Maintain business records

This unit describes the performance outcomes, skills and knowledge required to maintain the records of a business or records system in good order on a day to day basis.No licensing, legislative, regulatory or certification requirements apply to this unit at the time of endorsement.


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

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

Elements and Performance Criteria



1. Collate business records

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

1.2. Sort records in accordance with workplace requirements

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

2. Update business or records system

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

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

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

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

3. Prepare reports from the business or records system

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

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

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

Required Skills

Required skills

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

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

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

Required knowledge

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

AS 5044.1:2002 AGLS Metadata element set

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

environmental context

records characteristics.

Evidence Required

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:

complying with organisational procedures and workplace requirements

knowledge and understanding of business or records systems

accurately recording information.

Context of and specific resources for assessment

Assessment must ensure:

access to an actual workplace or simulated work environment

access to office equipment and resources

access to examples of records, recordkeeping systems and policies

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

Method of assessment

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

analysis of responses to case studies and scenarios

demonstration of techniques

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

review of authenticated documents from the workplace or training environment

oral or written questioning to assess knowledge of general principles and processes of business or records systems.

Guidance information for assessment

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

administration units

other knowledge management units.

Range Statement

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

Records may be:

at different stages of use:




remote drives




imaging systems

PC-based applications



audio-visual or multimedia



paper-based (acid free or multiple copies

from a variety of sources:

already in the custody of the organisation

in the process of being transferred between organisations

Information may include:

customer relationship management


human resources management


legislative/regulatory/licensing compliance

risk management

stock control

taxation, asset management

Business or records systems may be:

archival control systems

business systems

cash register-based systems

characteristics relating to:





current business or records systems

electronic records and document management system (ERDMS)


paper-based accumulation and card systems

PC-based accounting systems, employee and tax records systems

proprietary recordkeeping package

storage facilities systems

systems unique to individual workplaces and organisations

Security and access requirements may relate to:

individuals or positions of individuals

protection of privacy

security restrictions

trade secrets or commercial-in-confidence information

Reports may be:

ad hoc

computer generated

hand prepared

part of a management solution for another support/operational function

regular records management reports

system management reports


Unit sector

Competency Field

Knowledge Management - Recordkeeping

Employability Skills

This unit contains employability skills.

Licensing Information

Not applicable.