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SOUTH AFRICAN QUALIFICATIONS AUTHORITY 
REGISTERED UNIT STANDARD: 

Maintain an existing information system in a financial services environment 
SAQA US ID UNIT STANDARD TITLE
114971  Maintain an existing information system in a financial services environment 
ORIGINATOR
SGB Insurance and Investment 
PRIMARY OR DELEGATED QUALITY ASSURANCE FUNCTIONARY
-  
FIELD SUBFIELD
Field 03 - Business, Commerce and Management Studies Finance, Economics and Accounting 
ABET BAND UNIT STANDARD TYPE PRE-2009 NQF LEVEL NQF LEVEL CREDITS
Undefined  Regular  Level 2  NQF Level 02 
REGISTRATION STATUS REGISTRATION START DATE REGISTRATION END DATE SAQA DECISION NUMBER
Reregistered  2018-07-01  2023-06-30  SAQA 06120/18 
LAST DATE FOR ENROLMENT LAST DATE FOR ACHIEVEMENT
2024-06-30   2027-06-30  

In all of the tables in this document, both the pre-2009 NQF Level and the NQF Level is shown. In the text (purpose statements, qualification rules, etc), any references to NQF Levels are to the pre-2009 levels unless specifically stated otherwise.  

This unit standard replaces: 
US ID Unit Standard Title Pre-2009 NQF Level NQF Level Credits Replacement Status
8103  Maintain an existing information system in an insurance environment  Level 2  NQF Level 02  Complete 

PURPOSE OF THE UNIT STANDARD 
This Unit Standard provides a broad introduction to the archiving of information in the financial services sector. The focus is knowledge, skills, values and attitudes in relation to the learner's own context and experience of the world of work.

The qualifying learner is capable of:
  • Storing information using an existing storage system.
  • Retrieving information from an existing storage system.
  • Store valuable documentation and reference materials securely.
  • Maintain confidentiality of customer and organisation information. 

  • LEARNING ASSUMED TO BE IN PLACE AND RECOGNITION OF PRIOR LEARNING 
    Learners should:
  • Hold a GETC or equivalent qualification.
  • Be competent in Communication and Mathematical Literacy NQF Level 1. 

  • UNIT STANDARD RANGE 
    The typical scope of this Unit Standard is the storage and retrieval of information both paper and/or electronic in an insurance workplace.
  • Security systems include, but are not limited to, personal identification, entry/access and exit, equipment, door locks and computer passwords.
  • Valuable items include, but are not limited to, customers' documents, clients' documents, insurers' documents, intermediaries' documents and other organisation files and reference materials.
  • Violations of security include, but are not limited to, strangers on the premises, valuable/confidential items left in insecure situations, unauthorised personnel in a secure area, unauthorised activities/breaches of security in terms of organisation procedures, unauthorised access to computer passwords.
  • Storage systems include, but are not limited to, sorter, indexing system, concertina files, hanging files, shelves, library, lever arch files, paper files, computer files.
  • Classification includes alphabetic, numeric and alpha numeric. 

  • Specific Outcomes and Assessment Criteria: 

    SPECIFIC OUTCOME 1 
    Store information using an existing storage system. 

    ASSESSMENT CRITERIA
     

    ASSESSMENT CRITERION 1 
    Information is stored in the correct location and sequence and the learner understands the effect that misfiled documentation has on productivity and an oraganisation. 

    ASSESSMENT CRITERION 2 
    Documents are stored in a manner that ensures that they are undamaged, safe and accessible. 

    ASSESSMENT CRITERION 3 
    Information is classified and cross-referenced accurately and an indication is given as to why it is important that classification is current. 

    ASSESSMENT CRITERION 4 
    The method of classification and cross-referencing is explained with reference to the problems that result from unconventional classification and cross referencing. 

    SPECIFIC OUTCOME 2 
    Retrieve information from an existing storage system. 

    ASSESSMENT CRITERIA
     

    ASSESSMENT CRITERION 1 
    Required information is promptly located and processed according to instructions. 

    ASSESSMENT CRITERION 2 
    Reasons for a delay in the supply of information are communicated to the affected person and an indication is given of the steps that have been taken to correct the problem. 

    ASSESSMENT CRITERION 3 
    A record is kept of files removed from a business unit's filing system. 

    ASSESSMENT CRITERION 4 
    Missing or overdue items are identified and correct procedures followed to retrieve them. 

    SPECIFIC OUTCOME 3 
    Store valuable documentation and reference materials securely. 

    ASSESSMENT CRITERIA
     

    ASSESSMENT CRITERION 1 
    The process for securing valuable items and for maintaining that security is explained with examples. 

    ASSESSMENT CRITERION 2 
    Reasons for security procedures are explained with examples of the effects of non-compliance on an organisation. 

    ASSESSMENT CRITERION 3 
    Security risks are identified and corrected within own area of authority. 

    ASSESSMENT CRITERION 4 
    Violations of security are identified and reported following established procedures. 

    SPECIFIC OUTCOME 4 
    Maintain confidentiality of customer and organisation information. 

    ASSESSMENT CRITERIA
     

    ASSESSMENT CRITERION 1 
    Situations where colleagues do not comply with security and confidentiality procedures are identified and reported to the appropriate authority following an organisation's procedures. 

    ASSESSMENT CRITERION 2 
    Information classified as confidential is recognised as such and is disclosed only to approved personnel. 

    ASSESSMENT CRITERION 3 
    Company and legal requirements are known and understood and all outputs/inputs to the storage system conform to established procedures. 

    ASSESSMENT CRITERION 4 
    All work activities are carried out according to the Code of Conduct and within the requirements of an organisation's security procedures. 


    UNIT STANDARD ACCREDITATION AND MODERATION OPTIONS 
    This Unit Standard will be internally assessed by the provider and moderated by a moderator registered by a relevant accredited ETQA or an ETQA that has a Memorandum of Understanding with the relevant accredited ETQA. 

    UNIT STANDARD ESSENTIAL EMBEDDED KNOWLEDGE 
    N/A 

    UNIT STANDARD DEVELOPMENTAL OUTCOME 
    N/A 

    UNIT STANDARD LINKAGES 
    N/A 


    Critical Cross-field Outcomes (CCFO): 

    UNIT STANDARD CCFO IDENTIFYING 
    Learners can identify problems relating to violations of established security procedures. 

    UNIT STANDARD CCFO ORGANISING 
    Learners are able to organise and manage themselves and their activities responsibly and effectively by following company and legal requirements/procedures regulating storage, retrieval and disclosure of information. 

    UNIT STANDARD CCFO COMMUNICATING 
    Learners are able to communicate effectively in reporting breaches of confidentiality and security. 

    UNIT STANDARD CCFO CONTRIBUTING 
    Learners are able to see the world as a set of related systems by understanding the implications on productivity when procedures are not followed. 

    UNIT STANDARD ASSESSOR CRITERIA 
    N/A 

    REREGISTRATION HISTORY 
    As per the SAQA Board decision/s at that time, this unit standard was Reregistered in 2012; 2015. 

    UNIT STANDARD NOTES 
    This unit standard replaces unit standard 8103 " Maintain an existing information system in an insurance environment", Level 2, 3 credits. 

    QUALIFICATIONS UTILISING THIS UNIT STANDARD: 
      ID QUALIFICATION TITLE PRE-2009 NQF LEVEL NQF LEVEL STATUS END DATE PRIMARY OR DELEGATED QA FUNCTIONARY
    Core  48783   National Certificate: Financial Services  Level 2  NQF Level 02  Reregistered  2023-06-30  INSETA 
    Elective  49089   National Certificate: Financial Services  Level 3  NQF Level 03  Reregistered  2023-06-30  INSETA 


    PROVIDERS CURRENTLY ACCREDITED TO OFFER THIS UNIT STANDARD: 
    This information shows the current accreditations (i.e. those not past their accreditation end dates), and is the most complete record available to SAQA as of today. Some Primary or Delegated Quality Assurance Functionaries have a lag in their recording systems for provider accreditation, in turn leading to a lag in notifying SAQA of all the providers that they have accredited to offer qualifications and unit standards, as well as any extensions to accreditation end dates. The relevant Primary or Delegated Quality Assurance Functionary should be notified if a record appears to be missing from here.
     
    1. CKP Development Agency (Pty) Ltd. 
    2. Faisit (Pty) Ltd 
    3. RJM Educational Consulting (Pty) Ltd 
    4. Sanlam Life Insurance Ltd 



    All qualifications and part qualifications registered on the National Qualifications Framework are public property. Thus the only payment that can be made for them is for service and reproduction. It is illegal to sell this material for profit. If the material is reproduced or quoted, the South African Qualifications Authority (SAQA) should be acknowledged as the source.