaced with a new unit – BSBFLM412A Promote team effectiveness • BSBFLM502A Provide leadership in the workplace (deleted) • BSBFLM504A Facilitate work teams (deleted) Because of overlap these units were replaced with a new unit – BSBFLM512A Ensure team effectiveness Imported units of competency The following units of competency included in this version were imported from other Training Packages THHGLE09B Manage workplace diversity CHCAD1C Advocate for clients CHCCS1B Deliver and monitor service to clients CHCCS401A Facilitate cooperative behaviour CHCES302A Work with government in a purchaser provider relationship CHCES304A Deliver recruitment services CHCES305A Monitor New Apprenticeships arrangements CHCES402A Deliver New Apprenticeship services CHCES301A Work in the Employment Services area CHCCAR501A Provide careers guidance CHCES303A Use labour market information CHCCM2C Establish and monitor a case plan CHCES406A Provide job search support CHCCM4B Promote high quality case management CHCORG29A Provide coaching and motivation CHCCS2C Deliver and develop client service CHCCD12C Apply a community development framework CHCCS3C Coordinate the provision of services and programs CHCCS402A Respond holistically to complex client issues CHCCS5B Identify and address specific client needs CHCCS405A Work effectively with culturally diverse clients and co-workers CHCES405A Monitor service performance in a purchaser provider relationship with government CHCDIS8B Support people with disabilities as workers CHCCS6B Assess and deliver services to clients with complex needs CHCDIS9B Maximise participation in work by people with disabilities CHCDIS18A Support students with special needs CHCES502A Research and report on labour market information CHCES401A Analyse and apply labour market information CHCCS4C Manage the delivery of quality client service CHCES403A Develop and monitor employment plans CHCDIS11B Coordinate disability work CHCES404A Promote clients to employers CHCES501A Manage service delivery in a purchaser-provider relationship with government CHCES501A Manage service delivery in a purchaser-provider relationship with government PSPGOV603A Develop a tender submission LGACOM409A Prepare tender documents PSPPROC602A Direct management of contracts PSPPROC702A Establish the procurement context

2 1 May 2002 Addition of e-Business field Version 2 added the new field of e-Business involving fifty-nine new units of competency and eight new qualifications to BSB01. The development of this field of BSB01 was part of the Phase One work but endorsed later than the bulk of Phase One development.


© Australian National Training Authority 2004 Volume 3 Page vii BSB01 Business Services Training Package to be reviewed by 30/04/2006 Version 4

Version Release Date Comments 1 3 September

2001 Fields covered by BSB01 Business Services Training Package Version 1 Version 1 reflected Phase One of the development of the Business Services Training Package (less e-Business field – see Version 2 note above) and included the following fields and domains. • Common Business • Business Administration Services • Business Information Services • Business Management Services • Human Resource Management • Business Development Domains developed in Phase One: • Specialist Administration • Legal Services • Recordkeeping • Frontline Management • Governance (Indigenous Organisations) • Small Business Management • Strategic Management • Human Resources • Assessment & Workplace Training (included as part of BSB01) • Advertising • Marketing • Sales


Volume 3 Page viii © Australian National Training Authority 2004 BSB01 Business Services Training Package to be reviewed by 30/04/2006 Version 4

Summary of qualifications in BSB01 Business Services Training Package All the Australian Qualifications Framework (AQF) qualifications in BSB01 are listed below. CERTIFICATE I BSB10101 Certificate I in Business CERTIFICATE II BSB20101 Certificate II in Business CERTIFICATE III BSB30101 Certificate III in Business BSA30200 Certificate III in Business (Legal Administration) BSB30201 Certificate III in Business Administration BSB30301 Certificate III in Business (Sales) BSB30401 Certificate III in Business (Recordkeeping) BSB30503 Certificate III in Business (Frontline Management) BSB30601 Certificate III in e-Business BSB30703 Certificate III in Business (Medical Administration) BSB30803 Certificate III in Business (International Trade) CERTIFICATE IV BSB40101 Certificate IV in Business BSB40201 Certificate IV in Business Administration BSB40301 Certificate IV in Business (Recordkeeping) BSB40401 Certificate IV in Business (Small Business Management) BSB40501 Certificate IV in Business Development BSB40601 Certificate IV in Business (Advertising) BSB40701 Certificate IV in Business (Marketing) BSB40801 Certificate IV in Business (Human Resources) BSB40901 Certificate IV in Business (Governance) BSB41003 Certificate IV in Business (Frontline Management) BSB41101 Certificate IV in Business Management BSA40200 Certificate IV in Business (Legal Services) BSB41201 Certificate IV in e-Business BSB41301 Certificate IV in e-Business Development BSB41403 Certificate IV in Business (Purchasing) BSB41503 Certificate IV in Project Management BSB41703 Certificate IV in Business (Franchising) BSB41803 Certificate IV in Unionism BSB41903 Certificate IV in Business (Employment Services) BSB42003 Certificate IV in Business (International Trade) BSB41603 Certificate IV in Occupational Health and Safety

DIPLOMA BSB50101 Diploma of Business BSB50201 Diploma of Business Administration BSB50301 Diploma of Business (Recordkeeping) BSB50401 Diploma of Business Management BSB50501 Diploma of Business Development BSB50601 Diploma of Business (Advertising) BSB50701 Diploma of Business (Marketing) BSB50801 Diploma of Business (Human Resources) BSB50901 Diploma of Business (Governance) BSA50200 Diploma of Business (Legal Services) BSB51003 Diploma of Business (Frontline Management) BSB51101 Diploma of e-Business BSB51201 Diploma of Strategic e-Business Development BSB51301 Diploma of e-Learning BSB51403 Diploma of Business (Purchasing) BSB51503 Diploma of Project Management BSB51703 Diploma of Business (Franchising) BSB51803 Diploma of Unionism BSB51903 Diploma of Business (Quality Auditing) BSB51903 Diploma in International Business BSB51603 Diploma of Occupational Health and Safety ADVANCED DIPLOMA BSB60101 Advanced Diploma of Business (Recordkeeping) BSB60201 Advanced Diploma of Business Management BSB60301 Advanced Diploma of Business (Human Resources) BSB60401 Advanced Diploma of Business Development BSB60501 Advanced Diploma of Business (Advertising) BSB60601 Advanced Diploma of Business (Marketing) BSB60701 Advanced Diploma of e-Business BSB60801 Advanced Diploma of Strategic e-Business Development BSB60903 Advanced Diploma of Project Management BSB61003 Advanced Diploma of Occupational Health and Safety


© Australian National Training Authority 2004 Volume 3 Page ix BSB01 Business Services Training Package to be reviewed by 30/04/2006 Version 4

Units of competency in BSB01 Business Services Training Package All the units of competency in BSB01 are listed below under fields and domains. Note: Imported units are also shown in the lists below – either in the list relating to the specific domain, or in the list at the end titled ‘Units imported from other Training Packages’. Where they are in the domain list they make up part of a specific qualification in that domain; where they are in the list of imported units, they can be selected according to the packaging advice in the Qualification Guide. COMMON BUSINESS FIELD Certificate I BSBCMN101A Prepare for work BSBCMN102A Complete daily work activities BSBCMN103A Apply basic communication skills BSBCMN104A Plan skills development BSBCMN105A Use business equipment BSBCMN106A Follow workplace safety procedures BSBCMN107A Operate a personal computer BSBCMN108A Develop keyboard skills BSBCMN109A Follow environmental work practices Certificate II BSBCMN201A Work effectively in a business

environment BSBCMN202A Organise and complete daily work

activities BSBCMN203A Communicate in the workplace BSBCMN204A Work effectively with others BSBCMN205A Use business technology BSBCMN206A Process and maintain workplace

information BSBCMN207A Prepare and process

financial/business documents BSBCMN208A Deliver a service to customers BSBCMN209A Provide information to clients BSBCMN210A Implement improved work practices BSBCMN211A Participate in workplace safety

procedures BSBCMN212A Handle mail BSBCMN213A Produce simple wordprocessed

documents BSBCMN214A Create and use simple spreadsheets BSBCMN215A Participate in environmental work

practices BSBCMN216A Create customer relationship BSBCMN217A Process customer feedback BSBCMN218A Apply basic first aid

Certificate III BSBCMN301A Exercise initiative in a business

environment BSBCMN302A Organise personal work priorities

and development BSBCMN304A Contribute to personal skill

development and learning BSBCMN305A Organise workplace information BSBCMN306A Produce business documents BSBCMN307A Maintain business resources BSBCMN308A Maintain financial records BSBCMN309A Recommend products and services BSBCMN310A Deliver and monitor a service to

customers BSBCMN311A Maintain workplace safety BSBCMN312A Support innovation and change BSBCMN313A Maintain environmental procedures BSBCMN314A Utilise a knowledge management

system BSBCMN315A Work effectively with diversity BSBCMN316A Process customer complaints BSBCMN317A Meet customer needs and

expectations BSBCMN318A Write simple documents BSBCMN319A Apply advanced first aid BSBCMN320A Maintain first aid equipment and

resources Certificate IV BSBCMN402A Develop work priorities BSBCMN403A Establish business networks BSBCMN404A Develop teams and individuals BSBCMN405A Analyse and present research

information BSBCMN406A Maintain business technology BSBCMN407A Coordinate business resources BSBCMN408A Report on financial activity BSBCMN409A Promote products and services BSBCMN410A Coordinate implementation of

customer service strategies BSBCMN411A Monitor a safe workplace BSBCMN412A Promote innovation and change BSBCMN413A Implement and monitor

environmental policies BSBCMN414A Undertake marketing activities BSBCMN415A Manage first aid policy BSBCMN416A Identify risk and apply risk

management processes BSBCMN417A Coordinate customer service

activities BSBCMN418A Address customer needs BSBCMN419A Manage projects BSBCMN420A Write complex documents BSBCMN421A Assist with compliance with OHS

and other relevant laws


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BUSINESS ADMINISTRATION SERVICES FIELD SPECIALIST ADMINISTRATION Certificate III BSBADM301A Produce texts from shorthand notes BSBADM302A Produce texts from notes BSBADM303A Produce texts from audio

transcription BSBADM304A Design and develop text documents BSBADM305A Create and use databases BSBADM306A Create electronic presentations BSBADM307A Organise schedules BSBADM308A Process payroll BSBADM309A Process accounts payable and

receivable BSBADM310A Maintain a general ledger Certificate IV BSBADM401A Produce complex texts from

shorthand notes BSBADM402A Produce complex business documents BSBADM403A Develop and use complex databases BSBADM404A Develop and use complex

spreadsheets BSBADM405A Organise meetings BSBADM406A Organise business travel BSBADM407A Administer projects BSBADM408A Prepare financial reports Diploma BSBADM501A Manage the establishment and

maintenance of a workgroup network BSBADM502A Manage meetings BSBADM503A Plan and manage conferences BSBADM504A Plan or review administration

systems BSBADM505A Manage payroll BSBADM506A Manage business document design

and development LEGAL SERVICES Certificate III BSALPP301A Apply knowledge of the legal system

to complete tasks BSALPP302A Carry out search of the public record BSALPP303A Deliver court documentation BSACS301A Apply the principles of confidentiality

and security within the legal environment

BSALR301A Handle receipt and despatch of information

BSALC301A Use legal terminology in order to carry out tasks

BSALO301A Assist in prioritising and planning activities in a legal practice

BSALF301A Maintain records for time and disbursements in a legal practice

Certificate IV BSALPP401A Prepare and produce complex legal

documents BSACS401A Provide non-legal advice BSALC401A Interact with other parties BSALC402A Research, locate and provide legal

and other information in response to requests

BSALF401A Maintain trust accounts BSALPL401A Provide support in Property Law

matters BSALPL402A Provide support in Family Law

matters BSALPL403A Provide support in Criminal Law

matters BSALPL404A Provide support in Commercial Law

matters FNAMERC03B Serve legal process BSALLG401A Arrange documents and list exhibits

for litigation support 206/01 Take instructions in relation to a

transaction 206/05 Prepare and execute documents CHCAD2A Support the interests, rights and needs

of clients within duty of care requirements

CHCCD7A Support community resources CHCCD3A Meet information needs of the

community CHCCD1A Support community participation Diploma BSALC501A Run a file BSALO501A Perform legal research and prepare

reports to meet identified needs BSALPP501A Obtain information from a client BSALPP502A Draft legally binding documents BSALLG501A Assist with the discovery process BSALLG502A Appear in court BSALLG503A Attend pre-trial negotiations BSALPL501A Cost complex files BSALPL502A Administer in-house mortgage

practice 206/04 Negotiate with others to achieve tasks

and goals 206/09 Finalise transaction CHCCD8A Support community action CHCCD13A Work within specific communities CHCCD11A Provide advocacy and representation PURCHASING Certificate III BSBPUR301A Purchase goods and services Certificate IV BSBPUR401A Plan purchasing BSBPUR402A Negotiate contracts BSBPUR403A Conduct international purchasing


© Australian National Training Authority 2004 Volume 3 Page xi BSB01 Business Services Training Package to be reviewed by 30/04/2006 Version 4

Diploma BSBPUR501A Develop, implement and review

purchasing strategies BSBPUR502A Manage supplier relationships BSBPUR503A Manage international purchasing BSBPUR504A Manage a supply chain MEDICAL ADMINISTRATION Certificate II BSBMED201A Use basic medical terminology BSBMED202A Follow OHS policies and procedures

in medical office Certificate III BSBMED301A Use advanced medical terminology BSBMED302A Prepare and process medical accounts BSBMED303A Maintain patient records BSBMED304A Assist in controlling stocks and

supplies BSBMED305A Apply the principles of

confidentiality, privacy and security within the medical environment

Certificate IV BSBMED401A Manage patient record-keeping

system BSBMED402A Control stocks and supplies BUSINESS INFORMATION SERVICES FIELD RECORDKEEPING Certificate III BSBRKG301A Control records BSBRKG302A Undertake disposal BSBRKG303A Retrieve information from records BSBRKG304A Maintain business records Certificate IV BSBRKG401A Review the status of a record BSBRKG402A Provide information from and about

records BSBRKG403A Set up a business or records system

for a small office BSBEBUS406A Monitor and maintain records in an

online environment Diploma BSBRKG501A Determine business or records

system specifications BSBRKG502A Manage and monitor business or

records systems BSBRKG503A Develop and maintain a

classification scheme BSBRKG504A Develop terminology for activities

and records BSBRKG505A Document or reconstruct a business

or records system

Advanced Diploma BSBRKG601A Define recordkeeping framework BSBRKG602A Develop recordkeeping policy BSBRKG603A Prepare a functional analysis for an

organisation BSBRKG604A Determine security and access rules

and procedures BSBRKG605A Determine records requirements to

document a function BSBRKG606A Design a records retention and

disposal schedule BSBRKG607A Document and monitor the record-

creating context BSBRKG608A Plan management of records over

time BUSINESS MANAGEMENT SERVICES FIELD SMALL BUSINESS MANAGEMENT Certificate III BSBSBM301A Research business opportunities Certificate IV BSBSBM401A Establish business and legal

requirements BSBSBM402A Undertake financial planning BSBSBM403A Promote the business BSBSBM404A Undertake business planning BSBSBM405A Monitor and manage business

operations BSBSBM406A Manage finances BSBSBM407A Manage a small team FRONTLINE MANAGEMENT Certificate III BSBFLM303B Contribute to effective workplace

relationships BSBFLM305B Support operational plan BSBFLM306B Provide workplace information and

resourcing plans BSBFLM309B Support continuous improvement

systems and processes BSBFLM311B Support a workplace learning

environment BSBFLM312A Contribute to team effectiveness Certificate IV BSBFLM403B Implement effective workplace

relationships BSBFLM405B Implement operational plan BSBFLM406B Implement workplace information

system BSBFLM409B Implement continuous

improvement BSBFLM412A Promote team effectiveness


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Diploma BSBFLM501B Manage personal work priorities

and professional development BSBFLM503B Manage effective workplace

relationships BSBFLM505B Manage operational plan BSBFLM506B Manage workplace information

systems BSBFLM507B Manage quality customer service BSBFLM509B Facilitate continuous improvement BSBFLM510B Facilitate and capitalise on change

and innovation BSBFLM511B Develop a workplace learning

environment BSBFLM512A Ensure team effectiveness BSBFLM513A Manage budgets and financial plans

within the work team BSBFLM514A Manage people GOVERNANCE (INDIGENOUS ORGANISATIONS) Certificate IV BSBATSIL401A Meet the roles and responsibilities

of a Board member (1) BSBATSIL402A Use the constitution BSBATSIC403A Maintain and protect culture BSBATSIM404A Use the business plan BSBATSIM405A Monitor financial management and

budgets BSBATSIM406A Manage assets BSBATSIM407A Plan for organisational needs BSBATSIL408A Manage a Board meeting BSBATSIL409A Manage time BSBATSIL410A Manage stress BSBATSIC411A Communicate with the community BSBATSIM412A Implement a business-like approach BSBATSIM413A Oversee business planning BSBATSIM414A Oversee the organisation’s annual

budget BSBATSIM415A Contribute to a positive and

culturally appropriate workplace BSBATSIW416A Obtain and manage consultancy

services BSBATSIW417A Select and utilise technology Diploma BSBATSIL501A Meet the roles and responsibilities

of a Board member (2) BSBATSIL502A Work with the manager BSBATSIL503A Manage conflict BSBATSIM504A Develop and implement

organisational policies BSBATSIM505A Control organisation finances BSBATSIM506A Develop employment policies BSBATSIM507A Establish and maintain a strategic

planning cycle BSBATSIL508A Be a community leader BSBATSIL509A Manage self as a Board member BSBATSIC510A Conduct a community meeting BSBATSIM511A Develop enterprise opportunities BSBATSIM512A Manage board competencies

BSBATSIM513A Oversee recruitment and induction of staff

BSBATSIW514A Represent your organisation BSBATSIW515A Secure funding STRATEGIC MANAGEMENT Diploma BSBMGT501A Market services and concepts to

internal customers BSBMGT502A Manage people performance BSBMGT503A Prepare budgets and financial plans BSBMGT504A Manage budgets and financial plans BSBMGT505A Ensure a safe workplace BSBMGT506A Recruit, select and induct staff BSBMGT507A Manage environmental

performance BSBMGT508A Manage risk management system BSBMGT509A Manage a knowledge management

system BSBMGT510A Determine needs of customer

populations BSBMGT511A Develop a business opportunity BSBMGT512A Manage relationships in a family

business BSBMGT513A Plan for family business succession BSBMGT514A Plan and manage growth in a

family business Advanced Diploma BSBMGT601A Contribute to strategic direction BSBMGT602A Contribute to the development and

implementation of strategic plans BSBMGT603A Review and develop business plans BSBMGT604A Manage business operations BSBMGT605A Provide leadership across the

organisation BSBMGT606A Manage customer focus BSBMGT607A Manage knowledge and

information BSBMGT608A Manage innovation and continuous

improvement BSBMGT609A Manage risk BSBMGT610A Manage environmental

management systems BSBMGT611A Develop risk management strategy BSBMGT612A Plan and implement a knowledge

management system BSBMGT613A Review and improve a knowledge

management system BSBMGT614A Develop and implement diversity

policy PROJECT MANAGEMENT Certificate IV BSBPM401A Apply scope management

techniques BSBPM402A Apply time management techniques BSBPM403A Apply cost management techniques BSBPM404A Apply quality management

techniques


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BSBPM405A Apply human resource management approaches

BSBPM406A Apply communications management techniques

BSBPM407A Apply risk management techniques BSBPM408A Apply contract procurement

techniques Diploma BSBPM501A Manage application of project

integrative processes BSBPM502A Manage project scope BSBPM503A Manage project time BSBPM504A Manage project costs BSBPM505A Manage project quality BSBPM506A Manage project human resources BSBPM507A Manage project communications BSBPM508A Manage project risk BSBPM509A Manage project procurement Advanced Diploma BSBPM601A Direct the integration of multiple

projects/programs BSBPM602A Direct the scope of multiple

projects/programs BSBPM603A Direct time management of

multiple projects/programs BSBPM604A Direct cost management of multiple

projects/programs BSBPM605A Direct quality management of

multiple projects/programs BSBPM606A Direct human resources

management of multiple projects/programs

BSBPM607A Direct communications management of multiple projects/programs

BSBPM608A Direct risk management of multiple projects/programs

BSBPM609A Direct project procurement and contracts of multiple projects/programs

FRANCHISING Certificate III BSBFRA301A Work within a franchise Certificate IV BSBFRA401A Manage compliance with franchisee

obligations and legislative requirements

BSBFRA402A Establish a franchise BSBFRA403A Manage relationship with franchisor BSBFRA404A Manage a multiple site franchise Diploma BSBFRA501A Establish a franchise operation BSBFRA502A Manage a franchise operation BSBFRA503A Manage establishment of new sites

or regions BSBFRA504A Manage relationships with

franchisees BSBFRA505A Manage closure of a franchise

QUALITY AUDITING Certificate IV BSBAUD401A Prepare for a quality audit BSBAUD402A Participate in a quality audit Diploma BSBAUD501A Initiate a quality audit BSBAUD502A Prepare to lead a quality audit BSBAUD503A Lead a quality audit BSBAUD504A Report on a quality audit

OHS Certificate IV BSBOHS401A Contribute to the implementation of

a systematic approach to managing OHS

BSBOHS402A Contribute to the implementation of the OHS consultation process

BSBOHS403A Identify hazards and assess OHS risks

BSBOHS404A Contribute to the implementation of strategies to control OHS risk

BSBOHS405A Contribute to the implementation of emergency procedures

BSBOHS406A Use equipment to conduct workplace monitoring

Diploma BSBOHS501A Participate in the coordination and

maintenance of a systematic approach to managing OHS

BSBOHS502A Participate in the management of the OHS information and data systems

BSBOHS503A Assist in the design and development of OHS participative arrangements

BSBOHS504A Apply principles of OHS risk management

BSBOHS505A Manage hazards in the work environment

BSBOHS506A Monitor and facilitate the management of hazards associated with plant

BSBOHS507A Facilitate the application of principles of occupational health to control OHS risk

BSBOHS508A Participate in the investigation of incidents

Advanced Diploma BSBOHS601A Develop a systematic approach to

managing OHS BSBOHS602A Develop OHS information and data

analysis and reporting and recording processes

BSBOHS603A Analyse and evaluate OHS risk BSBOHS604A Apply ergonomic principles to

control OHS risk


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BSBOHS605A Apply occupational hygiene principles to control OHS risk

BSBOHS606A Develop and implement crisis management processes

BSBOHS607A Advise on application of safe design principles to control OHS risk

BSBOHS608A Conduct an OHS audit BSBOHS609A Evaluate an organisation’s OHS

performance COMPLIANCE MANAGEMENT Certificate IV BSBCOM401A Organise and monitor the operation

of compliance management system BSBCOM402A Implement processes for the

management of breaches in compliance requirements

BSBCOM403A Promote and liaise on compliance requirements, systems and related issues

Diploma BSBCOM501A Identify and interpret compliance

requirements BSBCOM502A Evaluate and review compliance

BSBCOM503A Develop processes for the management of breaches in compliance requirements

BSBCOM504A Create a culture of compliance within an organisation

Advanced Diploma BSBCOM601A Research compliance requirements

and issues BSBCOM602A Develop and create compliance

requirements BSBCOM603A Plan and establish compliance

management systems HUMAN RESOURCES MANAGEMENT FIELD HUMAN RESOURCES Certificate IV BSBHR401A Administer human resource systems BSBHR402A Recruit and select personnel BSBHR403A Process human resource documents

and inquiries BSBHR404A Co-ordinate human resource

services BSBHR405A Implement industrial relations

procedures Diploma BSBHR501A Manage human resource

consultancy services BSBHR502A Manage human resource

management information systems

BSBHR503A Manage performance management systems

BSBHR504A Manage industrial relations policies and processes

BSBHR505A Manage remuneration and employee benefits

BSBHR506A Manage recruitment selection and induction processes

BSBHR507A Manage separation/termination BSBHR508A Manage work/life skills BSBHR509A Manage rehabilitation/return to

work programs BSBHR510A Plan mediation processes BSBHR511A Implement mediation processes BSBHR512A Manage industrial relations

initiatives BSBHR513A Manage industrial relations

disputes Advanced Diploma BSBHR601A Manage change BSBHR602A Manage human resource strategic

planning BSBHR603A Contribute to organisation

development BSBHR604A Manage employee relations BSBHR605A Contribute to organisation design ASSESSMENT AND WORKPLACE TRAINING Certificate IV BSZ401A Plan assessment BSZ402A Conduct assessment BSZ403A Review assessment BSZ404A Train small groups BSZ405A Plan and promote a training

program BSZ406A Plan a series of training sessions BSZ407A Deliver training sessions BSZ408A Review training Diploma BSZ501A Analyse competency requirements BSZ502A Design and establish the training

system BSZ503A Design and establish the assessment

system BSZ504A Manage the training and assessment

system BSZ505A Evaluate the training and

assessment system BSZ506A Develop assessment procedures BSZ507A Develop assessment tools BSZ508A Design training courses UNIONISM Certificate IV BSBUN401A Develop and implement an

organising plan BSBUN402A Empower members BSBUN403A Communicate with workers


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BSBUN404A Promote equality of opportunity and fair treatment for all members

BSBUN405A Promote the values, principles and policies of the union

BSBUN406A Undertake bargaining BSBUN407A Provide advice to union members

and undertake negotiations BSBUN408A Prepare cases for the union BSBUN409A Appear before tribunals and

represent members Diploma BSBUN501A Develop, manage and review

campaigns and projects BSBUN502A Represent the union in key forums BSBUN503A Coordinate case preparation and

research BSBUN504A Advocate and present cases for

members BSBUN505A Develop, implement and manage

union policy BSBUN506A Coordinate research and analysis EMPLOYMENT SERVICES Certificate IV BSBEMS401A Develop and implement business

development strategies to expand client base

BSBEMS402A Develop and implement strategies to source and assess candidates

BSBEMS403A Develop and provide employment management services to candidates

BSBEMS404A Manage the recruitment process for client organisations

BUSINESS DEVELOPMENT FIELD ADVERTISING Certificate IV BSBADV401A Profile a target audience BSBADV402A Conduct pre-campaign testing BSBADV403A Monitor advertising production BSBADV404A Schedule advertisements Diploma BSBADV501A Develop a creative concept BSBADV502A Write persuasive copy BSBADV503A Coordinate advertising research BSBADV504A Create advertisements BSBADV505A Evaluate and recommend ‘above

the line’ media options BSBADV506A Evaluate and recommend ‘below

the line’ media options BSBADV507A Develop a media plan BSBADV508A Present an advertising campaign Advanced Diploma BSBADV601A Create an advertising brief BSBADV602A Develop an advertising campaign BSBADV603A Manage advertising production BSBADV604A Execute an advertising campaign

BSBADV605A Evaluate campaign effectiveness MARKETING Certificate III BSBMKG301A Research the market BSBMKG302A Identify marketing opportunities BSBMKG303A Draft an elementary marketing

audit report BSBMKG304A Assist with market research Certificate IV BSBMKG401A Profile the market BSBMKG402A Analyse consumer behaviour for

specific markets BSBMKG403A Analyse market data BSBMKG404A Forecast market and business needs BSBMKG405A Implement and monitor marketing

activities BSBMKG406A Build client relationships BSBMKG407A Make a presentation BSBMKG408A Conduct market research Diploma BSBMKG501A Evaluate marketing opportunities BSBMKG502A Establish and adjust the marketing

mix BSBMKG503A Develop a marketing

communications plan BSBMKG504A Implement a marketing solution BSBMKG505A Review marketing performance BSBMKG506A Plan market research Advanced Diploma BSBMKG601A Develop marketing strategies BSBMKG602A Develop a marketing plan BSBMKG603A Manage the marketing process BSBMKG604A Develop and manage direct

marketing campaigns BSBMKG605A Evaluate international marketing

opportunities BSBMKG606A Manage international marketing

programs BSBMKG607A Manage market research SALES Certificate III BSBSLS301A Develop product knowledge BSBSLS302A Identify sales prospects BSBSLS303A Present a sales solution BSBSLS304A Secure prospect commitment BSBSLS305A Support post-sale activities BSBSLS306A Self-manage sales performance Certificate IV BSBSLS401A Lead a sales team


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E-BUSINESS FIELD e-BUSINESS Certificate III BSBEBUS301A Search and assess online business

information BSBEBUS302A Use and maintain electronic mail

system BSBEBUS303A Participate in a virtual community BSBEBUS304A Buy online BSBEBUS305A Sell online BSBEBUS306A Make payments online BSBEBUS307A Bank online BSBEBUS308A Maintain online business records BSBEBUS309A Undertake e-learning BSBEBUS310A Work effectively as an off-site

e-worker Certificate IV BSBEBUS401A Conduct online research BSBEBUS402A Implement e-correspondence

policies BSBEBUS403A Communicate electronically BSBEBUS404A Trade online BSBEBUS405A Conduct online financial

transactions BSBEBUS406A Monitor and maintain records in an

online environment BSBEBUS407A Review and maintain the business

aspects of a website BSBEBUS408A Implement and monitor delivery of

quality customer service online BSBEBUS409A Lead and facilitate e-staff Diploma BSBEBUS501A Evaluate e-business opportunities BSBEBUS502A Evaluate e-business models BSBEBUS503A Design an e-business BSBEBUS504A implement an e-business strategy BSBEBUS505A Implement new technologies for

business BSBEBUS506A Plan and develop a business website BSBEBUS507A Manage the business aspects of a

website BSBEBUS508A Build a virtual community BSBEBUS509A Implement e-business outsourcing

arrangements BSBEBUS510A Manage e-business outsourcing BSBEBUS511A Implement a knowledge

management strategy for an e-business

BSBEBUS512A Implement electronic communication policy

BSBEBUS513A Plan e-learning BSBEBUS514A Implement e-learning BSBEBUS515A Facilitate e-learning BSBEBUS516A Manage online purchasing BSBEBUS517A Manage online inventory BSBEBUS518A Manage an e-business supply chain BSBEBUS519A Manage online sales systems BSBEBUS520A Manage online payments systems

BSBEBUS521A Plan e-marketing communications BSBEBUS522A Conduct e-marketing

communications BSBEBUS523A Investigate and plan e-work

business solutions BSBEBUS524A Implement and manage e-working

arrangements Advanced Diploma BSBEBUS601A Develop an e-business strategy BSBEBUS602A Develop an action plan for an

e-business strategy BSBEBUS603A Evaluate new technologies for

business BSBEBUS604A Develop a business website strategy BSBEBUS605A Identify and implement e-business

innovation BSBEBUS606A Manage e-business risk BSBEBUS607A Develop e-business outsourcing

policy and guidelines BSBEBUS608A Develop and implement online

information policy BSBEBUS609A Develop a knowledge management

strategy for an e-business BSBEBUS610A Develop electronic communication

policy BSBEBUS611A Develop and implement e-business

human resource management policy and practices

BSBEBUS612A Develop and implement e-work policy and guidelines

BSBEBUS613A Develop online customer service strategies

BSBEBUS614A Build online customer loyalty BSBEBUS615A Use online systems to support

managerial decision-making BSBEBUS616A Plan an e-business supply chain INTERNATIONAL SERVICES FIELD INTERNATIONAL TRADE / BUSINESS Certificate III BSBINT301A Apply knowledge of the

international trade environment to complete work

BSBINT302A Apply knowledge of legislation relevant to international trade to complete work

BSBINT303A Organise the importing and exporting of goods

BSBINT304A Assist in the international transfer of services

BSBINT305A Prepare business documents for the international trade of goods

BSBINT306A Apply knowledge of international finance and insurance to complete work requirements

Certificate IV BSBINT401A Research international business

opportunities BSBINT402A Market goods and services

internationally


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BSBINT403A Research international markets BSBINT404A Implement international client

relationship strategies BSBINT405A Apply knowledge of import and

export international conventions, laws and finance

BSBINT406A Promote compliance with legislation

BSBINT407A Prepare business advice on export Free on Board Value

BSBINT408A Prepare business advice on the taxes and duties for international trade transactions

BSBINT409A Plan for international trade Diploma BSBINT501A Profile international markets BSBINT502A Analyse consumer behaviour for

specific international markets BSBINT503A Analyse data from international

markets BSBINT504A Forecast international market and

business needs BSBINT505A Build international client

relationships BSBINT506A Build international business

networks BSBINT507A Report on finances related to

international business BSBINT508A Promote products and services to

international markets IMPORTED UNITS FOR THE E-BUSINESS BLENDED QUALIFICATIONS ICAITAD043A Develop and present a feasibility

report ICAITAD051B Develop client user interface ICAITAD052B Design IT security framework ICAITAD053B Design system security and controls ICAITAD054B Validate quality and completeness

of design ICAITAD138A Determine acceptable solution

providers for e-business projects ICAITAD141A Design dynamic websites to meet

technical requirements ICAITAD146A Develop web site information

architecture ICAITAD147A Determine that data base

functionality and scalability suits business requirements

ICAITAD148A Identify new technology models for e-business

ICAITAD149A Implement quality assurance process for e-commerce solutions

ICAITAD150A Evaluate vendor products and equipment

ICAITAD151A Gather data to identify business requirements

ICAITAD152A Implement risk management processes

ICAITAD156A Review and plan for risk to e-commerce solution providers

ICAITAD157A Develop technical requirements for an e-commerce solution

ICAITAD158A Translate the business needs into technical requirements

ICAITB059A Develop detailed technical design ICAITB073B Pilot the developed system ICAITB074B Monitor the system pilot ICAITD208A Writing for the World Wide Web ICAITS108B Complete database backup and

recovery ICAITS116A Undertake capacity planning ICAITS119B Monitor and administer system

security ICAITS191A Maintain web site performance ICAITS194A Ensure basic web site security ICAITS199A Manage E-commerce websites ICAITS200A Monitor traffic and compile

specified site traffic reports ICAITS202A Ensure privacy for users ICAITS203A Choose a web hosting service ICAITSP039B Match the IT needs with the

strategic direction of the enterprise ICAITSP040A Manage and review contracts ICAITT183A Confirm accessibility of web site

design ICAITT184A Ensure site usability ICAITTW214A Maintain ethical conduct ICAITU127B Support system software ICAITU205A Select and employ software and

hardware multimedia tools CUFIMA01A Produce and manipulate digital

images CUFIMA04A Create 3D digital animation CUFIMA05A Create 3D digital models and

images CUFMEM06A Design a multimedia product CUFMEM07A Apply principles of visual design

and communication to the development of a multimedia product

CUFMEM08A Apply principles of instructional design to a multimedia product

CUFMEM10A Design and create a multimedia interface

CUFMEM11A Design the navigation for a multimedia product

CULLB412A Undertake cataloguing activities UNITS IMPORTED FROM OTHER TRAINING PACKAGES (SEE NOTE AT TOP OF TABLE ON PAGE 14) Diversity THHGLE09B Manage workplace diversity Employment Services CHCAD1A Advocate for clients CHCCS1A Deliver and monitor service to clients CHCCS401A Facilitate cooperative behaviour CHCES302A Work with government in a purchaser

provider relationship CHCES304A Deliver recruitment services CHCES305A Monitor New Apprenticeships

support services


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CHCES303A Work within a legal and ethical framework

CHCES402A Deliver New Apprenticeship support services

CHCES301A Work in Employment Services area CHCCAR501A Provide careers guidance CHCES303A Use labour market information CHCCM2A Establish and monitor a case plan CHCES406A Provide job search support CHCCM4A Promote high quality case

management CHCORG29A Provide coaching and motivation CHCCS2A Develop and deliver client service CHCCD12B Apply a community development

framework CHCCS3B Coordinate the provision of services

and programs CHCCS402A Respond holistically to client issues CHCCS5A Identify and address specific client

issues CHCCS405A Work effectively with culturally

diverse clients and co-workers CHCES405A Monitor service performance in a

purchaser provider relationship with government

CHCDIS18A Support people with disabilities as workers

CHCCS6A Assess and deliver services to clients with complex needs

CHCDIS9B Maximise participation in work by people with disabilities

CHCDIS8A Work with clients intensively CHCES502A Research and report on labour market

information CHCES401A Analyse and apply labour market

information CHCCS4A Manage the delivery of quality client

service CHCES403A Develop and monitor employment

plans CHCDIS11A Coordinate disability work CHCES404A Promote clients to employers CHCES501A Manage service delivery in a

purchaser-provider relationship with government

PSPGOV603A Develop a tender submission Purchasing LGACOM409A

Prepare tender documents

PSPPROC602A

Direct management of contracts

PSPPROC702A

Establish the procurement context


© Australian National Training Authority 2004 Volume 3 Page xix BSB01 Business Services Training Package to be reviewed by 30/04/2006 Version 4

Structure of BSB01 Volumes VVOOLLUUMMEE 11 VVOOLLUUMMEE 22AA VVOOLLUUMMEE 22BB VVOOLLUUMMEE 33 VVOOLLUUMMEE 44AA VVOOLLUUMMEE 44BB VVOOLLUUMMEE 44CC

Units of Competency

Units of Competency

Units of Competency

Units of Competency

Units of Competency

Units of Competency

Field: BUSINESS

ADMINISTRATION SERVICES

Field: BUSINESS ADMINISTRATION SERVICES

Field: BUSINESS INFORMATION SERVICES

Field: BUSINESS MANAGEMENT SERVICES



Introduction Qualification Guide Assessment Guidelines Domain: Domain: Domain: Domain: Domain: Domain: Legal Services

Medical Administration Purchasing

Specialist Administration

Recordkeeping Small Business Management Governance (Indigenous Organisations) Franchising Quality Auditing

Project Management Strategic Management Frontline Management

VVOOLLUUMMEE 44DD VVOOLLUUMMEE 55AA VVOOLLUUMMEE 55BB VVOOLLUUMMEE 66 VVOOLLUUMMEE 77 VVOOLLUUMMEE 88 Units of Competency

Units of Competency

Units of Competency

Units of Competency

Units of Competency

Units of Competency

Units of Competency

Field: COMMON BUSINESS


Field: HUMAN RESOURCE MANAGEMENT

Field: HUMAN RESOURCE MANAGEMENT

Field: E-BUSINESS Field: BUSINESS DEVELOPMENT

Field: INTERNATIONAL SERVICES

Domain: Domain: Domain: Domain: Domain: Domain: Domain: Common Occupational Health

& Safety Compliance Management

Human Resources Employment Services Unionism

Assessment and Workplace Training

E-Business Advertising Sales Marketing

International Trade International Business

[This domain will be replaced after the Training And Assessment Training Package is endorsed]


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Competency Standards The broad concept of industry competency concerns the ability to perform particular tasks and duties to the standard of performance expected in the workplace. Competency requires the application of specified skills, knowledge and attitudes relevant to effective participation in an industry, industry sector or enterprise. Competency covers all aspects of workplace performance and involves performing individual tasks; managing a range of different tasks; responding to contingencies or breakdowns; and, dealing with the responsibilities of the workplace, including working with others. Workplace competency requires the ability to apply relevant skills, knowledge and attitudes consistently over time and in the required workplace situations and environments. In line with this concept of competency Training Packages focus on what is expected of a competent individual in the workplace as an outcome of learning, rather than focussing on the learning process itself. Competency standards in industry Training Packages are determined by industry to meet identified industry skill needs. Competency standards are made up of a number of units of competency each of which describes a key function or role in a particular job function or occupation. Each unit of competency within a Training Package is linked to one or more AQF qualifications.

Contextualisation of Units of Competency by RTOs Registered Training Organisation (RTOs) may contextualise units of competency to reflect local outcomes required. Contextualisation could involve additions or amendments to the unit of competency to suit particular delivery methods, learner profiles, specific enterprise equipment requirements, or to otherwise meet local needs. However, the integrity of the overall intended outcome of the unit of competency must be maintained. Any contextualisation of units of competency in this endorsed Training Package must be within the bounds of the following advice. In contextualising units of competency, RTOs: • must not remove or add to the number and content of elements and performance criteria • may add specific industry terminology to performance criteria where this does not

distort or narrow the competency outcomes • may make amendments and additions to the range statement as long as such changes do

not diminish the breadth of application of the competency and reduce its portability, and/or

• may add detail to the evidence guide in areas such as the critical aspects of evidence or resources and infrastructure required where these expand the breadth of the competency but do not limit its use.

Components of Units of Competency The components of units of competency are summarised below, in the order in which they appear in each unit of competency.

Unit Title

The unit title is a succinct statement of the outcome of the specific unit of competency. Each unit of competency title is unique, both within and across Training Packages.


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Unit Descriptor The unit descriptor broadly communicates the purpose of the unit of competency and the skill area it addresses. Where units of competency have been contextualised from units of competency from other endorsed Training Packages, summary information about the relationship of the units of competency is provided in the unit descriptor.

Competency Field (Optional) The competency field either reflects the way the units of competency are categorised in the Training Package or denotes the industry sector, specialisation or function. It is an optional component of the unit of competency.

Application of the Competency The application of the competency fleshes out the scope, purpose and operation of the unit of competency in different contexts, for example its application in the workplace.

Elements of Competency The elements of competency are the basic building blocks of the unit of competency. They describe in terms of outcomes the significant functions and tasks that make up the competency.

Performance Criteria The performance criteria specify the required performance in relevant tasks, roles, skills and in the applied knowledge that enables competent performance.

Range Statement The range statement provides a context for the unit of competency, describing any variables that may apply in workplace situations.

Evidence Guide The evidence guide is critical in assessment as it provides information to the Registered Training Organisation (RTO) and assessor about how the described competency may be demonstrated. The evidence guide does this by providing a range of evidence for the assessor to make determinations, and by providing the assessment context. The evidence guide describes: • conditions under which competency must be assessed including variables such as the

assessment environment or necessary equipment • relationships with the assessment of any other units of competency • suitable methodologies for conducting assessment including the potential for workplace

simulation • resource implications, for example access to particular equipment, infrastructure or

situations • how consistency in performance can be assessed over time, various contexts and with a

range of evidence, and • the required underpinning knowledge and skills

Key Competencies All Training Packages require the integration of Key Competencies either in each unit of competency, or across a qualification, depending on industry needs and preferences. The Key Competencies were first defined in 1992 in the project report, Putting General Education to Work: The Key Competencies Report (Mayer Committee 1992). The skills and


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knowledge they describe are essential for effective workplace participation and involve the sorts of capabilities commonly used by employers as selection criteria. They underpin the ability of employees to adapt to technological, organisational, societal and functional change. The Key Competencies are generic, in that they apply to work in general, rather than to particular occupations or industries. They focus on the application of knowledge and skills in an integrated way in workplace situations. The seven Key Competencies are: 1 Collecting, analysing and organising information

The capacity to locate, sift and sort information in order to select what is required and to present it in a useful way, and evaluate both the information itself and the sources and methods used to collect it.

2 Communicating ideas and information The capacity to communicate effectively with others using the range of spoken, written, graphic and other non-verbal means of expression.

3 Planning and organising activities The capacity to plan and organise one’s own work activities, including making good use of time and resources, sorting out priorities and monitoring one’s performance.

4 Working with others in teams The capacity to interact effectively with other people both on a one-to-one basis and in groups, including understanding and responding to the needs of a client and working effectively as a member of a team to achieve a shared goal.

5 Solving problems The capacity to apply problem-solving strategies in purposeful ways, both in situations where the problem and the solution are clearly evident and in situations requiring creative thinking and a creative approach to achieve a desired outcome.

6 Using mathematical ideas and techniques The capacity to use mathematical ideas, such as number and space, and techniques such as estimation and approximation, for practical purposes.

7 Using technology The capacity to apply technology, combining the physical and sensory skills needed to operate equipment with the understanding of scientific and technological principles needed to explore and adapt systems.

Performance Levels There are three levels of performance defined within the Key Competencies. These are stand-alone levels and do not correspond to the AQF qualification levels. • Performance Level 1 is concerned with the level of competence needed to undertake

activities efficiently with sufficient self-management to meet the explicit requirements of the activity, and to make judgements about the quality of outcomes against established criteria.

• Performance Level 2 describes the competence needed to manage activities requiring

the selection, application and integration of a number of elements, and to select from established criteria to judge quality of process and outcome.


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• Performance Level 3 describes the competence needed to evaluate and reshape processes, to establish and use principles in order to determine appropriate ways of approaching activities, and to establish criteria for judging quality of process and outcome.

However, relating performance to the specific industry or workplace context may be more useful than interpreting the somewhat abstracted performance levels provided above. Where the Key Competencies are defined in the unit of competency, you will find them in a table, together with examples of their application, to help with assessment of their performance. Also, in evaluating the level of performance for the Key Competencies, consider the performance expectations at the AQF qualification level involved. Delivery and Assessment of Key Competencies The Key Competencies are integral to workplace competency, and, as such must be explicitly considered in the design, customisation, delivery and assessment of vocational education and training programs as represented diagrammatically below.

Competency Standards/

Competency

Learning Outcomes

Reflection

Workplace Activities

Assessment Strategies

Learning Strategies

Integration

of Key Competencies

BSB01 Business Services Training Package

Recordkeeping Competency Standards

CONTENTS

BSBRKG301A Control records ..............................................................................2

BSBRKG302A Undertake disposal ......................................................................11

BSBRKG303A Retrieve information from records................................................21

BSBRKG304A Maintain business records ...........................................................27

BSBRKG401A Review the status of a record ......................................................32

BSBRKG402A Provide information from and about records ................................36

BSBRKG403A Set up a business or records system for a small office ................43

BSBEBUS406A Monitor and maintain records in an online environment...............50

BSBRKG501A Determine business or records system specifications .................56

BSBRKG502A Manage and monitor business or records systems......................62

BSBRKG503A Develop and maintain a classification scheme ............................71

BSBRKG504A Develop terminology for activities and records ............................78

BSBRKG505A Document or reconstruct a business or records system ..............84

BSBRKG601A Define recordkeeping framework .................................................92

BSBRKG602A Develop recordkeeping policy......................................................98

BSBRKG603A Prepare a functional analysis for an organisation ......................104

BSBRKG604A Determine security and access rules and procedures ...............110

BSBRKG605A Determine records requirements to document a function ..........117

BSBRKG606A Design a records retention and disposal schedule ....................122

BSBRKG607A Document and monitor the record-creating context ...................128

BSBRKG608A Plan management of records over time .....................................133

BSBRKG301A Control records Recordkeeping

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BSBRKG301A Control records Unit Descriptor This unit describes the work required to classify, register, and

track records and information about records within a business or records system.

Competency Field Business Information Element Performance Criteria

1. Identify records for capture 1.1 Incoming material is categorised for records capture in accordance with organisational procedures

1.2 Activity documented by the record is identified from the elements of the record in accordance with organisational procedures

1.3 Area or action officer to which the record needs to be forwarded is identified from elements of the record, or its content, and in accordance with organisational procedures

1.4 Incoming material is assessed against organisational checklist for determining what material needs to be captured.

1.5 Material which does not need to be registered is dealt with in accordance with organisational procedures

1.6 Records on which action is complete are located, removed, or copied from the active business or records system, in accordance with organisational procedures

1.7 Where required by organisation procedures, the format/media of the record is modified in accordance with organisation requirements and procedures

2. Classify record(s) 2.1 The identified transaction/action/activity documented by the record is matched to the organisation’s classification scheme

2.2 The full classification and sentencing of the record is selected in accordance with the system’s rules and organisational procedures

2.3 The classified/sentenced record is linked to other records in the business or records system in accordance with the system’s rules and organisational procedures

2.4 Indexing points (cross reference terms) are selected for the record in accordance with the system’s rules and organisational procedures

Recordkeeping BSBRKG301A Control records

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Element Performance Criteria

3. Register record(s) 3.1 Unique identifier is selected for record in accordance with organisational procedures and business or records system rules

3.2 Record is registered into business or records system with title, description, details of record creator, immediate location and any other control information to fulfil the system requirements in accordance with organisational procedures and business or records system rules

3.3 Any physical dependencies or format of a record that will assist with its management over time are recorded in accordance with business or records system rules

3.4 Access and security status are determined in accordance with organisational procedures and documented in accordance with business or records system rules

3.5 Disposal class and status of the record is determined and recorded in accordance with the business or records system’s rules, and organisational procedures and schedules

3.6 Record is forwarded to its appropriate location, which is recorded, in accordance with the system rules and organisational procedures

3.7 The items identified for immediate destruction are separated from the rest of the body of records

4. Track record(s) 4.1 Unique identifier of record to be located is determined from request or instructions

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

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

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

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

4.6 All transactions on the business or records system are completed within the designated timeframe

5. Audit records against 5.1 Records are located with action officer and in



Element Performance Criteria predetermined criteria storage areas in accordance with supervisors

instructions

5.2 Records are audited against predetermined criteria in accordance with organisational procedures and quality program

5.3 Any discrepancies found are noted, and reported, in accordance with organisational procedures

Range Statement

The Range Statement provides advice to interpret the scope and context of this unit of competency, 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

Access status of records may be:

• confidential • high security (restricted) • open

Appropriate level may be: • item level • chronological group • series • business or records system

Quality assurance audit may be of part of, or all of, an organisation

Operating environment may be:

• under supervision • a team effort • solo



Range Statement

Record information to be updated may come from:

• supervisor • user • file transfer slips • action officers • results of quality assurance audit • requests

Record media may be: • electronic • paper-based • microform • graphic • mainframe • PC-based applications

Records may be registered (captured) into:

• current business or records systems • archival control systems • business systems • storage facilities systems

Records may be subject to special access conditions, arising from agreement with records creator or depositor, privacy or confidentiality considerations

Standard reports prepared from the business or records system may include:

• statistics • resubmits for following day • over due action reports • daily correspondence

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



Range Statement

Storage environment may be: • temperature controlled • dust free • air conditioned • fire secure • intrusion secure

Location of record may be: • on a server • on a remote drive • physical • digital

Disposal actions may include: • retention • destruction • conversion to other record formats • transfer

Criteria for audit may include: • location • unique identifier • content • titling • compliance with recordkeeping metadata standards /

requirements

Discrepancies may be reported to:

• colleague • supervisor • manager

Form of reporting may be: • written • oral • reconciliation statement

Evidence Guide

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 Statement.



Evidence Guide Critical Aspects of Evidence • Demonstrate ability to:

• Understand the processes of capture, classification, registration and tracking the location of records

• Identify activities documented by records and apply classifications schemes

• Record metadata accurately

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 principles and processes • Concepts of, and reasons for, effective records and

archives management • Knowledge and understanding of organisation’s

business, functions, structure, and culture • Organisation’s policies, strategies and procedures,

particularly those relating to records access and security

• Organisational recordkeeping environments and culture including locations and nature of transactions

• Organisation’s recordkeeping and information (including classification) systems



Evidence Guide

Underpinning Skills • Explaining and clarifying procedures • Understanding and interpreting instructions • Listening to, questioning, and clarifying information

requests • Managing own activities within a timeframe • Records management system and operation including

access and security for vital records • Systematic approach to work • Using judgement and discretion with confidential

information • Working systematically with accuracy and attention

to detail • Reading and comprehending/interpreting nature of

record content • Interpreting retention and disposal schedules • Interpreting and applying relevant access and security

rules and conditions • Accurately recording metadata • Writing reports where precise meaning is required • 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



Evidence Guide

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 NB: These levels do not relate to the Australian Qualifications Framework. They relate to the seven areas of generic

competency that underpin effective workplace practices.

Collect, analyse and organise information

Communicate ideas and

information

Plan and organise activities

Work with others and in

teams

Use mathematical

ideas and techniques

Solve problems Use technology

Level 1 Level 1 Level 1 Level 0 Level 1 Level 1 Level 1

Three levels of performance denote level of competency required to perform a task. 1. Perform 2. Administer 3. Design • Collecting, analysing and organising information – to register, track and record the

record within the guidelines of the organisation • Communicating ideas and information – in documenting the location of records • Planning and organising activities – in planning the classification and registration

activities • Working with teams and others – • Using mathematical ideas and techniques – in following a logical process to classify,

register and track the records • Solving problems – presented by discrepancies between actual and nominal record

locations • Using technology – to register and track the records within the organisation’s systems Please refer to the Assessment Guidelines for advice on how to use the Key Competencies

Recordkeeping BSBRKG302A Undertake disposal


BSBRKG302A Undertake disposal Unit Descriptor This unit describes the work involved in identifying which records

are subject to the disposal program and in safely transferring or securely disposing of the records.


1. Conduct a records survey 1.1 Users are consulted and clearly informed on methodology, reason and importance of survey activities in accordance with organisational procedures and culture

1.2 Required data about the records is gathered in accordance with the predetermined methodology and user requirements

1.3 Records which may satisfy the criteria for vital records are identified through consultation and are documented as vital in accordance with organisational procedures and the organisational vital records strategy

1.4 Relationship with the user is maintained to encourage co-operation and ensure smooth survey implementation

1.5 User and/or supervisor is informed of current status of survey to ensure the continuing appropriateness of the methodology and survey outcomes

1.6 Survey outcomes are presented in the format and within the timeframe specified by the supervisor

2. Assess records for disposal status

2.1 Resources needed to undertake the program are assembled in the location and at the time required

2.2 Records are assessed to determine • what disposal action can be undertaken

immediately, • whether records need to be sentenced or

reviewed, and • whether any records need to be appraised

2.3 Quality control measures are undertaken in accordance with organisational procedures to ensure consistency in determining disposal status and retention periods

3. Undertake disposal actions 3.1 Approval is sought from the appropriate individual/body for disposal actions

BSBRKG302A Undertake disposal Recordkeeping


Element Performance Criteria 3.2 Records which are no longer required for any

purpose are destroyed in accordance with approval and organisational procedures

3.3 Records which need to be kept for a further period are stored in accordance with legal obligations and organisational records storage requirements

3.4 Original vital records, and copies of vital records where applicable, are stored in accordance with organisational procedures and vital records strategy

3.5 All disposal actions are recorded and authorised in accordance with legal obligations and organisational procedures and business or records system rules

4. Maintain control of records 4.1 Disposal documentation is prepared by recording the unique identifiers of the records to be disposed of in a form compliant with the organisational rules and procedures for the transfer of custody, ownership and/or responsibility, or destruction of records

4.2 Records for transfer are prepared for movement in accordance with the requirements of their storage medium

4.3 Identifying documentation for transfer is retained as part of organisational records and a copy forwarded to the recipient

4.4 Where appropriate, transit locations for records to be moved are recorded in the location control system

4.5 Where appropriate, identifying documentation for destroyed records are maintained as part of organisational records

5. Transfer records 5.1 Method, timeframe and personnel to undertake the movement are determined in accordance with the organisation’s procedures and the records requirements

5.2 The relocation of the records is documented in the location control system and other systems in accordance with organisational procedures

5.3 The movement of the records is completed and documented in accordance with the organisation’s procedures

5.4 Where it is required, proof of receipt is obtained and forwarded to the appropriate authority




6. Destroy records 6.1 Method, timeframe, and personnel to undertake the destruction are determined in accordance with the organisation’s procedures and the records requirements

6.2 The destruction of the records is documented in the location control system and other systems in accordance with organisational procedures

6.3 The destruction of the records is completed and documented in accordance with legal requirements and the organisation’s procedures

6.4 The destruction of the records occurs under secure conditions

Range Statement






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



Range Statement

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



Range Statement

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



Range Statement

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



Range Statement

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 for disposal may include:

• administrative change • disposal action • change in accommodation • changes in systems



Evidence Guide


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




• 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



Evidence Guide

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,





Evidence Guide










information



teams

Use mathematical




Three levels of performance denote level of competency required to perform a task. 1. Perform 2. Administer 3. Design • Collecting, analysing and organising information – for input to the records survey • Communicating ideas and information – in recording disposal actions • Planning and organising activities – in organising and conducting consultation with

colleagues • Working with teams and others – in conducting consultations with colleagues • Using mathematical ideas and techniques – to record and organise survey information • Solving problems – presented by mismatches in recorded locations • Using technology – to track and control records Please refer to the Assessment Guidelines for advice on how to use the Key Competencies

Recordkeeping BSBRKG303A Retrieve information from records


BSBRKG303A Retrieve information from records Unit Descriptor This unit describes the work required to receive a request and

deliver the record or information about the record.

The procedures followed are generally well established.


1. Locate/retrieve records required

1.1 Search criteria are refined in consultation with user making request and keywords (or other control information) are identified to retrieve records

1.2 A systematic approach is taken to details that are difficult to determine

1.3 Sources are searched to retrieve records according to agreed criteria

1.4 Records are retrieved or located to match request

2. Ensure security of records 2.1 Person requesting the record is identified and access category confirmed in accordance with organisational procedures

2.2 Security and access clearance documents are

checked for match with category of identified person requesting the record

2.3 Where access is denied, the user is informed of the

denial in accordance with organisational procedures

3. Prepare reports from the business or records system

3.1 Where paper-based record is to be provided, it is retrieved from the storage location in accordance with business or records system procedures, organisational, and occupational health and safety procedures. Where electronic record is to be provided, a copy of the electronic record is delivered to the person making the request using available technology.

3.2 Where information about the record is to be

provided, it is given to the user, either verbally or by electronic means.

3.3 Client is kept informed of relevant matters, problems

are explained clearly and alternatives are suggested, in a timely way

3.4 Where required by the business or records system

procedures, records of the retrieval and use transaction are updated in accordance with

BSBRKG303A Retrieve information from records Recordkeeping


Element Performance Criteria organisational procedures

3.5 Where paper-based records are provided to the user,

the new locations are recorded in accordance with the system rules and organisational procedures

3.6 Record, or record information is delivered within the

specified timeframes Range Statement






Organisational procedures and recordkeeping system requirements may fall within the operation of:

• copyright act and amendments • licensing agreements • archives act • freedom of information legislation • equal opportunity legislation • privacy protection legislation

Organisational procedures and policies may include:

• security procedures • despatching and collecting procedures • enterprise formats • procedures for updating records

Request may be: • computer-generated • system-generated • e-mail • fax • internet request • written • verbal



Range Statement

Record control information may include:

• unique identifier • description • format • immediate location • details of the record creator • access and security status • disposal status

Electronic access may include: • e-mail • internet access • diskette • tape • CD Rom

Request may specify: • timeframe • format • cost details • specific content required

Evidence Guide


Critical Aspects of Evidence • Demonstrate ability to: • maintain accuracy in recording information • maintain positive relationship with user through

out the transaction



Evidence Guide




• Recordkeeping principles and processes including functional requirements for recordkeeping

• Understanding of the organisation’s business and structure

• Organisation's recordkeeping system and security procedures

• Organisation's access and security procedures • Use of finding aids • Principles of interpersonal communication • Methods to identify search criteria

Underpinning Skills • Accuracy • Providing an efficient response to information

requests • Operating appropriate equipment for records

movement • Technology skills including the ability to select and

use technology appropriate to a task • Communication skills to interpret requests and

provide information • Ability to relate to people from a range of social,






Evidence Guide











information



teams

Use mathematical




Three levels of performance denote level of competency required to perform a task. 1. Perform 2. Administer 3. Design • Collecting, analysing and organising information – To identify the requirements of the

request • Communicating ideas and information – To question and clarify request with user • Planning and organising activities – To work systematically in locating records • Working with teams and others – To interact with user • Using mathematical ideas and techniques – To work within, and maintain a systematic

approach • Solving problems – To locate required record or information when it is not readily

available • Using technology – To locate record and to record change to record location Please refer to the Assessment Guidelines for advice on how to use the Key Competencies

Recordkeeping BSBRKG304A Maintain business records


BSBRKG304A Maintain business records Unit Descriptor This unit describes the work required to maintain the records of a

business or records system in good order on a day-to-day basis. It includes the work to gather together records that are subject to business or records system updates, to perform those updates, and to retrieve reports from the system in response to a request.


1. Collate business records 1.1 Individual records which should be incorporated into the business or records system are identified according to organisational criteria

1.2 Information which should be recorded and incorporated into the business or records system is identified according to organisational criteria and recorded according to organisational procedures

1.3 Records are sorted in accordance with workplace requirements

1.4 Security and access requirements for records are adhered to in accordance with organisational procedures

2. Update business or records system

2.1 Control information required for describing the new records for incorporation into the business or records system is identified and recorded in accordance with system procedures

2.2 Control information describing movement or use of

records is updated within the business or records system in accordance with system procedures and workplace requirements

2.3 Control information in the business or records

system is recorded and updated accurately and within the timeframes set by the organisational procedures

2.4 Records of completed business activities are

identified and removed from the current system for disposal in accordance with system procedures and workplace requirements

3. Prepare reports from the business or records system

3.1 Request for reports is interpreted and clarification of content and frequency is sought where necessary

3.2 Reports are prepared from the business or records

system in accordance with instructions or request

BSBRKG304A Maintain business records Recordkeeping



3.3 Format and style of reports are in accordance with

organisational procedures

3.4 All reports from the business or records system are

prepared within workplace requirements and according to security and access procedures

Range Statement






Records may be: • an individual record (e.g., purchase orders, invoices or payment advices, timesheets, leave forms, job applications, electronic mail messages, items of correspondence)

• an entire group of records in any format, either paper-based or electronic

Technology used may be: • proprietary recordkeeping package • PC-based accounting systems, employee and tax

records systems • cash register-based systems • paper-based accumulation and card systems

Business records may relate to: • invoicing / sales • expenditure • human resource management • taxation, asset management • legislative / regulatory / licensing compliance • stock control • risk management • customer relationship management



Range Statement

Business or records systems may be:

• financial (payroll or employee records; customer and sales records; project-based)

• or they may be a central records system, correspondence-based, covering all business conducted in the workplace

Workplace requirements may include:

• timeframe for processing • disposal criteria identifying what items are kept and

what are discarded • numbering system or naming conventions for records • arrangements for disposal of records • occupational health & safety requirements

Security and access requirements may relate to individuals or the positions of individuals who may or may not be permitted to access certain records because of:

• security restrictions • protection of privacy • trade secrets or commercial in confidence information

Reports may be: • system management reports • ad-hoc reports • regular records management reports • part of a management solution for another support /

operational function

Format and style of report may be formal or informal and may be:

• computer-generated • hand-prepared

Evidence Guide


Critical Aspects of Evidence • Demonstrate ability to: • comply with organisational procedures and

workplace requirements • provide accurate information in response to

requests for records and reports • present requested information in acceptable

timeframe • understand business or records system’s

numbering system and description conventions

BSBRKG304A Maintain business records Recordkeeping


Evidence Guide




• Recordkeeping principles and processes including functional requirements for recordkeeping

Underpinning Skills • Good communication and interpretive skills • Ability to prioritise requests • Ability to interpret instructions and policies • Accurate data entry • Ability to relate to people from a range of social,














information



teams

Use mathematical




Three levels of performance denote level of competency required to perform a task. 1. Perform 2. Administer 3. Design • Collecting, analysing and organising information – in collating business records • Communicating ideas and information – in recording altered locations of business

records in the business or records system • Planning and organising activities – in arranging records in preparation for work • Working with teams and others – in taking instructions to prepare reports, in seeking

information • Using mathematical ideas and techniques – in working with the organisation’s

numbering / titling system • Solving problems – by applying criteria for choice of records, resolving secuity and

access requirements, in making decisions about disposal • Using technology – to find relevant information about the records Please refer to the Assessment Guidelines for advice on how to use the Key Competencies

BSBRKG401A Review the status of a record Recordkeeping


BSBRKG401A Review the status of a record Unit Descriptor This unit describes the work involved in reviewing and

documenting the changing context and status of records which have previously been appraised as having temporary or on-going value, and identified as requiring conditions imposed on granting access to them.


1. Identify classes of records justifying review

1.1 A list of the criteria to be met by the records to be reviewed is compiled

1.2 The criteria are applied to the records in the subject jurisdiction and the records meeting the criteria are identified and documented

2. Determine appraisal or control status of records

2.1 Any disposal authority, disposal class references and any access conditions are identified for records in accordance with industry practice

2.2 Those records for which neither a disposal authority or access restriction exists are identified and documented in accordance with industry practice

3. Recommend changes to existing disposal authorities and access conditions

3.1

Copies of related appraisal reports and access conditions are assembled for analysis

3.2 Comparisons are made and notes are taken of any

anomalies arising from the comparison

4. Prepare new appraisal reports

4.1 New appraisal reports are prepared including reference to the criteria justifying the review

4.2 New interpretations of existing access criteria are

made in the light of the criteria justifying the review 4.3 The new appraisals and access interpretations are

exposed to appropriate stakeholders for comment and submitted for approval

5. Implement recommendations and re-interpretations

5.1 Methodology for implementation is prepared and the necessary resources are assembled

5.2 The revised disposal authorities and access conditions are produced and promulgated

Recordkeeping BSBRKG401A Review the status of a record


Element Performance Criteria 5.3 Notes are taken throughout implementation to record

progress and any issues or implications arising from the revised disposal authorities and access conditions

5.4 A record of the implementation and its outcomes is made and captured into the organisation’s business or records system

Range Statement






Criteria for review may include:

• previously unused means of extracting data from a particular record may increase their value

• a particular subject becomes of political, educational, scientific, sociological etc. interest

• a voluminous record is not used sufficiently frequently to justify the resources its preservation consumes, records may be deemed so sensitive that they may never be used for research

Existing records appraisal reports and access policies should be available for reference

Examples of anomalies might include such events as:

• changes to legislation such as Census Records becoming publicly accessible

• new technology having been developed to enable more information to be extracted from X-ray film

• the citizenship status of indigenous people may change granting them different rights from what existed previously

• government policy on societal values may see the value of records officially changed by decree

BSBRKG401A Review the status of a record Recordkeeping


Evidence Guide


Critical Aspects of Evidence • Demonstrate ability to: • understand issues requiring a review of records • anticipate the recordkeeping implications of a

review of the disposal status of records


demonstrate understanding of a broad knowledge base incorporating some theoretical concepts.


• Organisation’s functions, structure and culture • Organisation’s policies and strategies • Recordkeeping principles and processes

Underpinning Skills • Analysing process functions and problems • Documenting complex relationships and processes • Assembling and documenting documentation,

verbally delivered information, and observed behaviours

• Communicating complex relationships and processes effectively to users and management

• Identifying and viewing component parts as integral elements of the whole system

• Using tools and techniques to solve problems • Ability to relate to people from a range of social,




Recordkeeping BSBRKG401A Review the status of a record


Evidence Guide









information



teams

Use mathematical




Three levels of performance denote level of competency required to perform a task. 1. Perform 2. Administer 3. Design • Collecting, analysing and organising information – in bringing together the relevant

details of the disposal authorities and access conditions • Communicating ideas and information – in preparing a project brief and report for the

analysis • Planning and organising activities – to gather the resources required from a range of

locations for the analysis • Working with teams and others – to determine the criteria and the historical contexts of

the records • Using mathematical ideas and techniques – to undertake an analysis of the records and

their changing contexts over time • Solving problems – presented by conflicting indicators during the research and analysis

phase • Using technology – to find relevant information about the records Please refer to the Assessment Guidelines for advice on how to use the Key Competencies

BSBRKG402A Provide information from and about records Recordkeeping


BSBRKG402A Provide information from and about records Unit Descriptor This unit describes the work required to respond as effectively as

possible to enquiries from potential users of records, for information about the records, or for information that might be obtained from them. This includes processes for giving enquirers access to records.


1. Identify range of records required

1.1 The specific information and/or search criteria required by the user is identified from interpretation of the user’s request and clarified where initial request is unclear

1.2 The range of records likely to contain the information required by the user are identified from analysis of the request

1.3 The availability of the required records is ascertained using appropriate finding aids and records systems

1.4 Where the information is not available to the staff member, the request is referred to the appropriate source

2. Gather required records 2.1 Range of records likely to contain the information required by the user are obtained and analysed for the required information content

2.2 Where extraction of information is required, this is done in accordance with access rules, and information prepared in line with the request

2.3 Specific records satisfying the requirements are gathered together in accordance with organisational procedures

2.4 Records are tracked to record change in location and use in accordance with the business or records system rules and organisational procedures

2.5 Any obstacles to obtaining specific records within the specified time are explained to the user and a revised timeline agreed

2.6 Where records cannot be located, other possible sources are searched where appropriate

3. Interpret and administer access rules and procedures

3.1 Person requesting the record is identified and access category confirmed in accordance with organisational procedures

Recordkeeping BSBRKG402A Provide information from and about records


Element Performance Criteria 3.2 Access restriction rules and guidelines are applied to

the records requested and to match the access category of the requester

3.3 Where access restriction rules and guidelines prevent access to the requester, the decision is recorded and the requester is informed of her/his rights to review of the decision

3.4 Where partial restriction to access is determined, the portions of the records or information which must be restricted are identified and documented, together with the basis of the restriction

4. Provide the required information and/or records

4.1 Where appropriate, specific records, or portions thereof, are masked to prevent access, in accordance with access rules and organisational procedures

4.2 Requested information is prepared for the requester in an appropriate format and in accordance with the initial request and organisational procedures

4.3 All access rules, record preservation requirements, and specified timelines are adhered to

4.4 The records retrieved and used to provide information are documented according to the system rules and organisational procedures

4.5 Where required by the business or records system, records of the transaction are documented in accordance with business or records system operation and organisational procedures

4.6 Where records are provided to the user, the new locations are recorded in accordance with the system rules and organisational procedures

4.7 Record, or record information, is delivered within the specified timeframes

Range Statement




Range Statement Legislation, codes and national standards relevant to the workplace which may include:




Boundaries of requests under Freedom of Information legislation and precedents may need to be considered

Interpretation of access clearances and privacy restrictions for records within particular levels of access and associated security releases may be required

Reason for the request may include:

• request under Freedom of Information legislation • subpoena search • discovery search • operational/research searches

Requests for information from records may need to conform with legislative and/or organisational requirements

Records may be registered (captured) into:

• current business or records systems • archival control systems • business systems • storage facilities systems

Records likely to contain the required information may include:

• organisation’s records and archives holdings • internal or external collections • databases

Tools to ascertain the availability of records may include:

• finding aids • microforms • indexes • databases



Range Statement

Obstacles to obtaining some records may include:

• reluctance of individuals or organisations to provide records

• remoteness of location • cost • inaccurate finding aids • transaction of standard recordkeeping practices, such

as disposal

Appropriate format for provision of information may include:

• original • copy of original • hard or soft copy of original • digital • permission to view information/record

Organisational procedures and policies may include:

• security procedures • despatching and collecting procedures • enterprise formats • procedures for updating records

Request may be: • written • verbal • computer-generated • system-generated

Evidence Guide


Critical Aspects of Evidence • Demonstrate ability to: • meet legislative and organisational security and

access requirements • meet requestor’s needs as completely as possible • provide the records or information within an

acceptable timeframe • document the transaction according to

organisational procedures



Evidence Guide




• How to conduct a reference interview • Knowledge and understanding of organisation’s

business functions and structure (past and present) • Organisation’s policies, strategies and procedures,

particularly those in relation to records access and security

• Construction and use of language in the organisation (past and present)

• Organisational recordkeeping practice, environment, culture, and systems (past and present)

• The nature and use of finding aids

Underpinning Skills • Responding efficiently to information requests • Researching and organising information for

customers • Listening to, questioning, and clarifying information

requests • Using sensitivity when dealing with customer needs • Using judgement and discretion with confidential

information • Interpreting and applying relevant legislation,

regulations, standards, and access and security rules and conditions

• Interpreting complex recorded information • Reading and comprehending/interpreting nature of

record content • Interpreting criteria for application to the record • Writing reports where precise meaning is required • Records management system and operation including

access and security for vital records • Working systematically with accuracy and attention

to detail • Ability to relate to people from a range of social,




Evidence Guide











information



teams

Use mathematical






Three levels of performance denote level of competency required to perform a task. 1. Perform 2. Administer 3. Design • Collecting, analysing and organising information – from the content and the metadata

of the records • Communicating ideas and information – with those requesting information from and

about records • Planning and organising activities – in planning to undertake the necessary research • Working with teams and others – in clarifying the nature of the request • Using mathematical ideas and techniques – to work logically through the process of

finding the required information • Solving problems – presented by access rules and procedures • Using technology – to search, track and find the required records Please refer to the Assessment Guidelines for advice on how to use the Key Competencies

Recordkeeping BSBRKG403A Set up a business or records system for a small office


BSBRKG403A Set up a business or records system for a small office

Unit Descriptor This unit describes the work required to research the recordkeeping requirements, develop and implement a business or records system for a small office (e.g. micro business, branch / regional office). This requires considerably less formality than for a large organisation and is undertaken by a single person. In most cases recordkeeping is only a part of this person’s responsibilities.


1. Identify the business and resources of the office

1.1 The core business and supporting activities (organisational functions) of the organisation are identified from observation and consultaiton and are documented

1.2 The industry sector in which the organisation

operates and industry-specific reporting requirements are identified and documented

1.3 The human resource availability for the business or

records system operation and maintenance is identified for input to analysis

1.4 The technological and physical resource availability

for purchase / development, location, and operation of the business or records system(s) is identified for input to analysis

2. Describe the business context

2.1 The legislation and regulations applicable to the organisation and industry sector are identified and documented

2.2 The business and social context of the organisation is

identified and documented and any specific expectations of its clients or other stakeholders identified

2.3 The security and access requirements for business or

records system content are determined from analysis of the organisation’s activities

2.4 All reporting and accountability requirements of the

organisation are analysed from the business context documentation

3. Determine the recordkeeping requirements

3.1 The organisational functions for which records must be kept are identified from analysis of the business and context documentation

BSBRKG403A Set up a business or records system for a small office Recordkeeping



3.2 The nature, detail, and format of the records (content

and metadata) for each of the organisation’s functions are determined from the analysis of the business and its context

3.3 The security and privacy protection restrictions

applying to the records are identified and documented as part of the metadata

4. Devise an appropriate recordkeeping system

4.1 The metadata needed to manage (for storing, locating and retrieving) the records in a business or records system are determined

4.2 The scale, and number of the business or records system(s) selected are appropriate to the scale and nature of the business operations

4.3 The technological requirements of the business or

records system(s) selected are appropriate to the scale and nature of the business operations

4.4 The cost structure for the business or records

system(s) selected is appropriate to the scale, nature, and cash flow requirements of the organisation

4.5 The maintenance, disposal and updating

requirements of the business or records system conform to the scale, nature, and culture of the organisation

4.6 The business or records system selected is suited to

the projected growth of the organisation

5. Develop business rules and procedures to support the operations

5.1 Rules for incorporating individual records and recording information (records capture) into the business or records system are developed

Rules for deciding and recording retention periods and appropriate disposal actions for records are developed

5.2 Procedures for the use of the system are developed and documented in a format, style, and language appropriate for the scale, nature and culture of the organisation, and for the number of operators who use the system

5.3 Training / instruction in the use of the business or records system is provided to system users in line with the culture and scale of the organisation



Range Statement






Business / organisation may be: • small / micro business • branch / regional office of a larger organisation • technical / operations centre for a larger organisation

Consultation may be with the organisation’s:

• principals • head office • staff • local management

Documentation may be formal or informal and may be:

• diagrammatic • text • hand written • paper-based manual • on line instructions or computer-based update-able

format

The business and social context of the organisation may identify:

• the legal framework and industry standards which regulates its operations

• accountability requirements both internal and external • the internal and external stakeholders whose interests

must be taken into account • the social and ethical standards the community

expects the organisation should meet • codes of ethics, codes of professional conduct

specific to its industry sector



Range Statement

Organisational functions / activities that may be documented may include:

• invoicing / sales • purchasing/ expenditure • human resource management • asset management • legislative / regulatory / licensing compliance • stock control • conventional and e-mail correspondence • risk management • customer relationship management • marketing and promotion • research and development

Legislative and regulatory requirements may include the following matters:

• goods and services tax collection • business activity reporting • business and income ( PAYE) taxation • corporation law reporting requirements • superannuation • occupational health and safety • industrial relations • environmental protection and waste management • privacy protection • statutory access rights and freedom of information

Regulatory requirements may be documented in:

• Federal, state and local government laws and regulations or rules

• technical standards • international or national standards • industry codes of practice for self-regulation

Technology used may be: • proprietary recordkeeping package • PC-based accounting systems, employee and tax

records systems • cash register-based systems • paper-based accumulation and card systems



Range Statement

Metadata are those records which are maintained about the records themselves and may include:

• unique identifiers for each record • identity of the record’s creator • security and access information • record format • date, time, and location of the record’s creation /

registration into the system • indexing and descriptive terms • activity classification terms

Reporting requirements may for:

• larger organisation • local branch of the organisation • legal / regulatory compliance • social obligation • internal management needs

Evidence Guide


Critical Aspects of Evidence • Demonstrate ability to: • synthesise business activity and reporting

requirements into records requirements • translate records requirements into a system

specification




• Organisation’s functions, structure and culture • Organisation’s policies and strategies • Internal controls • Recordkeeping principles and processes including

functional requirements for recordkeeping • Organisation’s technological base



Evidence Guide

Underpinning Skills • Consulting with practitioners, staff members, customers, and others to elicit relevant information for analysis


• Analysing and synthesising documentation, verbally delivered information, and observed behaviours

• Analysing process functions and problems • Researching and analysing organisation requirements

for recordkeeping • Interpreting and applying relevant legislation,

regulations and standards • Ability to relate to people from a range of social,














information



teams

Use mathematical




Three levels of performance denote level of competency required to perform a task. 1. Perform 2. Administer 3. Design • Collecting, analysing and organising information – in analysing the content and

structure of the records required for the organisation’s functions • Communicating ideas and information – in explaining the operation of the business or

records system to its users • Planning and organising activities – in collecting and organising the information for

analysis • Working with teams and others – in introducing the new system • Using mathematical ideas and techniques – in assessing and analysing the system

requirements for the organisation • Solving problems – presented by aligning the requirements of the system with the

requirements of the users • Using technology – in developing and implementing an appropriate system Please refer to the Assessment Guidelines for advice on how to use the Key Competencies

BSBEBUS406A Monitor and maintain records in an online environment Recordkeeping


BSBEBUS406A Monitor and maintain records in an online environment

Unit Descriptor This unit covers the identification and assessment of records for storage and the maintenance and monitoring of electronic business records.

Competency Field Business Information Services Element Performance Criteria

1. Confirm requirements for record keeping in an online environment

1.1 Organisational record keeping system is identified and system procedures for capturing and managing records are confirmed

1.2 Legal, bus Organisational and risk management

requirements for classifying and storing online information are identified and verified

1.3 Business, financial, socio-historical, and security

requirements for recording online business transactions are identified

1.4 An organisational checklist is prepared in accordance

with organisational requirements for use in assessing which electronic information should be captured, for how long and in what format

2. Identify and assess records for storage

2.1 Incoming and outgoing information is categorised in terms of key activities and responsible personnel

2.2 Information is assessed against organisational

checklist and records identified for capture

2.3 Information not to be stored is disposed of in

accordance with organisational procedures

2.4 Storage methods and media are determined in

accordance with retention requirements

3. Monitor and maintain business records in an online environment

3.1 Records are classified, sentenced and linked to other records in the system in accordance with system rules and organisational procedures

3.2 Unique identifiers are assigned and records are

registered into the record keeping system in accordance with system rules and organisational procedures

3.3 Records are maintained in a usable and accessible

form in accordance with security conditions and legislative requirements

3.4 Access and security status, and disposal

requirements of records are determined and recorded in accordance with organisational procedures

Recordkeeping BSBEBUS406A Monitor and maintain records in an online environment



3.5 Records are stored on required media in accordance

with organisational and record retention requirements

3.6 Migration of records from one medium to another is

carried out in accordance with organisational procedures

3.7 Archiving or disposal of records is actioned and

recorded in accordance with disposal schedule and organisational procedures

Range Statement


Legislation, codes and national standards relevant to the workplace may include:

• award and enterprise agreements • national, State/Territory legislative requirements

especially in regard to Occupational Health and Safety

• industry codes of practice and standards • Government State/Territory/Commonwealth

standards • Freedom of Information Acts • public Records Acts (State/Territory/Commonwealth) • OECD International Guidelines for Consumer

Protection in E-Commerce • copyright laws particularly in relation to digital

material (ie digital amendment) • privacy legislation • intellectual property, confidentiality requirements • legal and regulatory policies affecting business in

general and e-business in particular • records, archive management and disposal laws • legal deposit requirements (libraries) ie copies of all

published documents are usually required to go to libraries

• AS4390 Records Management • AS9000 Quality Standards – quality records sections

Risk management requirements may include:

• policy and procedures for checking the accuracy and currency of data



Range Statement • backup and recovery procedures • secondary storage requirements • remote storage for backup data

Organisational requirements may include:

• legal • business • financial • socio-historical • security

Storage may include: • online • off-line • on-site • off-site • outsourced • migration of records from one medium to another eg

tape to compact disc

Storage media may include: • server • hard drive • diskette • computer tape • audiotape • film • video • compact disc • imaging systems • audiovisual • multimedia • mainframe • microform • paper based

Retention requirements may include:

• remote storage of backup data in case of fire or other incidents

• long term storage media for information / records • most cost-effective storage media for ephemeral or

short term records

Access and security status may include:

• confidential • high security (restricted)



Range Statement • open

Migration of records may include:

• from tapes, which may deteriorate over time • from about-to-be superseded media eg 5-inch disks

Disposal of records may include:

• permanent deletion from electronic media • destruction of paper based records eg shredding

Evidence Guide


Critical Aspects of Evidence • Integrated demonstration of all elements of competency and their performance criteria

• Record keeping / information management principles and processes

• Knowledge of organisational record keeping system, and policy and procedures relating to record keeping in an online/business environment

• Access and security issues relating to record keeping in a business environment

Underpinning 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

• Internet / World Wide Web • Information technology skills related to record

keeping • Record keeping / information management principles

and processes • Organisational record keeping system • Online record keeping environment including

location and nature of transactions • Policy and procedures relating to record keeping in an

online environment including risk management • Access and security issues • Legal and regulatory requirements

Underpinning Skills • Computer skills especially relating to record keeping

systems



Evidence Guide • Organisational skills especially attention to detail • Literacy skills for reading and interpreting

information and content of records, retention and disposal schedules, and access/security conditions, and for preparing checklist and schedules

• Communication skills to identify organisational requirements for record keeping in an online environment

• Ability to relate to people from a range of social, cultural and ethnic backgrounds and physical and mental abilities



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 of Variables










information



teams

Use mathematical




Three levels of performance denote level of competency required to perform a task. 1. Perform 2. Administer 3. Design • Collecting, analysing and organising information – to maintain records in an online

environment • Communicating ideas and information – to prepare checklist and schedules • Planning and organising activities – to classify, register and store records • Working with teams and others – to access all incoming and outgoing information • Using mathematical ideas and techniques – to interpret disposal schedules • Solving problems – in determining status of records • Using technology – to maintain records in an online environment Please refer to the Assessment Guidelines for advice on how to use the Key Competencies

BSBRKG501A Determine business or records system specifications Recordkeeping


BSBRKG501A Determine business or records system specifications

Unit Descriptor This unit describes the work that is required to determine the recordkeeping specifications of a business or records system, and its procedures and guidelines for a whole function; it is scalable up to the business or records system for a whole organisation or down to activities within a function. It may also be used for the review of the specifications, procedures and guidelines.


1. Review the existing business or records system

1.1 The existing records system is reviewed to identify its essential elements, changes and failings over failures relating to past operations

1.2 Existing procedures are examined to assess currency

and identify gaps and non-compliance issues

1.3 The users of the system are identified and consulted

regarding their requirements and views on the current system

1.4 The current volumes of records and their usage are

assessed to determine whether they need to be converted to the new system of control or otherwise linked to the new system

1.5 The current system technology is assessed to

determine whether it should be upgraded or replaced to meet current need

1.6 The findings of the review and the recommendation

for changes are documented in accordance with organisational standards

2. Develop the system specifications for managing the function’s records

2.1 The contents and structure of the records required for the function are analysed to identify the classifications and terms for titling and describing the records, and documented

2.2 The metadata required to identify, control and link the records are identified and documented in accordance with the applicable technology

2.3 The metadata and records of recordkeeping transactions processed by the new system are identified and documented

2.4 The metadata for controlling the records of the function in the old system are mapped to the metadata for the new and a specification for

Recordkeeping BSBRKG501A Determine business or records system specifications


Element Performance Criteria conversion prepared where appropriate

2.5 The classifications, descriptive terms, and all metadata sets and mapping are developed into a systems specification appropriate for the selected technology in accordance with organisational standards

3. Develop the procedures and guidelines for capturing and controlling the records in the new system

3.1 The rules developed for identifying the transactions of the function to be documented are reviewed and customised in line with the users’ requirements, the new system and selected technology

3.2 Guidelines for applying the classifications and descriptive terms for the records of the transactions are developed in accordance with organisational best practice and documented

3.3 Procedures for identifying and recording the disposal status and access classification of the records of the transactions are prepared and documented

3.4 Procedures for registering records of the transactions and recording the recordkeeping transactions controlling them are prepared in line with the identified user requirements and the new system and documented

3.5 The procedures for classification, capture, registration and control of the records in the new system are circulated to the users for review and comment

3.6 The final version of the new system’s specification, procedures and guidelines are documented according to organisational standards and submitted to the appropriate authority for approval

Range Statement The Range Statement provides advice to interpret the scope and context of this unit of competency, 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:







Range Statement

Function may be: • core business activities (operational) • support function (e.g.: financial, personnel, asset

management or correspondence business or records system)

The new system may be developed from a review of an existing system, or occasioned by:

• changes to the function or activities • changes in organisational structures • technological changes or changes in regulatory

requirements

Technological change may require:

• complete or partial conversion of old system’s records to new format

• medium or wholesale migration of old records and their recordkeeping histories to a new system (migration)

Classification capture, and/or registration rules and procedures may include:

• procedures for decisions to create a record • identifying and classifying the transactions for access

and/or disposal status • attaching recordkeeping metadata including

numbering or other unique identifiers • applying thesaurus terms and functional

classifications

Recordkeeping transactions processing the records in the system include:

• all location • tracking • retrieval • read-only use • review of status (sentencing and access status) and

disposal transactions

Metadata may include: • unique identifiers and other registration data • creating context data • classification (access, functional, disposal status) data • indexing and retrieval data • location, movement and use data, • For example, document name or title; text description

or abstract; date of creation; date and time of communication and receipt; author; sender; recipient; physical form; links to related records documenting the same sequence of business activity; business system from which the record was captured; application software and version under which the



Range Statement record was created or in which it was captured; standard with which the records structure complies (e.g. Standard Generalised Markup Language (SGML)); details of embedded document links including applications software and version under which linked record was created; templates required to interpret document structure; and other structural and contextual information useful for management purposes; terms and conditions of access and disposal; use history; terms and conditions of access and disposal history

Users may be: • workers processing business transactions in the system

• other employees internal to the organisation or external

Evidence Guide 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 Statement.

Critical Aspects of Evidence • Ability to synthesise changes in organisational context and users’ needs to determine new records requirements should be demonstrated

• A thorough knowledge of, and skills in identifying, metadata for recording recordkeeping transactions and controlling records should be demonstrated

• Ability to document and update procedures across a whole system, or organisation should be demonstrated

• A thorough knowledge of and skills in identifying metadata for recording recordkeeping transactions and controlling records should be demonstrated


demonstrate understanding of a broad knowledge base incorporating theoretical concepts, with substantial depth in some areas.


• Organisation’s functions, structure and culture • Organisation’s policies and strategies • Internal controls • Recordkeeping principles and processes including

functional requirements for recordkeeping • Recordkeeping terminology



Evidence Guide • Familiarity with organisation’s classification scheme

and language • Organisation’s rules for the capture, access, use and

maintenance • Segregation of duties • Workflow principles and practices • Familiarity with recordkeeping software applications

Underpinning Skills • Communicating complex relationships and processes effectively to users and management

• Consulting with practitioners, staff members, customers, and others to elicit relevant information for analysis



• Documenting complex relationships and processes • Preparing, compiling and writing complex documents

and reports • Analysing process functions and problems • Negotiating to achieve suitable results for the

organisation’s recordkeeping practices • Researching and analysing organisation requirements

for recordkeeping • Auditing and monitoring use of the business or

records system • Preparing and writing correspondence for both

internal and external customers • Using tools and techniques to solve problems • Ability to relate to people from a range of social,




Context/s of Assessment • Competency is demonstrated by performance of all stated criteria, including paying particular attention to the



Evidence Guide 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







information



teams

Use mathematical





structure of the records required for the organisation’s functions • Communicating ideas and information – in presenting the results of the review • Planning and organising activities – in arranging consultation with the users of the

system • Working with teams and others – in consulting with the users of the system • Using mathematical ideas and techniques – in assessing and analysing the usage

volumes of the records • Solving problems – presented by aligning the requirements of the system with the

requirements of the users • Using technology – in working closely with the requirements of the system Please refer to the Assessment Guidelines for advice on how to use the Key Competencies

BSBRKG502A Manage and monitor business or records systems Recordkeeping


BSBRKG502A Manage and monitor business or records systems

Unit Descriptor This unit describes the work involved in setting the operational frameworks for all record creation, capture, use and monitoring activities within the business or records system of a specific business domain. It may also be used to review these frameworks and activities.


1. Develop key performance indicators for recordkeeping activities including compliance with system rules, standards and procedures

1.1 Measurable performance indicators are developed for recordkeeping activities from the strategic plan in conjunction with those who will undertake the specific tasks based upon recordkeeping responsibilities and the business or records system in place

1.2 The recordkeeping responsibilities of individual personnel/organisational units are identified and documented

1.3 Acceptable range of variation for compliance is determined based upon recordkeeping responsibilities, the applicable records management system and the organisation’s risk management analysis

2. Designate records use and maintenance responsibilities

2.1 Responsibilities for records use and maintenance activities are designated to staff in accordance with organisation policies and the abilities of individual staff

2.2 Performance targets are set within the parameters of the recordkeeping strategic plan

2.3 Resources for the approved budget period are allocated in accordance with policies and strategic plan

3. Develop monitoring methodology

3.1 The methodology for monitoring the business or records system’s rules, standards and procedures is developed based upon organisational policies, strategies and the records management system technology

3.2 The methodology developed includes the time-frames involved, means of surveillance, and form of reporting

Recordkeeping BSBRKG502A Manage and monitor business or records systems


Element Performance Criteria 3.3 The methodology, performance criteria and the

ranges of variation from the standards and rules are submitted to the appropriate individual/body for approval

4. Monitor a business or records system

4.1 Monitoring is undertaken in accordance with approved timeframes and frequency and staff being monitored are notified in accordance with organisational policies and guidelines, where applicable

4.2 Any variation from the business or records system’s rules, standards and procedures that exceed the agreed limit is noted and details of the situation recorded

4.3 Where required, reports are provided to the appropriate authority relating to records use and maintenance, and are in the required format, at the required intervals

5. Identify and respond to problems and changes

5.1 Problems and changes requiring a systemic response are identified from the monitoring reports and external events

5.2 Recommendations are made for revisions to systems, procedures, and future (strategic) plans in response to identified variations, changes and problems

5.3 Where they are required, amendments to systems are devised, and implementation planned, in response to problems and changes that require a systemic response

5.4 Recommendations for system amendments, and the planning and implementation required are prepared, and approval sought from the appropriate person or body

5.5 Procedures for using the business or records systems, and subsequent alterations and amendments to the procedures are authorised, ensuring that performance indicator parameters and access rules are adhered to

6. Designate records creation and capture responsibilities

6.1 Responsibilities for record creation and capture activities are designated to staff in accordance with organisational policies

6.2 Records creation and capture performance targets are set within the parameters of the recordkeeping strategic plan

6.3 Resources for the budget period are allocated in accordance with organisational policies and strategic plan



Range Statement






Identification and documentation of recordkeeping responsibilities is based on:

• the organisation’s responsibility and accountability analysis

• the system’s rules, standards and procedures

Appropriate individual/body for approvals may be:

• board of directors • chief executive officer • nominated senior management representative • business owner • senior management team • external public authority • recordkeeping professional(s) • delegated individual • audit committee

Reports on the business or records system may provide input to the next planning cycle for both annual recordkeeping program(s)may be and for the recordkeeping strategic plan, and may be about:

• records use • compliance • maintenance • record creation • record capture

Monitoring may relate to: • a single records management system • a number of systems



Range Statement

Within a system, monitoring may include:

• broad accumulation and growth monitoring • examining titling and indexing at item level • checking spelling • observation of localised rules and continuing

relevance of classification • continuing relevance of classification • disposal schedule applicability • new records specifications

Specific objects of monitoring may include:

• compliance with access rules • security • actions relating to freedom of information legislation • privacy requirements • specified access restrictions in the public sector • audit trail or log of users and activity in systems • compliance with disposal procedures • retention of records in relation according to schedule • records of authorisation of destruction • quality of recordkeeping about records • storage standards maintenance • correct use of spelling, spacing and numbering • changes in use of classification and indexing terms • volumes of actions or accumulations of records above

or below anticipated levels • failures in tracking or increases in lost items • disparity, sentencing difficulties or gaps in retention

and disposal schedule coverage • space shortages • disputes arising from any matters, particularly access

questions • legal precedents requiring changes to system(s) • scanned clarity of images • reliability of optical character recognition techniques • input of metadata requirements

Systems may be: • current record systems • archival control systems • business systems (which generate records) • storage facilities systems



Range Statement

Performance indicators relate to:

• parameters for tracking of records • retrieval and access (security and access rules,

response to request time limits, service levels for requests)

• disposal (percentage of records, unsentenced records, overdue for disposal action, functions/records not covered by disposal schedules)

Means of surveillance may include:

• real-time observation (scrutiny of process) • examination of results (records) • statistical reports • selected snapshots of the system • compliance with organisational rules for monitoring

staff • methods of preserving privacy • form(s) of reporting

Variations from the agreed limitations may include:

• increases or decreases in the use of particular technologies

• variations within the agreed limit but which are consistent

• variations from the business or records system’s performance or capacity

Approved methodology may include:

• methods of preserving privacy • timeframes, frequency, and forms of monitoring and

reporting • real-time observations (scrutiny of process) • examinations of results (records) • statistical reports • selected snap-shots of the system • compliance with the organisation’s rules for

monitoring staff • methods of preserving privacy



Range Statement

Problems and changes may include:

• changes in administrative changes to functions/activities

• changes to organisational structures • legislative or other regulatory changes • changes of government • takeovers, amalgamations or relocation • closures and bankruptcy • outsourcing and privatisation • case-law precedents • technological change and implementation

Systemic changes may include: • new classification and controlled language • new disposal classes or retention periods • new legal liabilities and other risks identified

requiring changes to records specifications • migration of systems • bulk movement of records to control • new organisational or business unit functions • amendment to the classification system

Matters recommended for revision may include:

• classification and indexing schemes • records specifications • disposal schedules • access rules and procedures • storage projections and requirements

Rules may be devised for: • the identification of record creators • negotiating transfer of custody or ownership • the generation and allocation of unique identifiers to

record items • the naming/titling of items • the classification and indexing of items • the allocation of access/security status • the identification and record of disposal status items • the location and tracking of items • links between record items • recording the use history of items • capturing structural and contextual metadata



Range Statement

Recommendations for remedial action may include:

• changes to/enforcement of procedures • disciplinary action • counselling of non-conforming individuals/business

units Evidence Guide 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 Statement. Critical Aspects of Evidence • Demonstrated ability to identify critical indicators of

the system’s performance appropriate to the organisational context

• Demonstrated ability to respond to problems with, or changes to, the system performance to manage them




• Organisational functions, structure and culture • Organisational policies, strategies and procedures • Organisation’s and other business or records systems • Organisation’s rules for the capture of, access to, and

use and maintenance of records • Familiarity with organisation’s classification scheme

and language • Recordkeeping, standards, principles, process and

functional requirements • Quality assurance principles and processes • Performance management principles and processes • Workflow and business process re-engineering

principles and practices

Underpinning Skills • Analysing process functions and problems • Analysing and synthesising documentation, verbally

delivered information, and observed behaviours • Preparing, compiling and writing complex documents

and reports • Communicating complex relationships and processes

effectively to users and management • Negotiating to achieve suitable results for the



Evidence Guide organisation’s recordkeeping practices

• Auditing and monitoring use of the business or records system

• Preparing and writing correspondence for both internal and external customers

• Managing financial, human, physical and technical resources to achieve an appropriate organisational outcome

• Identifying and viewing component parts as integral elements of a whole system















information



teams

Use mathematical




Three levels of performance denote level of competency required to perform a task. 1. Perform 2. Administer 3. Design • Collecting, analysing and organising information – in developing the key performance

indicators for the business system(s) • Communicating ideas and information – in delegating responsibilities for records use

and maintenance activities • Planning and organising activities – in undertaking regular monitoring activities for the

business systems(s) • Working with teams and others – in allocating the responsibilities for records use and

maintenance activities • Using mathematical ideas and techniques – to analyse and detect problems and changes

within the business system(s) • Solving problems – that require a systemic response • Using technology – to monitor system performance Please refer to the Assessment Guidelines for advice on how to use the Key Competencies

Recordkeeping BSBRKG503A Develop and maintain a classification scheme


BSBRKG503A Develop and maintain a classification scheme Unit Descriptor This unit describes the work required to develop, or modify, a

classification scheme based on an organisation’s functions and activities.


1. Establish basis for classification scheme development

1.1 Written report on the purpose and process of classification scheme development is prepared and submitted for approval

1.2 Functional analysis is reviewed and analysed for the basis of the classification scheme

1.3 Other relevant materials and documents are reviewed for impacts on classification scheme

1.4 Capacity of the existing system(s) to handle a new/revised classification scheme is examined for impact on new/revised classification scheme

1.5 Existing classification scheme is assessed for currency and coverage

1.6 A representative sample of records are examined to confirm the extent of the existing classification scheme’s implementation

2. Develop a draft classification scheme

2.1 Broad classification groups are identified from the functional analysis

2.2 Broad classification groups are analysed and decomposed to the level required for the organisation’s use

2.3 A draft classification scheme is prepared, consisting of sufficient classes and subclasses to include all of the business functions and activities being documented

2.4 The draft classification scheme’s terminology is unambiguous and in accordance with organisational and industry language and terminology usage

2.5 The draft classification scheme is hierarchical and is specific to the organisation in accordance with industry standards and practice

3. Validate draft classification scheme

3.1 Methodology for the validation process is prepared taking local imperatives and environment into consideration

BSBRKG503A Develop and maintain a classification scheme Recordkeeping


Element Performance Criteria 3.2 Consultation with users is conducted to identify and

issues, problems, inconsistencies, and/or required amendments or additions to draft classification scheme

3.3 Testing is conducted to identify any problems and inconsistencies with the draft classification scheme

3.4 Results of validation are documented throughout the validation process, ready for analysis

4. Prepare and review classification scheme

4.1 The classification scheme is prepared from validation and research, ready for review

4.2 The classification scheme reflects the culture and operational realities of the organisation, the organisation’s business language, and its foreseeable future

4.3 Negotiations are undertaken with competing interests within the organisation to ensure common understanding and appropriateness of work use and definitions

4.4 Where the existing system requires modification, this is noted and specific recommendations are prepared in accordance with organisational guidelines

4.5 The final version of classification scheme, and accompanying report, are prepared in accordance with organisational practice and Australian and international standards

4.6 Formal endorsement is sought from the appropriate individual/body through submission of the revised, amended and completed classification scheme

Range Statement






Change information may come • all/any level of the organisation



Range Statement from: • strategic plans

• government policy and legislation • company takeover • organisational restructure

Classification may be by: • organisation function and / or activity • subject • body of knowledge

Sources researched for background and contributing material may be from within or without the organisation and may include:

• organisational charts • strategic and business plans • service directories • controlled language schemes from existing and other

organisations • procedure manuals • policies • memorandum and articles • legislation • annual reports • publicity brochures and leaflets

Local impacts on validation methodology may include:

• size of organisation • time available • number and location of sites • resources available

Validation methodology may include:

• focus groups • user-driven • survey • interviews • targeting and involvement of key individuals and

groups • testing

Final report may include: • provision for review • inclusion in organisational policy • scope of compliance • implications for implementation

Appropriate individual / body for review may include:

• nominated senior management representative • business owner



Range Statement • senior management team • business managers • system users

Evidence Guide


Critical Aspects of Evidence • Thorough knowledge of the organisation’s functions should be demonstrated

• Ability to translate elements of a functional analysis to a coherent, logical, multi-level scheme of terms appropriate to the organisational context should be demonstrated




• Organisation’s functions, structure and culture • Organisation’s policies and processes • Industry codes of best practice and standards in

recordkeeping including functional requirements for recordkeeping

• Construction and use of language generally and in the organisation

• Development and use of language controls • Organisational and other business or records systems

Underpinning Skills • Analysing process functions and problems • Communicating complex relationships and processes

effectively to users and management • Documenting complex relationships and processes • Consulting with practitioners, staff members,

customers, and others to elicit relevant information for analysis

• Analysing and interpreting organisation policies and procedures


• Using judgement and discretion with sensitive



Evidence Guide information

• Negotiating to achieve suitable results for the organisation’s recordkeeping practices

• Researching and analysing organisation requirements for recordkeeping



• Documenting conversation details (taking minutes) and observed practices





AS4390, ISO DIS 15489 – Draft International Standard on Records Management, legislation applying to business’ records

Consistency of Performance

As classification schemes are produced only rarely, demonstrating competence in the development of one scheme should be sufficient













information



teams

Use mathematical




Three levels of performance denote level of competency required to perform a task. 1. Perform 2. Administer 3. Design • Collecting, analysing and organising information – to review and analyse the range of

source material prior to the development of the classification scheme • Communicating ideas and information – to users of the classifications scheme during

the consultation process • Planning and organising activities – in developing an appropriate validation

methodology • Working with teams and others – in consulting with users of the classification scheme • Using mathematical ideas and techniques – to undertake sampling during the validation

phase of the development • Solving problems – presented by competing interests within the organisation • Using technology – throughout, to collect and manipulate data. Please refer to the Assessment Guidelines for advice on how to use the Key Competencies

BSBRKG504A Develop terminology for activities and records Recordkeeping


BSBRKG504A Develop terminology for activities and records Unit Descriptor This unit describes the work involved in developing new, or

modified, vocabulary controls and the establishment of localised rules for titling. It is generally the case that where no formal vocabulary controls exist in an organisation, there is at least a form of controlled titling. This unit describes the formalisation of such informal schemes. Vocabulary control, or controlled language, is commonly called a “thesaurus” in some sectors of the industry.

Where a new system of controls is put in place, or amendments to current controls are introduced, many organisations may choose to implement training or development programs to assist users with implementation.

Competency Field Business Information

Element Performance Criteria 1. Research and prepare a

preliminary list of terms to be adopted for use in business or records system(s)

1.1 The work done by people within the organisation is examined for terminology that might accurately reflect the organisation’s business functions and activities and a list is compiled

1.2 Existing systems and vocabulary controls are assessed for currency and coverage

1.3 Other relevant materials and documents are reviewed and analysed for impacts on the vocabulary controls

1.4 Capacity of the existing system(s) to handle new vocabulary controls and file titling structures is examined for impact on vocabulary controls and rules for titling.

1.5 A representative sample of records is assessed for evidence of the implementation of the vocabulary controls

2. Consult with records users 2.1 Methodology for the consultation is prepared 2.2 Consultation with users is undertaken to identify and

document issues, problems and inconsistencies with existing language; additions and amendments to existing vocabulary controls are identified and documented ready for analysis

2.3 Feedback from the user community is encouraged throughout the process

Recordkeeping BSBRKG504A Develop terminology for activities and records


Element Performance Criteria 3. Prepare and review draft

vocabulary controls and rules for titling and application of metadata

3.1 Draft vocabulary controls and titling rules are prepared from consultation and research, ready for review

3.2 Draft vocabulary controls reflect the organisation’s business culture, operational realities and business language

3.3 Comment on the draft is sought from the user community

3.4 Negotiation is undertaken with competing interests within the organisation to ensure common understanding, consistency of use and acceptance of work use and definitions

3.5 Finalised vocabulary controls and titling rules are tested and results are evaluated for effectiveness

3.6 Where the existing system requires modification, this is noted and specific recommendations prepared

3.7 Final version of the vocabulary controls and accompanying report are prepared in accordance with organisational practice and Australian and international standards

3.8 Formal endorsement is sought from the appropriate individual/body through the submission of the revised, amended and completed vocabulary controls

Range Statement








Range Statement

Sources researched for background and contributing material may be from within or without the organisation and may include:

• organisational charts • strategic and business plans • service directories • vocabulary control tools from other organisations • procedure manuals • policies

Local impacts on consultation methodology may include:

• size of organisation • time available • number and location of sites • resources available

Consultation methodology may include:

• focus groups • user-driven • survey • interviews • targeting and involvement of key individuals and

groups

Final report may include: • provision for review • inclusion in organisational policy • scope of compliance • implications for implementation

Appropriate individual/body for review may include:

• nominated senior management representative • business owner • senior management team • business manager • users

Evidence Guide


Critical Aspects of Evidence • Ability to analyse and classify usage of descriptive terms to a high level of detail and consistency should be demonstrated

• A thorough knowledge of the organisation’s functions and local terminology should be demonstrated

• High level communication skills and linguistic



Evidence Guide competence should be demonstrated




• Organisation’s functions, structure and culture • Organisation’s policies and processes • Industry codes of best practice and standards in

recordkeeping including functional requirements for recordkeeping

• Construction and use of language generally and in the organisation

• Development and use of language controls • Organisational and other business or records systems • Workflow principles and practices

Underpinning Skills • Analysing process functions and problems • Communicating complex relationships and processes

effectively to users and management • Documenting complex relationships and processes • Consulting with practitioners, staff members,


• Analysing and interpreting organisation policies and procedures


• Using judgement and discretion with sensitive information

• Negotiating to achieve suitable results for the organisation’s recordkeeping practices

• Researching and analysing organisation requirements for recordkeeping



• Documenting conversation details (taking minutes) and observed practices


• Using tools and techniques to solve problems



Evidence Guide • Ability to relate to people from a range of social,














information



teams

Use mathematical




Three levels of performance denote level of competency required to perform a task. 1. Perform 2. Administer 3. Design • Collecting, analysing and organising information – in examining the language and

terminology that are used within the organisation • Communicating ideas and information – with the user community in developing

terminology for use within the organisation • Planning and organising activities – to consult with the users of the organisation’s

records management system • Working with teams and others – in consulting with the users of the organisation’s

records management system • Using mathematical ideas and techniques – to analyse the language and terminology,

and to build a logical system of rules for the language and terminology • Solving problems – presented by competing interests within the organisation • Using technology – to collect and manipulate data Please refer to the Assessment Guidelines for advice on how to use the Key Competencies

BSBRKG505A Document or reconstruct a business or records system Recordkeeping


BSBRKG505A Document or reconstruct a business or records system

Unit Descriptor This unit describes the work required to document or reconstruct and describe a business or records system and its context over a period of time. The unit can be applied equally to all types of collections of records, although it has historically been understood to relate only to traditional archival work.


1. Establish the activities / functions documented by the records

1.1 The actions / activities by which the records are generated, or document, are established and documented

1.2 The boundaries of the activities are established from the records and checked against a functional analysis of the organisation

1.3 The records creators are identified by mapping them to the parts of the organisation responsible for the function / activities that the records document

1.4 Changes to the activities / functions are established from the records and verified against other appropriate sources over the time period of the records; the results of this research is documented

1.5 Relationships between activities / functions and their relationships with other entities are established and documented

2.1 The contents of the records are described in accordance with organisational standards

2. Describe the content and structure of the records and the system(s) in which they are maintained

2.2 The contents of the records are described in accordance with organisational standards

2.3 Changes to the system(s) which have occurred over time are identified and described

2.4 Anomalies which have occurred over time to the systemic order of the records are identified from the records themselves and other appropriate sources and documented

3. Identify and document the records’ creator(s)

3.1 The records’ creators are described in their organisational structure and context

3.2 The accountability requirements and functional responsibilities of the records’ creators are identified from appropriate sources

Recordkeeping BSBRKG505A Document or reconstruct a business or records system


Element Performance Criteria 3.3 Where appropriate, the nature of the jurisdiction

governing the organisation is identified and described.

3.4 Relationships between the records’ creators and their relationships with other entities are established and documented

4. Describe the records’ chronological and system context

4.1 Where appropriate, the previous and/or subsequent records / series are identified and described to place the records in their chronological context

4.2 Where appropriate, records related to the records in question are identified by the nature of their content, similar function, or systemic relationship

4.3 The related records / series are documented in accordance with organisational standards

5. Document the records, their systemic, organisational and chronological context

5.1 The documentation of the function and the creators of the records is presented according to organisational standards

5.2 The description of the system and its related records / series and any changes and anomalies over time is presented according to organisational standards

5.3 The documentation of the records’ chronological context is presented according to organisational standards

5.4 Where the original system of control is inadequate to maintain the accessibility of the records, control is established by capturing the records into an appropriate system of the organisation, according to its standards and procedures

6. Document the reconstruction of the business or records system

6.1 The elements of the business or records system are identified from the records and documented

6.2 The records series is/are identified and documented in accordance with the organisation’s standards and procedures

6.3 Where changes to, or anomalies in, the business or records system over time are identified, they are documented

6.4 Where no system is apparent, or is inadequate to maintain control of the records, control is established by capturing the records into the organisation’s system, according to its standards and procedures



Range Statement






Range of technologies may include:

• records system packages • multimedia • electronic • paper-based • workflow packages

Records may range from: • paper-based systems where the control records (registers, indexes, thesaurus) are discrete series to computerised systems in which the records are stored attached to their metadata (single series or systems to multiple series and multiple systems)

• complexity of records creating context (multiple changes over time)

• complexity of system including anomalies and exception to system rules

• multiplicity of activities • date-range and size of records series • the records may be generated in a business system for

a variety of functions and activities or they may be part of a records management system

Records may be in various formats including:

• electronic storage media • paper • structured • free text • graphic

The record creator may be from any industry sector



Range Statement

The records may be: • already in the custody of the organisation • in the process of being transferred between

organisations • active, current

Purpose of the documentation may include:

• changes to the system of control including computerisation or migration between system

• transfer of ownership or control arising from amalgamation / takeovers / bankruptcy of organisations, or administrative change, closure of offices or changes in accommodation

• capturing into archival control systems for access and control purposes

Records may be: • very old • from a personal collection • not known to current recordkeepers in an organisation

Jurisdiction may be: • government • public sector • private • personal • profit • non-profit

Likely sources of relevant information about public entities may include:

• legislation • Hansards • Minutes • policies • annual reports • news clippings • gazettes • interviews • related records

Likely sources of relevant information about private entities may include:

• personal letters • obituaries • company records • interviews



Range Statement

Sources of information may, or may not, be from the creating organisation and may include:

• literature • biographies • organisational histories • administrative histories • annual reports and other corporate publications

Categories of information to be collected may include:

• political/social environment • industry sector • dates of creation • method of original records registration • position of the creator/range of creators within the

organisation context

Tools to be used in information collection may be manual or electronic and may include:

• lists • proformas • databases

Criteria for assessment of relevance may include:

• age of source • authenticity • evidential value • lack of duplication with other sources • accessibility

Order may have to be imposed on the records where:

• there is no obvious control system • original is in disorder

Business or records system may be:

• current record systems • business systems • informal

Organisational control systems may be:

• current business or records systems • archival control systems • storage facilities systems

Elements of the business or records system may include:

• technology • size • jurisdiction

Format of documentation may be

• electronic • paper-based



Evidence Guide 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 Statement. Critical Aspects of Evidence • Understanding of the concepts of records series and

records system and ability to apply those concepts to analysis of information about records and organisational activities should be demonstrated

• High level of knowledge of different systems for creating and managing records should be demonstrated




• Organisation’s functions, structure and culture • Organisation’s policies and strategies • Recordkeeping principles and processes, particularly

archival • Business or records system & technologies • Research sources and methods

Underpinning Skills • Analysing process functions and problems • Preparing, compiling and writing complex documents

and reports • Documenting complex relationships and processes • Analysing and interpreting legal and regulatory

requirements and organisation policies and procedures









Evidence Guide


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







information



teams

Use mathematical






Three levels of performance denote level of competency required to perform a task. 1. Perform 2. Administer 3. Design • Collecting, analysing and organising information – in bringing together the relevant

details of the disposal authorities and access conditions • Communicating ideas and information – in preparing a project brief and report for the






BSBRKG601A Define recordkeeping framework Recordkeeping


BSBRKG601A Define recordkeeping framework Unit Descriptor This unit describes the process of establishing and identifying the

recordkeeping framework for an organisation or a business unit at functional level. The framework identifies the regulatory requirements, the areas of risk, the evidence to be captured as records, and the responsibilities for recordkeeping in order to develop business systems which • Enable employees to create records which will adequately

document the business activities in which they take part; and • Ensure that information and processing systems which support

business activities create appropriate records as part of supporting those activities.


1. Establish the regulatory and social environment

1.1 Legal and regulatory framework for the organisation is identified and documented in accordance with industry standards

1.2 Relevant legislation is analysed for implications to recordkeeping and documented

1.3 Documentation of the organisations function is reviewed for compliance

1.4 The broad social context in which the organisation operates is analysed to determine the community expectations about how it should conduct itself

2. Determine the principal areas of risk requiring recordkeeping strategy

2.1 Existing risk analyses for organisation’s functions are reviewed and updated – for implications to redundancy

2.2 Regulatory requirements and legal liabilities are reviewed and documented for their impact on the recordkeeping framework

2.3 Risks and liabilities to be managed by recordkeeping are determined and documented informing the development of the framework

3. Determine the record requirements for each business function

3.1 Risks, liabilities and regulatory requirements are determined and analysed against each business function

3.2 The determined requirements for each business function are documented and communicated as evidence to be captured as records

Recordkeeping BSBRKG601A Define recordkeeping framework


Element Performance Criteria 3.3 The records specifications are formed from the

evidence requirements in accordance with the organisation’s technologies, standards and corporate culture

4. Establish recordkeeping framework for organisation

4.1 Overview of responsibilities for recordkeeping within the organisation is developed and communicated

4.2 Responsibilities and authorities in relation to regulatory requirements are defined in accordance with industry standards

4.3 Recordkeeping responsibilities and rights for each business function are defined

4.4 Identified risks and liabilities managed by recordkeeping are integrated with the definition of responsibilities for each function

4.5 Levels of accountability and responsibility for recordkeeping are defined, assigned and documented for each function

4.6 The completed and documented framework of areas of risk, regulatory requirements, records specifications and recordkeeping responsibilities are communicated to the appropriate person(s) for review and endorsement

4.7 A review process is established and appropriate persons are charged with maintaining the currency of the organisation’s regulatory framework

Range Statement








Range Statement

Australian Standards that apply may include:

• AS 3674 Storage of Microfilm [of all types for various purposes]

• AS 1203 Microfilming of Engineering Documents • AS 2840 Microfilming Newspapers for Archival

Purposes • AS 4003 Permanent Paper

Examples of legislative and regulatory requirements that may apply include the following matters:

• income tax • superannuation • corporation law • tax • occupational health and safety • industrial relations • freedom of information • privacy • healthcare • statutory access

Analysis of the broad legal and social context of an organisation may identify:

• the legal framework which regulates an organisation’s operations

• the internal and external stakeholders whose interests must be taken into account

• the social and ethical standards the community expects it should meet

• codes of ethics, codes of professional conduct specific to its industry sector

Regulatory requirements may be documented in:

• codes of practice • regulations or rules • technical standards • international or national standards • codes of practice for self-regulation



Range Statement

Recordkeeping responsibilities may be assigned to:

• business unit managers or organisational groupings responsible for discrete functions, processes or projects which generate records

• individual employees who carry out the business activities which create records

• records managers who may be responsible for establishing the overall records management policy and procedures for the organisation based on organisational requirements, standards and compliances for recordkeeping

• system administrators who may be responsible for the reliability and continuing operation of systems which generate records

Appropriate person for approvals may be:

• senior manager for each business function • management team • reference body appointed by management

Evidence Guide


Critical Aspects of Evidence • High level research and communication skills should be demonstrated

• A thorough knowledge of the legislative framework in which the organisation operates should be demonstrated

• A thorough knowledge of the regulatory and social environment in which the organisation operates should be demonstrated

• A good understanding of the risks and liabilities to be managed by recordkeeping should be demonstrated

Underpinning Knowledge* * At this level the learner must demonstrate understanding of specialised knowledge with depth in some areas.


• Sources of information about specific jurisdictions • Functions and structures in the jurisdiction • Policies and strategies that apply across the

jurisdiction



Evidence Guide • Recordkeeping principles and processes



effectively to users and management • Documenting complex relationships and processes • Identifying and viewing component parts as integral

elements of the whole system • Consulting with practitioners, staff members,


• Using tools & techniques to solve problems • Analysing and interpreting legal and regulatory









• Assessment should reinforce the integration of the key competencies and the business services common



Evidence Guide competencies for the particular AQF level. Refer to the Key Competency Levels at the end of this unit





information



teams

Use mathematical




Three levels of performance denote level of competency required to perform a task. 1. Perform 2. Administer 3. Design • Collecting, analysing and organising information – from a range of sources for input to

analysis • Communicating ideas and information – clearly in documentation which reflects

complex ideas, processes, and concepts • Planning and organising activities – to coordinate activities within the context of the

organisation • Working with teams and others – to develop materials that will be reflective of the

organisation’s requirements and functions • Using mathematical ideas and techniques – in analysing material and presenting

complex information in a logical manner • Solving problems – presented by reconciling organisational with legal and regulatory

requirements • Using technology – in operating the business or records system Please refer to the Assessment Guidelines for advice on how to use the Key Competencies

BSBRKG602A Develop recordkeeping policy Recordkeeping


BSBRKG602A Develop recordkeeping policy Unit Descriptor The unit describes the work involved in analysing and reviewing

existing recordkeeping policy within an organisation, and in subsequently developing new, formal, recordkeeping policy.

Competency Field Business Information


1. Determine current recordkeeping policy / behaviour

1.1 Existing documented recordkeeping policy is examined and analysed for relevance and inconsistencies

1.2 Existing documented recordkeeping practices and procedural statements are examined and analysed for relevance and inconsistencies

1.3 Current recordkeeping behaviours are examined and analysed for inconsistencies with documented policies and procedures and for improvements

1.4 Consultation is undertaken with relevant parties in relation to actual and preferred recordkeeping behaviour

2. Analyse recordkeeping requirements in line with organisational strategy

2.1 Organisational mission documentation is analysed for the organisational context of recordkeeping

2.2 Legal, regulatory and social recordkeeping requirements are identified from the recordkeeping framework documentation

2.3 Other relevant organisational policies are analysed for impacts on operation of recordkeeping policy

2.4 The impact of customer expectations are upon recordkeeping requirements are assessed and documented

2.5 Consultation is undertaken with relevant parties in relation to organisational goals and recordkeeping requirements

3. Analyse environmental context for recordkeeping 3.1 Commercial and recordkeeping behaviour of

organisations within a similar industry sector are identified where possible

3.2 Seasonal variations relating to organisation’s products / services are taken into account during analysis

3.3 Legislative & regulatory environment is examined for potential impacts on products / services and therefore upon recordkeeping policies

Recordkeeping BSBRKG602A Develop recordkeeping policy


Element Performance Criteria 3.4 Operating environment trends are analysed for

potential impacts on products / services and recordkeeping policies

4. Develop organisation’s recordkeeping policy 4.1 Results of all analyses are compiled into a

comprehensive document for verification 4.2 Draft recordkeeping policies are verified and

validated by relevant parties and amendments are made as appropriate

4.3 Finalised recordkeeping policies are submitted for approval to the appropriate authorities as required by organisational policies and practices

4.4 Newly developed / redeveloped policies are communicated to those who will be affected by them

Range Statement






Examples of legislative and regulatory requirements that may apply include the following matters:

• income tax • superannuation • corporation law • tax • occupational health & safety • industrial relations • freedom of information • privacy • healthcare • statutory access



Range Statement




Purposes • AS 4003 Permanent Paper • AS 4390 Australian Standard on Records

Management

Relevant parties may include: • organisation management • recordkeeping professionals • representatives of regulatory authorities • users of business or records system • customers

Analysis may be: • documented • undertaken in concert with others

Recordkeeping requirements may be:

• legislative • regulatory • social responsibilities • organisational

Mission documentation may be: • vision statements • mission and purpose statements • strategic direction statements • strategic plan • customer service strategies

Seasonal variations may be a result of:

• weather / climate • financial reporting points • resource availability • supply and demand

Trends may be: • commercial • recordkeeping • societal • marketing



Range Statement

Appropriate authorities may be:

• board of management • executive officer • management committee • recordkeeping practitioners

Those who will be affected by policymaking may be:

• users of the business or records system • information technology operators who may

implement changes to technological systems • recordkeeping practitioners • organisational managers

Evidence Guide 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 Statement. Critical Aspects of Evidence • High level research and communication skills should

be demonstrated. • A thorough knowledge of the legal, regulatory and

social environments in which the organisation operates should be demonstrated.

• Demonstrate ability to analyse recordkeeping requirements to a high level of detail and consistency.

• A thorough knowledge of recordkeeping principles should be demonstrated

• Documentation is clear and logical



• Environmental influences on both the organisation and its recordkeeping practices

• Recordkeeping principles and processes • Functions, structures and culture within the

organisation • Use and application of the business or records

system(s) in place within the organisation • Policy development framework within the

organisation




Evidence Guide and reports


• Documenting complex relationships and processes • Identifying and viewing component parts as integral



















information



teams

Use mathematical





analysis • Communicating ideas and information – to all those parties affected by policymaking

in recordkeeping • Planning and organising activities – to conduct consultations with relevant parties • Working with teams and others – to develop materials that will be suited to the

organisation • Using mathematical ideas and techniques – in analysing material, devising policy

responses, and presenting complex information in a logical manner • Solving problems – presented by satisfying a range of competing needs • Using technology – in operating the business or records system Please refer to the Assessment Guidelines for advice on how to use the Key Competencies

BSBRKG603A Prepare a functional analysis for an organisation Recordkeeping


BSBRKG603A Prepare a functional analysis for an organisation

Unit Descriptor This unit describes the process of identifying, defining the boundaries of, and analysing the function(s), activities and transactions of an organisation or business unit.

Competency Field Business Information Element Performance Criteria 1. Establish the functions of

the organisation at the highest level

1.1 Mission statements, corporate plans, goals and strategy statements, establishment documentation of the whole organisation or jurisdiction are examined to establish the principal functions

1.2 The programs, projects and supporting activities of the whole organisation are identified from the organisation’s reporting documentation and allocated to the established functions

1.3 The relationship between the programs, projects and supporting activities and the functions is analysed to identify overlap, ambiguities and omissions

1.4 The established functions are documented and validated, where required by the organisation, to organisational and industry standards

2. Determine component activities and transactions of identified functions

2.1 The documentation of programs, projects and supporting activities allocated to the established functions are reviewed to develop a statement of all activities performed by the organisation/unit /jurisdiction

2.2 Information about the recurring transactions and actions which constitute each activity is obtained by consultation with the agents (workers or employees) undertaking them and examination of organisational documentation, including records generated by the processes

2.3 Imminent changes to the organisation / unit’s business are analysed for impact on identified activities

2.4 The determined actions and transactions at activity level are documented and reviewed for validation in accordance with industry standards

3. Build a functional representation of the organisation

3.1 The assembled documentation of transaction, activities and functions is reviewed and refined for completeness, accuracy and appropriateness of terminology to the organisation

Recordkeeping BSBRKG603A Prepare a functional analysis for an organisation


Element Performance Criteria 3.2 The combined functional analysis is documented in

accordance with industry standards 3.3 Activities and functions are mapped to organisational

structures to identify direct and indirect relationships and anomalies

3.4 Findings on relationships between functions and structure are documented to build a functional representation in accordance with industry standards and practice

Range Statement









Purposes • AS 4003 Permanent Paper

Range of technologies may be electronic or paper-based and may include:

• records system packages • multimedia • workflow packages



Range Statement

Organisational source documentation (literary warrant) for the organisation / unit / jurisdiction’s functions include, but are not limited to:

• legislation • Audit reports • Administrative orders • Establishment charters • heads of agreements • incorporation documentation • corporate plans and mission statements • annual reports • annual accounts and budget statements • official statements to shareholders • Licensing and registration documents

Reviewing authorities may be: • business unit managers • directors • chief executive or heads of agency

Industry methods and standards for analysis of activities and transactions may utilise:

• workflow-based analyses • logical or chronological analyses • published • activity-based thesauruses and classifications • standards • proprietal (software) systems

Documentation of the functional analysis is usually:

• in diagrammatic form, as in current industry practice

Standards for functional analysis diagrams may refer to:

• thesaurus-building and hierarchical classification standards

• workflow standards • proprietal (software) systems standards

Agents may be: • employees or contractors undertaking the

organisation’s activities • customers and clients



Evidence Guide



• A thorough knowledge of the legislative and social framework in which the organisation operates should be demonstrated

• A thorough knowledge of the organisation’s functions and activities should be demonstrated

• Demonstrate ability to document a functional representation of the organisation to a high level of detail.




• Administrative history and regulatory context of area subject to functional analysis

• Business in which the area subject to functional analysis is engaged

• Organisational or jurisdictional context of area subject to functional analysis

• Standards for hierarchical and logical representational analyses



Evidence Guide














Evidence Guide









information



teams

Use mathematical











BSBRKG604A Determine security and access rules and procedures Recordkeeping


BSBRKG604A Determine security and access rules and procedures

Unit Descriptor The work described in this unit sets, or reviews, the rules for access and use of records in an organisation. These cover the access classifications applying to records and users and the procedures for applying the classifications and managing access to the records of the jurisdiction over time.


1. Analyse access risks, rules and responsibilities

1.1 The impact of the legislative and regulatory framework on access to records is established, analysed and described for the unit or the entire organisation

1.2 Copies of appraisal reports and access conditions for the records of comparable organisations are analysed

1.3 Risk analyses and existing access rules are reviewed for currency and any necessary modifications are determined and documented

1.4 Usage patterns of records are analysed in light of identified risks and existing access rules

1.5 Specific restrictions and other responses to the regulatory obligations for records and activities are determined

1.6 Responsibility for reviewing access decisions is determined from organisational documentation and information gathered

2. Develop access strategy, classifications and rules

2.1 Access strategy is developed from information gathered, based on the established responsibilities for access to records, and in response to identified difficulties and risks

2.2 Broad access classifications are determined from the regulatory requirements, identified risks and patterns of use of records within the jurisdiction

2.3 Criteria for applying the access classifications to records are compiled based upon the information gathered and analyses performed

2.4 Rules for applying the classifications are developed 2.5 Access classifications and draft rules are circulated

to users of the business or records system for comment; exceptions are identified and analysed and

Recordkeeping BSBRKG604A Determine security and access rules and procedures


Element Performance Criteria classifications are modified where appropriate

2.6 Compliance regime and jurisdictional access regime are determined

2.7 Authorisation is sought from the appropriate body for the access classifications and procedures

3. Develop procedures to integrate into business or records system

3.1 Access permissions and restrictions for records are determined by applying access rules

3.2 Categories of users are established and documented using analyses of access rules and records usage

3.3 Access permissions and restrictions and categories of users are documented

3.4 Mechanisms are established for the control of access in accordance with permissions and restrictions applying to the records and to users

3.5 The specifications for recording the authorised use of the records are developed and documented

3.6 Authorised access procedures are integrated into the business or records system rules and procedures and the changes are documented

4. Review and amend access classifications and rules

4.1 Procedures for reviewing access decisions and responding to exceptions are developed

4.2 A hierarchy of responsibility for reviewing access decisions is identified to comply with the jurisdictional access regime

4.3 Changes to the access rules and procedures are communicated to all users

Range Statement








Range Statement

Access rights may be governed by:

• corporation law • copyright and intellectual property rights • government records legislation • Freedom of Information legislation • Power of Attorney legislation • privacy protection laws • common law rights protecting confidentiality • professional privilege • codes of conduct

Reason for access restrictions may include:

• age of records • security classification • monetary value • physical integrity/state/fragility • confidentiality (personal, professional or commercial) • investigatory and law enforcement requirements • commercial value and intellectual property rights • political, personal, and physical sensitivity • cultural protocols

Documentation that is reviewed may include:

• legislation, regulations, case law and ethical codes of conduct

• risk analyses • policies and standards • recordkeeping requirements • strategic plans for recordkeeping and for maintaining

usability and availability of records over time • records disposal status and retention periods • the records themselves • rules • precedents • guidelines

Users may be: • internal to the business area • across the whole organisation or external • parties to the business transactions • requiring the records for use unrelated to the original

business recorded



Range Statement

Business or records systems may be:

• electronic or paper-based • control mechanisms may be procedures or automated

and integrated into the records control system • user permissions and categories may depend on

maintenance of authoritative user list which may be paper-based or electronic and integrated with the business or records system

• metadata managing the records of use of the records may be integrated with the records themselves or maintained as separate system

Users may be grouped by: • security clearance codes • level within the organisation’s hierarchy • location within the organisation’s structure • professional grouping • delegated authority • identified categories of external stakeholders • public access rights

Mechanisms to control user access may include:

• passwords • pass-codes • electronic keys • individual permissions • legislative permissions • external stakeholders • redaction • other physical means of restricting access

Legislative requirements and industry codes may specify:

• review mechanisms and procedures • complaints handling procedures • security arrangements • external appeal bodies

Authority appropriate to approve classifications rules and procedures may be:

• the senior manager responsible for recordkeeping policy for whole organisation

• a statutory office holder designated by the organisation’s legislative warrant

• an external body designated by legislation governing recordkeeping for the jurisdiction



Evidence Guide


Critical Aspects of Evidence • A thorough knowledge of the business and structures of the organisation, as well as the legislative framework in which the organisation resides.

• High level research and communication skills should be demonstrated

• Demonstrate ability to analyse access risks, rules and responsibilities to a high level of detail and consistency

• Demonstrate ability to develop and review access strategy, classifications and rules and integrate these into business or records system


• Relevant legislation, regulations and standards, industry codes of practice, particularly relating to privacy protection and access rights

• Broad cross-cultural awareness • General nature of the organisation’s activities and

records together with any specifically sensitive areas • Organisational policies and strategies









• Identifying recordkeeping specifications to implement access control and records of use



Evidence Guide • Using judgement and discretion with sensitive

information • Setting in place achievable and logical mechanisms

and practices for others to follow • Ability to relate to people from a range of social,














information



teams

Use mathematical











Recordkeeping BSBRKG605A Determine records requirements to document a function


BSBRKG605A Determine records requirements to document a function

Unit Descriptor This unit describes the work involved in determining the structure, content and context of records required to document the function

Noted that the record requirements for a function tend to have a life span longer than that of any system developed to manage the records of the function. This is particularly the case with computerised systems the specifications of which tend to change with each cycle of software upgrading.


1. Locate the function in its organisational and regulatory context

1.1 Regulatory framework for the function is identified, reviewed and documented

1.2 The organisation’s accountability requirements for the function are established and documented

1.3 The business processes associated with the function are established from the existing functional analysis

2. Review existing recordkeeping practices for the function

2.1 Existing records generated by the function are reviewed to identify essential contents, examine the patterns of use and identify any new developments in processes or regulatory requirements

2.2 The risks and liabilities specific to the function are identified from the organisation’s risk analysis and litigation history and documented

2.3 Users employed in carrying out the function and creating and using the records are consulted for their assessment of the adequacy of existing records

2.4 The findings of the review are analysed to identify existing and new elements required in the records and documented in accordance with organisational standards

3. Document the function’s record requirements

3.1 The requirements for evidence of performance of the function are determined from the business processes, the accountabilities for the function, the risk analysis for the function and analysis of patterns of use of existing records of the function

3.2 The requirements for evidence are analysed to identify all the business transactions of the function which need to be documented in the business or records system

BSBRKG605A Determine records requirements to document a function Recordkeeping


Element Performance Criteria 3.3 Criteria for identifying the business transactions to

be documented in the system are developed, as are procedures for applying them

3.4 The content and structure of the records needed to document all necessary business transactions are determined from the business processes, standards applicable to those processes, and review of existing records

3.5 The document structure and the metadata for controlling the records of the business transactions are specified in accordance with external and/or organisational standards, and organisational styles

3.6 Procedures for capturing the documents, attaching metadata as required and managing the records are prepared and documented for the instruction of users in accordance with organisational standards

Range Statement






The function may be: • operational • (core) business activities • support activities (e.g., financial, personnel, asset

management).

This description may be scaled to look at:

• one activity • a number of activities • a whole function • the whole business of a unit • the whole organisation



Range Statement

Existing documentation will have been prepared previously and will detail:

• the regulatory and social environment • a functional representation of the organisation • the organisation’s recordkeeping policy • the existing records requirements for business

functions • the responsibilities for recordkeeping • the principal areas of risk

Metadata may include: • unique identifiers and other registration data • creating context data • classification (access, functional, disposal status) data • indexing and retrieval data

Evidence Guide




• A thorough knowledge of the organisation’s functions should be demonstrated





• Recordkeeping principles and processes • Organisation’s policies and strategies • Organisation’s functions, structure and culture

BSBRKG605A Determine records requirements to document a function Recordkeeping


Evidence Guide




elements of the whole system • Analysing and synthesising documentation, verbally

delivered information, and observed behaviours • Using tools and techniques to solve problems • Ability to relate to people from a range of social,














information



teams

Use mathematical





structure of the records required for the organisation’s functions • Communicating ideas and information – in presenting the results of the review • Planning and organising activities – in arranging consultation with the users of the

system • Working with teams and others – in consulting with the users of the system • Using mathematical ideas and techniques – in assessing and analysing the usage

volumes of the records • Solving problems – presented by aligning the requirements of the system with the

requirements of the users • Using technology – in working closely with the requirements of the system Please refer to the Assessment Guidelines for advice on how to use the Key Competencies

BSBRKG606A Design a records retention and disposal schedule Recordkeeping


BSBRKG606A Design a records retention and disposal schedule

Unit Descriptor This unit describes the work involved in develop the retention periods and disposal actions for records which may be in, or are yet to be brought into, existence. This may also involve the review of all, or part of, the functions, activities, or records themselves.


1. Analyse recordkeeping requirements for the function

1.1 The recordkeeping environment and the legal, business and societal framework for the function are determined

1.2 The organisation’s accountability requirements for the function are established and documented

1.3 Existing recordkeeping specifications for the function’s records are analysed taking into account any developments and their implications

1.4 Risk analysis for the function is reviewed and updated as required in accordance with organisational and Australian / international standards

1.5 Patterns of use of existing records are researched and analysed to identify internal and external users and periods and purposes of use

1.6 Users’ views on their needs and accessibility of the records are canvassed and documented

1.7 Recordkeeping specifications for the function are updated and documented based on the review analysis and survey of user views

2. Determine disposal status of records

2.1 The function’s business processes are identified from existing functional analyses and reviewed

2.2 Develop a hierarchical structure based on the functions and activities established in the functional analysis

2.3 Disposal classes are developed according to the boundaries of the transactions and activities which make up the function’s processes

2.4 Disposal status and retention periods for each disposal class are developed from an analysis of business use, legal requirements, access classifications and review of the risk analysis of the

Recordkeeping BSBRKG606A Design a records retention and disposal schedule


Element Performance Criteria function

2.5 Disposal status and retention periods for each disposal class are reviewed in relation to the internal and external use of the records, the relationship with other organisational activities and any other requirements determined from analyses of community expectations

2.6 Disposal actions are described for each disposal class

3. Document disposal status and retention periods

3.1 Retention and disposal document contains details of business activities, the records classes, and the required disposal action

3.2 Retention and disposal document identifies and assigns responsibility for implementing the disposal actions for records in accordance with industry standards

3.3 Retention and disposal document is submitted to the appropriate individual or body for approval before implementation

3.4 Documentation of the analysis and related information are compiled and retained for the life of the approved retention and disposal document

3.5 Disposal class and status and appropriate disposal actions described in the approved retention and disposal document are incorporated into the business or records system’s specifications

Range Statement








Range Statement

Guidelines that may affect the workplace may include:

• A basic introduction to managing risk using the Australian and New Zealand - Risk Management Standard AS/NZS 4360:1999 (HB142-1999)

• Guidelines for managing risk in the Australian and New Zealand public sector (HB143;1999)



Analysis of the legal, business and social context of the function may identify:

• the legal framework and industry standards which regulates its operations

• accountability requirements both internal and external • the internal and external stakeholders whose interests

must be taken into account • the social and ethical standards the community

expects it should meet • codes of ethics, codes of professional conduct

specific to its industry sector

Documentation sources for disposal status and retention periods include

• material prepared during/supporting documentation for the functional analyses

• function-based records classification schemes • access (user permission) classification schemes • statistical reports from business or records systems

such as movement histories, and search room or reading room statistics

Considerations to meet community expectations may include

• accountability issues • public access and Freedom of Information legislation

requirements • security and disposal measures to prevent

unauthorised use and to protect privacy and personal information resulting in modifications to disposal status and practices

Disposal actions may include: • retention • destruction • conversion to other record formats • transfer



Range Statement

Appropriate individual or body for approval may include:

• board of directors • chief executive officer • nominated senior management representative • business owner • senior management team • external public authority

Documentation of retention and disposal periods and actions is often referred to as the retention and disposal:

• schedule • instrument • authority

Evidence Guide


Critical Aspects of Evidence • A thorough knowledge of the legislative framework in which the organisation operates should be demonstrated


• Demonstrate ability to analyse business use, legal requirements, access classification and risks for the function to a high level of detail and consistency



• Legalities of retention and disposal • Functions, structure and processes at the level of

jurisdiction/organisation/part of organisation • Policies and strategies at the relevant level of

jurisdiction/organisation/part of organisation • Recordkeeping principles and processes • The nature and values of the wider social context in

which the jurisdiction, organisation, and part of the organisation operates



Evidence Guide

Underpinning Skills • Communicating complex relationships and processes effectively to users and management

• Documentation of complex relationships and processes


• Using tools and techniques to solve problems • Analysing and synthesising documentation, verbally

delivered information, and observed behaviours • Documenting complex relationships and processes • Negotiating to achieve suitable results for the

organisation’s recordkeeping practices • Ability to relate to people from a range of social,














information



teams

Use mathematical




Three levels of performance denote level of competency required to perform a task. 1. Perform 2. Administer 3. Design • Collecting, analysing and organising information – in identifying the boundaries of the

function’s business processes • Communicating ideas and information – in presenting the results of the review • Planning and organising activities – in consulting the users of the system • Working with teams and others – in consulting the users of the system in relation to their

needs and views • Using mathematical ideas and techniques – to undertake an analysis of the records and



BSBRKG607A Document and monitor the record-creating context Recordkeeping


BSBRKG607A Document and monitor the record-creating context

Unit Descriptor This unit describes the work required to monitor and document changes to the particular context or environment in which specific records were or are created, used and maintained. Examples of changes which should be monitored are reorganisations, down-sizing, outsourcing, amalgamations or takeovers, major legislative change or change of government.


1. Describe the context of the organisation

1.1 The nature of the jurisdiction and the nature of the organisation are determined and documented

1.2 The regulatory framework specific to the organisation is established

2. Establish the creators’ accountability requirements

2.1 The records creators are identified by establishing all parts of the organisation which create records

2.2 The accountability requirements and functional responsibilities of the records creators are determined and documented

2.3 The sources used in the research are verified as authentic and documented in accordance with organisational and / or external standards

3. Describe contextual changes over time

3.1 The functions generating the records and the regulatory framework governing them are mapped to the organisational structures

3.2 Changes to the administrative and functional context over time are identified and documented

4. Monitor changes to the organisational structures, functions and responsibilities

4.1 Changes which impact on organisational structures are monitored

4.2 Documentation is reviewed and updated in light of

the identified changes in accordance with organisational and / or external standards

Recordkeeping BSBRKG607A Document and monitor the record-creating context


Range Statement






The documentation may be: • an establishment chart and functional analysis • an administrative history • a finding aid • system administrator's documentation and users'

register

Changes may be: • re-organisations • restructuring • downsizing • amalgamations or take-overs • changes in legislation or government

The research required may: • delve back in time • support monitoring into the fixture





Evidence Guide






• Documentation is clear and logical • Analysis should be logical and thorough



• Recordkeeping principles and processes • Organisation’s policies and strategies • Organisation’s functions, structure and culture


and reports • Analysing and interpreting legal and regulatory



• Documenting complex relationships and processes • Communicating complex relationships and processes

effectively to users and management • Identifying and viewing component parts as integral

elements of the whole system • Using tools and techniques to solve problems • Ability to relate to people from a range of social,


Recordkeeping BSBRKG607A Document and monitor the record-creating context


Evidence Guide













information



teams

Use mathematical




Three levels of performance denote level of competency required to perform a task. 1. Perform 2. Administer 3. Design • Collecting, analysing and organising information – in establishing all parts of the

organisation which create records • Communicating ideas and information – in preparing a project brief and report for the






Recordkeeping BSBRKG608A Plan management of records over time


BSBRKG608A Plan management of records over time Unit Descriptor

This unit describes the work to determine the breadth and depth of a collection’s range. It includes the development of the strategic and implementation plans for the records over time. It can be applied equally to all types of collections of records, although it has historically been understood to relate only to traditional archival work.


1. Determine policies and strategies for management of records over time

1.1 Strategies to manage storage and access to records are developed in accordance with industry standards

1.2 Strategies are developed in the context of, and build on, the organisational culture, and include migration and preservation strategies

1.3 The boundaries of the collection are determined from the identified recordkeeping requirements for the jurisdiction

1.4 Records storage and use requirements are determined from available documentation and observation of organisational behaviour to enable monitoring against the strategic plan

1.5 Other parties that create or use records which require storage are added into estimates

1.6 A vital records strategy is developed that includes the criteria for vital records and the allocation of responsibility in case of a disaster

1.7 Vital records strategy is incorporated, when approved by the appropriate authority, into the wider organisational disaster management strategy

1.8 Post implementation reviews are conducted to determine areas of success, or those which require improvement

2. Develop strategy and implementation plan for managing records over time

2.1 Existing internal and external documents which may impact on the transfer of custody and/or responsibility of records are reviewed

2.2 Recordkeeping jurisdictions of the organisation are confirmed, including boundaries of accountabilities from documentation relevant to the transfer of ownership/custody of records

2.3 Requirements for the transfer of custody, ownership and/or responsibility are specified and documented

BSBRKG608A Plan management of records over time Recordkeeping


Element Performance Criteria 2.4 Nature of agreements with receiving

bodies/individuals are specified, including rules for negotiation, minimum requirements of legal custody, and signatories to the agreements

2.5 Rules for the transfer of custody, ownership, and/or responsibility of records are documented clearly and logically in accordance with organisation requirements

3. Manage the preservation of records over time 3.1 Records collection strategies and policies are

developed which reflect the collecting institution’s strategies and directions, and potential changes in operating environments

3.2 Collections strategies reflect evaluation of collection use and availability of alternative formats for resource sharing and in-house collection, as well as access to records from remote sources

3.3 Boundaries for the collection are determined, and commonalities/overlaps of jurisdiction and common boundaries between collecting institutions are negotiated

3.4 Selection, acquisition and disposal of collection material are managed to make best use of staff knowledge, expertise and resources

3.5 Processes are established for the receipt of donations and bequests under legal deposits, policy or other directives, and the collection is reviewed in light of collection strategies policies and disposal

3.6 Cooperative collection projects are initiated and responded to where mutual benefits can be gained

Range Statement








Range Statement

Strategies take into account available:

• human resources • physical resources • technological resources • financial resources

Organisational culture includes:

• strategic direction • risk management strategies

Available documentation includes:

• disposal documentation • risk analysis

Organisational behaviour includes:

• access arrangements • organisation growth • level of recordkeeping use • rules and monitoring of accumulation and retrieval

rates

Criteria for vital records may be contained in:

• industry standards • organisational facilities • organisational priorities • organisational policies

Appropriate authority for approval may be:

• senior manager for each business function • management team • reference body appointed by management

Post implementation reviews may include the review of:

• the relevance of the strategic plan • the effectiveness of the strategic plan • compliance with the strategic plan • stakeholder reaction • actual and estimated costs

Internal and external documents which may impact on transfer and custody arrangements may be:

• legislation/regulation • risk analyses • functional analyses • organisation and recordkeeping strategic plans • recordkeeping and information management system

requirements



Range Statement

Relevant documentation from which to confirm jurisdictions include:

• jurisdictional documentation • legislative framework • regulatory framework

Requirements for transfer arrangements may include:

• requirements of the records prior to, and post, transfer • completion of documentation about the transfer • agreement on price movement • storage and access agreements • physical custody arrangements

Changes in operating environments may include:

• operating environments • industry developments • legislative/regulatory developments

Boundaries for the collection include:

• mechanisms to improve and maintain data on collection use and user demand

• appropriate match between collection policies and changing needs

Mutual benefits to collecting institutions may be:

• benefit to the institution’s users • the incorporation of awareness of local, national and

international issues, standards and protocols

Collecting institutions may be managed:

• privately • publicly

The collection may be: • a large collection • specialised collection of considerable complexity

Values of records may include: • evidential • research • historical • economical • operational



Range Statement

Constraints on strategy and plan development may include:

• collecting institution’s priorities • legislative requirements • ethical considerations • intellectual property issues • licensing and other legal agreements • finances • economics of alternative forms of, and access to,

information • care and maintenance capability

Additions to collection may come from:

• purchases • gifts • gifts under the tax incentive scheme • deposits bequests • “plugging a hole” in the collection • ad hoc, case by case • transfer from another organisation

Collaborative and cooperative projects may take place with:

• other organisations in Australia and overseas • providers of networked information • other related organisations and commercial vendors

Evidence Guide


Critical Aspects of Evidence • Demonstrate ability to: • formulate a management strategy encompassing

analysis of users’ needs, technological requirements, budget and resource constraints for nominated time frame

• develop a practical implementation plan taking into account the major factors and organisational context



• Organisational or jurisdictional context of



Evidence Guide recordkeeping organisations

• Recordkeeping organisation’s functions, structure and culture

• Recordkeeping organisation’s policies, strategies and processes

• Current and historical cultural threads and trends • Functional requirements for recordkeeping • Industry best practice in records management,

business or records systems, and archival principles and practices

• Records management outsourcing and associated contract negotiations

Underpinning Skills • Discerning the “values” of information • Evaluating documents and manuscripts • Documenting complex relationships and processes • Using tools and techniques to solve problems • Preparing, compiling and writing complex documents

and reports • Identifying and viewing component parts as integral



• Analysing and interpreting legal and regulatory requirements and organisation policies and procedures


• Researching and analysing the organisation’s current and historical practices






Evidence Guide









information



teams

Use mathematical









complex information in a logical manner • Solving problems – presenting by reconciling organisational with legal and regulatory
