Assessor Resource

BSBRKG502A
Manage and monitor business or records systems

Assessment tool

Version 1.0
Issue Date: May 2024


Not applicable.

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.

Linkages outside these National Competency Standards

ISO DIS 15489 - Draft International Standard on Records Management

Links

The work described in this unit is linked to the work described in the following unit(s):

Previous Business Qualification(s)

BSBRKG301A Control records

BSBRKG302A Undertake disposal

BSBRKG401A Review the status of a record

BSBRKG402A Provide information from and about records

The Same Business Qualification

BSBRKG501A Determine business or records system specifications

Subsequent Business Qualification(s)

BSBRKG602A Develop recordkeeping policy

BSBRKG603A Prepare a functional analysis for an organisation

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.

Linkages outside these National Competency Standards

ISO DIS 15489 - Draft International Standard on Records Management

Links

The work described in this unit is linked to the work described in the following unit(s):

Previous Business Qualification(s)

BSBRKG301A Control records

BSBRKG302A Undertake disposal

BSBRKG401A Review the status of a record

BSBRKG402A Provide information from and about records

The Same Business Qualification

BSBRKG501A Determine business or records system specifications

Subsequent Business Qualification(s)

BSBRKG602A Develop recordkeeping policy

BSBRKG603A Prepare a functional analysis for an organisation

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

Prerequisites

Not applicable.

Employability Skills

Not applicable.



Evidence Required

List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.

The 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

Underpinning Knowledge*

* At this level the learner must demonstrate understanding of a broad knowledge base incorporating theoretical concepts, with substantial depth in some areas.

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

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 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

Using tools and techniques to solve problems

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

Resource Implications

The learner and trainer should have access to appropriate documentation and resources normally used in the workplace

Consistency of Performance

In order to achieve consistency of performance, evidence should be collected over a set period of time which is sufficient to include dealings with an appropriate range and variety of situations

Context/s of Assessment

Competency is demonstrated by performance of all stated criteria, including paying particular attention to the critical aspects and the knowledge and skills elaborated in the Evidence Guide, and within the scope as defined by the Range Statement

Assessment must take account of the endorsed assessment guidelines in the Business Services Training Package

Assessment of performance requirements in this unit should be undertaken in an actual workplace or simulated environment

Assessment should reinforce the integration of the key competencies and the business services common competencies for the particular AQF level. Refer to the Key Competency Levels at the end of this unit

Key Competency Levels

Collecting, analysing and organising information (Level 3) - in developing the key performance indicators for the business system(s)

Communicating ideas and information (Level 2) - in delegating responsibilities for records use and maintenance activities

Planning and organising activities (Level 2) - in undertaking regular monitoring activities for the business systems(s)

Working with teams and others (Level 2) - in allocating the responsibilities for records use and maintenance activities

Using mathematical ideas and techniques (Level 2) - to analyse and detect problems and changes within the business system(s)

Solving problems (Level 3) - that require a systemic response

Using technology (Level 2) - to monitor system performance

Please refer to the Assessment Guidelines for advice on how to use the Key Competencies

The Evidence Guide identifies the critical aspects, knowledge and skills to be demonstrated to confirm competence for this unit. This is an integral part of the assessment of competence and should be read in conjunction with the Range 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

Underpinning Knowledge*

* At this level the learner must demonstrate understanding of a broad knowledge base incorporating theoretical concepts, with substantial depth in some areas.

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

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 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

Using tools and techniques to solve problems

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

Resource Implications

The learner and trainer should have access to appropriate documentation and resources normally used in the workplace

Consistency of Performance

In order to achieve consistency of performance, evidence should be collected over a set period of time which is sufficient to include dealings with an appropriate range and variety of situations

Context/s of Assessment

Competency is demonstrated by performance of all stated criteria, including paying particular attention to the critical aspects and the knowledge and skills elaborated in the Evidence Guide, and within the scope as defined by the Range Statement

Assessment must take account of the endorsed assessment guidelines in the Business Services Training Package

Assessment of performance requirements in this unit should be undertaken in an actual workplace or simulated environment

Assessment should reinforce the integration of the key competencies and the business services common competencies for the particular AQF level. Refer to the Key Competency Levels at the end of this unit

Key Competency Levels

Collecting, analysing and organising information (Level 3) - in developing the key performance indicators for the business system(s)

Communicating ideas and information (Level 2) - in delegating responsibilities for records use and maintenance activities

Planning and organising activities (Level 2) - in undertaking regular monitoring activities for the business systems(s)

Working with teams and others (Level 2) - in allocating the responsibilities for records use and maintenance activities

Using mathematical ideas and techniques (Level 2) - to analyse and detect problems and changes within the business system(s)

Solving problems (Level 3) - that require a systemic response

Using technology (Level 2) - to monitor system performance

Please refer to the Assessment Guidelines for advice on how to use the Key Competencies

Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assingnment, checklist) and due date here

Assessment task 1: [title]      Due date:

(add new lines for each of the assessment tasks)

Assessment Tasks

Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.

Not applicable.

The Range Statement provides advice to interpret the scope and context of this unit of competence, allowing for differences between enterprises and workplaces. It relates to the unit as a whole and facilitates holistic assessment. The following variables may be present for this particular unit:

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

award and enterprise agreements and relevant industrial instruments

relevant legislation from all levels of government that affects business operation, especially in regard to Occupational Health and Safety and environmental issues, equal opportunity, industrial relations and anti-discrimination

relevant industry codes of practice

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

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

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

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

Recommendations for remedial action may include:

changes to/enforcement of procedures

disciplinary action

counselling of non-conforming individuals/business units

The Range Statement provides advice to interpret the scope and context of this unit of competence, allowing for differences between enterprises and workplaces. It relates to the unit as a whole and facilitates holistic assessment. The following variables may be present for this particular unit:

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

award and enterprise agreements and relevant industrial instruments

relevant legislation from all levels of government that affects business operation, especially in regard to Occupational Health and Safety and environmental issues, equal opportunity, industrial relations and anti-discrimination

relevant industry codes of practice

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

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

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

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

Recommendations for remedial action may include:

changes to/enforcement of procedures

disciplinary action

counselling of non-conforming individuals/business units
Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.

Observation Checklist

Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice Yes No Comments/feedback
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 
The recordkeeping responsibilities of individual personnel/organisational units are identified and documented 
Acceptable range of variation for compliance is determined based upon recordkeeping responsibilities, the applicable records management system and the organisation's risk management analysis 
Responsibilities for records use and maintenance activities are designated to staff in accordance with organisation policies and the abilities of individual staff 
Performance targets are set within the parameters of the recordkeeping strategic plan 
Resources for the approved budget period are allocated in accordance with policies and strategic plan 
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 
The methodology developed includes the time-frames involved, means of surveillance, and form of reporting 
The methodology, performance criteria and the ranges of variation from the standards and rules are submitted to the appropriate individual/body for approval 
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 
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 
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 
Problems and changes requiring a systemic response are identified from the monitoring reports and external events 
Recommendations are made for revisions to systems, procedures, and future (strategic) plans in response to identified variations, changes and problems 
Where they are required, amendments to systems are devised, and implementation planned, in response to problems and changes that require a systemic response 
Recommendations for system amendments, and the planning and implementation required are prepared, and approval sought from the appropriate person or body 
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 
Responsibilities for record creation and capture activities are designated to staff in accordance with organisational policies 
Records creation and capture performance targets are set within the parameters of the recordkeeping strategic plan 
Resources for the budget period are allocated in accordance with organisational policies and strategic plan 

Forms

Assessment Cover Sheet

BSBRKG502A - Manage and monitor business or records systems
Assessment task 1: [title]

Student name:

Student ID:

I declare that the assessment tasks submitted for this unit are my own work.

Student signature:

Result: Competent Not yet competent

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Assessor name:

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Assessment Record Sheet

BSBRKG502A - Manage and monitor business or records systems

Student name:

Student ID:

Assessment task 1: [title] Result: Competent Not yet competent

(add lines for each task)

Feedback to student:

 

 

 

 

 

 

 

 

Overall assessment result: Competent Not yet competent

Assessor name:

Signature:

Date:

Student signature:

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