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Evidence Guide: BSBRKG502B - Manage and monitor business or records systems

Student: __________________________________________________

Signature: _________________________________________________

Tips for gathering evidence to demonstrate your skills

The important thing to remember when gathering evidence is that the more evidence the better - that is, the more evidence you gather to demonstrate your skills, the more confident an assessor can be that you have learned the skills not just at one point in time, but are continuing to apply and develop those skills (as opposed to just learning for the test!). Furthermore, one piece of evidence that you collect will not usualy demonstrate all the required criteria for a unit of competency, whereas multiple overlapping pieces of evidence will usually do the trick!

From the Wiki University

 

BSBRKG502B - Manage and monitor business or records systems

What evidence can you provide to prove your understanding of each of the following citeria?

Determine requirements or modifications

  1. Identify and document core business, supporting activities, resources, business and social context, using observation and consultation
  2. Determine security and access requirements for business or records system content from analysis of organisation's activities
  3. Analyse organisational reporting and accountability requirements in the context of the business documentation
  4. Identify organisational functions and activities for which records must be kept, from analysis of business and context documentation
  5. Determine nature, detail, and format of records (content and metadata) for each organisational function from analysis of the business and its context
Identify and document core business, supporting activities, resources, business and social context, using observation and consultation

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Determine security and access requirements for business or records system content from analysis of organisation's activities

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Analyse organisational reporting and accountability requirements in the context of the business documentation

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Identify organisational functions and activities for which records must be kept, from analysis of business and context documentation

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Determine nature, detail, and format of records (content and metadata) for each organisational function from analysis of the business and its context

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Devise an appropriate recordkeeping system

  1. Determine metadata needed to manage records (store, locate and retrieve) in a business or records system
  2. Select scale, and number of business or records systems appropriate to scale and nature of business operations
  3. Select technological requirements of business or records systems appropriate to scale and nature of business operations
  4. Select cost structure for business or records systems appropriate to scale, nature, and organisational cash flow requirements
  5. Ensure maintenance, disposal and updating requirements of business or records system conform to scale, nature, and culture of the organisation
  6. Select business or records system suited to the projected growth of the organisation
Determine metadata needed to manage records (store, locate and retrieve) in a business or records system

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Select scale, and number of business or records systems appropriate to scale and nature of business operations

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Select technological requirements of business or records systems appropriate to scale and nature of business operations

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Select cost structure for business or records systems appropriate to scale, nature, and organisational cash flow requirements

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Ensure maintenance, disposal and updating requirements of business or records system conform to scale, nature, and culture of the organisation

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Select business or records system suited to the projected growth of the organisation

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Develop an implementation plan

  1. Identify and document recordkeeping responsibilities of individual personnel or organisational units
  2. Develop measurable performance indicators for recordkeeping activities
  3. Develop procedures and guidelines for capturing and controlling records
  4. Communicate an implementation plan to users of the system and other relevant organisational staff
Identify and document recordkeeping responsibilities of individual personnel or organisational units

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Develop measurable performance indicators for recordkeeping activities

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Develop procedures and guidelines for capturing and controlling records

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Communicate an implementation plan to users of the system and other relevant organisational staff

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Monitor and review business or records system

  1. Monitor and notify staff in accordance with approved timeframes, frequency, and organisational policies and guidelines where applicable
  2. Record details of variation from business or records system's rules, standards and procedures that exceed agreed limits
  3. Provide required reports to appropriate authority relating to use and maintenance of records
  4. Designate responsibilities to staff for record creation and capture activities in accordance with organisational policies
Monitor and notify staff in accordance with approved timeframes, frequency, and organisational policies and guidelines where applicable

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Record details of variation from business or records system's rules, standards and procedures that exceed agreed limits

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Provide required reports to appropriate authority relating to use and maintenance of records

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Designate responsibilities to staff for record creation and capture activities in accordance with organisational policies

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Identify and respond to problems and changes

  1. Identify any problems and changes that require a systemic response using the monitoring reports and external events
  2. Make recommendations for revisions to systems, procedures, and strategic plans in response to identified variations, changes and problems
  3. Devise amendments to systems and implementation or other plans where required
  4. Prepare recommendations for system amendments, planning and implementation
  5. Authorise or gain authorisation, for procedures for using the business or records systems, and for any subsequent alterations and amendments to the procedures
Identify any problems and changes that require a systemic response using the monitoring reports and external events

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Make recommendations for revisions to systems, procedures, and strategic plans in response to identified variations, changes and problems

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Devise amendments to systems and implementation or other plans where required

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Prepare recommendations for system amendments, planning and implementation

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Authorise or gain authorisation, for procedures for using the business or records systems, and for any subsequent alterations and amendments to the procedures

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

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

Overview of assessment

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

Evidence of the following is essential:

translating organisational needs into a business or records system

developing business or records system specifications and performance indicators to monitor and address system effectiveness

knowledge of relevant organisational policies, strategies and procedures.

Context of and specific resources for assessment

Assessment must ensure:

access to an actual workplace or simulated environment

access to office equipment and resources

access to examples of records, recordkeeping systems and policies

access to workplace reference materials such procedural manuals and company policies.

Method of assessment

A range of assessment methods should be used to assess practical skills and knowledge. The following examples are appropriate for this unit:

analysis of responses to case studies and scenarios

demonstration of techniques

direct questioning combined with review of portfolios of evidence and third party workplace reports of on-the-job performance by the candidate

review of reports provided to appropriate authority relating to use and maintenance of records

oral or written questioning to assess knowledge of principles and processes of recordkeeping systems.

Guidance information for assessment

Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended, for example:

administration units

other knowledge management units.

Required Skills and Knowledge

Required skills

communication skills to explain and clarify procedures, and to interview users to identify their records or information needs

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

negotiation skills to achieve suitable results for the organisation's recordkeeping practices

problem-solving and analysis skills to interpret and apply recordkeeping principles and practices

research skills to investigate changes and innovation in design and operation of business or records system

self management skills to accurately record metadata.

Required knowledge

construction and use of language in the organisation in relation to recordkeeping (past and present)

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

AS 5044.1:2002 AGLS Metadata element set

AS 5090:2003 Work process analysis for recordkeeping

AS ISO 15489:2004 Records management

AS ISO 23081.1:2006 Information and documentation - Records management processes - Metadata for records - Principles

Australian Stock Exchange(ASX) Principles of Good Corporate Governance

ethical principles

codes of practice

privacy and freedom of information

archives and records legislation

occupational health and safety

general principles and processes of records management and records management systems, such as:

systems of control

records continuum theory

mandate and ownership of business process

organisational business functions, structure and culture

organisational policies, strategies and procedures, particularly those relating to records access and security.

Range Statement

The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included.

Documenting core business may involve identifying:

diagrammatic representations

formal documents

hand written documents

informal communications

online instructions or computer-based format instructions that can be updated

paper-based manuals

other texts

Resources may include:

human resources and their availability

location of resources currently in operation

physical resources

technological resources

those available for purchase or development

Business and social context may include:

clients or customers and their expectation

codes of ethics and codes of professional conduct specific to industry sector

industry sector characteristics and reporting requirements of that sector

internal and external accountability requirements

internal and external stakeholders whose interests must be taken into account

other relevant legislation and regulations, including those covering:

business activity reporting

business and income ( PAYE) taxation

corporation law reporting requirements

environmental protection and waste management

goods and services tax collection

industrial relations

occupational health and safety

privacy protection

statutory access rights and freedom of information

superannuation

internal and external stakeholders whose interests must be taken into account

social and ethical standards the community expects the organisation to meet

Consultation may include organisation's:

head office

local management

principals

staff

Organisational functions and activities that may be documented may include:

asset management

conventional and email correspondence

customer relationship management

human resources management

invoicing and sales

legislative, regulatory and licensing compliance

marketing and promotion

purchasing and expenditure

research and development

risk management

stock control

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

activity classification terms

date, time, and location of record creation or registration into the system

identity of record creator

indexing and descriptive terms

record format

security and access information

unique identifiers for each record

Business or records systems may include:

archival control systems

business systems

cash register-based systems

characteristics relating to:

aggregations

context

entities

metadata

current business or records systems

electronic records and document management system (ERDMS)

informal

paper-based accumulation and card systems

PC-based accounting systems, employee and tax records systems

proprietary recordkeeping package

storage facilities systems

Measurable performance indicators may be developed:

from a strategic plan

in consultation with those who will undertake the specific tasks

Measurable performance indicators may include:

disposal (percentage of records, unsentenced records, those overdue for disposal action and functions or records not covered by disposal schedules)

parameters for tracking of records

retrieval and access (security and access rules, response to request time limits, service levels for requests)

records creation and capture performance

Procedures and guidelines may include:

acceptable range of variation for compliance

system requirements

Monitoring may relate to:

broad accumulation and growth monitoring

checking spelling, spacing and numbering

continuing relevance of classification

disposal schedule applicability

examining titling and indexing at item level

new records specifications

number of systems

observation of localised rules and continuing relevance of classification

records creation and capture performance targets

single records management system

Organisational policies and guidelines may include:

actions in relation to freedom of information legislation

actions or accumulations of records above or below anticipated levels

audit trail or log of users and activity in systems

changes in use of classification and indexing terms

access rules

disposal procedures

procedures in relation to disparity, sentencing difficulties or gaps in retention and disposal schedule coverage

procedures in relation to disputes arising from any matters, particularly access questions

failures in tracking or increases in lost items

input of metadata requirements

legal precedents requiring changes to systems

privacy requirements

quality of recordkeeping about records

records of authorisation of destruction

procedures in relation to reliability of optical character recognition techniques

retention of records in relation to a schedule

scanned images

security requirements

specified access restrictions, in the public sector

storage standards and maintenance schedules

Variations may include:

increases or decreases in the use of particular technologies

variations from the business or records system's performance or capacity

variations within the agreed limit which are inconsistent

Reports may include:

compliance

maintenance

record capture

record creation

records use

Appropriate authority may include:

audit committee

board of directors

committee of management

business owner

chief executive officer

delegated individual

external public authority

nominated senior management representative

recordkeeping professionals

senior management team

Problems and changes may include:

case-law precedents

changes in administrative changes to functions and activities

changes of government

changes to organisational structures

closures and bankruptcy

legislative or other regulatory changes

outsourcing and privatisation

takeovers, amalgamations or relocation

technological change and implementation

Systemic responses may include:

amendment/s to the classification system

bulk movement of records to control

migration of systems

new classification and controlled language

new disposal classes or retention periods

new legal liabilities and other risks identified requiring changes to records specifications

new organisational or business unit functions

Revisions may be made to:

access rules and procedures

classification and indexing schemes

disposal schedules

records specifications

storage projections and requirements