SAQA 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.
SOUTH AFRICAN QUALIFICATIONS AUTHORITY 
REGISTERED UNIT STANDARD THAT HAS PASSED THE END DATE: 

Administer and maintain a security information library in a banking environment 
SAQA US ID UNIT STANDARD TITLE
7095  Administer and maintain a security information library in a banking environment 
ORIGINATOR
SGB Financial Services 
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  6 
REGISTRATION STATUS REGISTRATION START DATE REGISTRATION END DATE SAQA DECISION NUMBER
Passed the End Date -
Status was "Reregistered" 		 2003-12-03  2004-08-11  SAQA 1351/03 
LAST DATE FOR ENROLMENT LAST DATE FOR ACHIEVEMENT
2005-08-11   2008-08-11  

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 is replaced by: 
US ID Unit Standard Title Pre-2009 NQF Level NQF Level Credits Replacement Status
114768  Administer and maintain a security information library in a banking environment  Level 3  NQF Level 03  3   

PURPOSE OF THE UNIT STANDARD 
This unit standard is intended for people who are responsible for the safekeeping of formal and informal security documents. People credited with this unit standard are able to log records in and to withdraw records from a filing location, to provide copies of documentation in custodianship and to maintain the image and accuracy of the library. 

LEARNING ASSUMED TO BE IN PLACE AND RECOGNITION OF PRIOR LEARNING 
Demonstrated competence in the use of administration equipment such as photocopy machine, scanning and fax machine. 

UNIT STANDARD RANGE 
Specific Outcome 1: New records; Individual documents; Re-entering of existing records.

Assessment Criteria 1.3: Recordings include, but are not limited to manual recording e.g. registers, use of technology e.g. imaging, storage tracking system and acknowledgment of receipt.

Assessment Criteria 1.4: Negotiable instruments are logged in under dual control and at a separate filing location.

Assessment Criteria 2.1: Requests may initiate from, but are not limited to written requests from branches and internal departments and system generated listings.

Assessment Criteria 2.2: Criteria include, but are not limited to duly authorised request form, mandated signatures, reason for withdrawal and document details e.g. customer details, account number and description of security.

Assessment Criteria 2.3: Specifications include, but are not limited to sign-off in register / withdrawal form, the recording of removed records on storage tracking system and the withdraw of negotiable instruments under dual control.

Assessment Criteria 2.4: Specifications include, but are not limited to the use of a secure dispatching method e.g. registered delivery, hand delivery or collection and acknowledgment of receipt.

Assessment Criteria 3.1: Requests may initiate from, but are not limited to written and/or telephonic requests from branches and internal departments; and personal (face-to-face) requests from customers.

Assessment Criteria 3.2: Specifications include, but are not limited to duly authorised request, mandated signatures and positive identification of customer.

Assessment Criteria 3.5: Proof of provision and recording include, but are not limited to fax transmission sheets, tracking numbers, signature of recipient in registers; filing of request form in security record.

Assessment Criteria 4.1: Reparation of damaged records and the opening of new/additional files. 

Specific Outcomes and Assessment Criteria: 

SPECIFIC OUTCOME 1 
Log security records in 
OUTCOME RANGE 
New records; individual documents; re-entering of existing records. 

ASSESSMENT CRITERIA 

ASSESSMENT CRITERION 1 
1. Approved security records and/or documentation are received for safekeeping according to company specifications. 

ASSESSMENT CRITERION 2 
2. The content of the record is verified and completeness is confirmed in accordance with company specific requirements. 

ASSESSMENT CRITERION 3 
3. Records received for safekeeping are recorded according to company specific requirements. 
ASSESSMENT CRITERION RANGE 
Recordings include, but are not limited to manual recording e.g. registers, use of technology e.g. imaging, storage tracking system and acknowledgment of receipt.
 

ASSESSMENT CRITERION 4 
4. Records are filed in accordance with the specifications of the filing/storage system in use and type of security. 
ASSESSMENT CRITERION RANGE 
Negotiable instruments are logged in under dual control and at a separate filing location.
 

SPECIFIC OUTCOME 2 
Withdraw security records from filing location 

ASSESSMENT CRITERIA 

ASSESSMENT CRITERION 1 
1. Request to withdraw records from library is received and recorded according to company specifications. 
ASSESSMENT CRITERION RANGE 
Requests may initiate from, but are not limited to written requests from branches and internal departments and system generated listings.
 

ASSESSMENT CRITERION 2 
2. The authenticity of the request is verified according to company specific criteria. 
ASSESSMENT CRITERION RANGE 
Criteria include, but are not limited to duly authorised request form, mandated signatures, reason for withdrawal and document details e.g. customer details, account number and description of security.
 

ASSESSMENT CRITERION 3 
3. The requested security records are located and removed from location according to company specifications. 
ASSESSMENT CRITERION RANGE 
Specifications include, but are not limited to sign-off in register/withdrawal form, the recording of removed records on storage tracking system and the withdraw of negotiable instruments under dual control.
 

ASSESSMENT CRITERION 4 
4. Records are prepared and released from library as per request and company specifications. 
ASSESSMENT CRITERION RANGE 
Specifications include, but are not limited to the use of a secure dispatching method e.g. registered delivery, hand delivery or collection and acknowledgment of receipt.
 

SPECIFIC OUTCOME 3 
Provide, on request, copies of security documents in custodianship 

ASSESSMENT CRITERIA 

ASSESSMENT CRITERION 1 
1. Requests for copies are received and recorded according to company specifications. 
ASSESSMENT CRITERION RANGE 
Requests may initiate from, but are not limited to written and/or telephonic requests from branches and internal departments; and personal (face-to-face) requests from customers.
 

ASSESSMENT CRITERION 2 
2. The authenticity of the request is confirmed in accordance with company specifications. 
ASSESSMENT CRITERION RANGE 
Specifications include, but are not limited to duly authorised request, mandated signatures and positive identification of customer.
 

ASSESSMENT CRITERION 3 
3. The filing location of the requested document is determined and records are removed from location according to company specifications. 

ASSESSMENT CRITERION 4 
4. Documents are reproduced in accordance with request and company specifications. 

ASSESSMENT CRITERION 5 
5. Proof of provision of copies is obtained and recorded according to company specifications. 
ASSESSMENT CRITERION RANGE 
Proof of provision and recording include, but are not limited to fax transmission sheets, tracking numbers, signature of recipient in registers; filing of request form in security record.
 

SPECIFIC OUTCOME 4 
Maintain the image and accuracy of the library 

ASSESSMENT CRITERIA 

ASSESSMENT CRITERION 1 
1. The condition of security records and content thereof are monitored and rectified, when necessary, in accordance with company specifications. 
ASSESSMENT CRITERION RANGE 
Reparation of damaged records and the opening of new/additional files.
 

ASSESSMENT CRITERION 2 
2. Outstanding records are followed-up, retrieved and re-entered into library according to company specifications. 

ASSESSMENT CRITERION 3 
3. Misfiled/lost records are reported and actions are taken to retrieve the records according to company specifications. 

ASSESSMENT CRITERION 4 
4. On receipt of notification, obsolete records are recorded and prepared for archiving in accordance with company specifications. 

ASSESSMENT CRITERION 5 
5. Security records are compared and correspond with security database. 


UNIT STANDARD ACCREDITATION AND MODERATION OPTIONS 
Accreditation process (including moderation):
  • Anyone assessing a learner against this unit standard must be registered as an assessor with the relevant ETQA.
  • Any institution offering learning that will enable achievement of this unit standard or assessing this unit standard must be accredited as a provider with the relevant ETQA.
  • Moderation of assessment will be overseen by the relevant ETQA according to the moderation guidelines in the relevant qualification and the agreed ETQA procedures.

    Therefore anyone wishing to be assessed against this unit standard may apply to be assessed by any assessment agency, assessor or provider institution which is accredited by the relevant ETQA. 
    		•

    UNIT STANDARD ESSENTIAL EMBEDDED KNOWLEDGE 
    Learners are able to:
  • Differentiate between types of documents - formal and informal securities
  • Explain the process for registering security records
  • Explain the use, layout and principles of company specific manual and/or electronic filing systems
  • Realise the importance of adhering to security regulations
  • Interpret requests and instructions and determine the necessary actions required
  • Use of company specific administration equipment e.g. photocopier, fax and scanning machine 
    		•


    Critical Cross-field Outcomes (CCFO): 

    UNIT STANDARD CCFO IDENTIFYING 
    The learner is able to identify and solve problems when locating records, ensuring records are only reported as lost/misfiled once all possibilities had been considered. 

    UNIT STANDARD CCFO ORGANISING 
    The learner is able to organise and manage his/her activities responsibly and effectively, ensuring that all security records are filed accurately and timeously. 

    UNIT STANDARD CCFO SCIENCE 
    The learner is able to use technology effectively, ensuring the effective completion of the task at hand. 

    UNIT STANDARD CCFO DEMONSTRATING 
    The learner is able to demonstrate an understanding of the relationship between internal departments and the importance of networking to effectively administer and maintain a security information library. 

    UNIT STANDARD NOTES 
    This unit standard has been replaced by unit standard 114768, which is "Administer and maintain a security information library in a banking environment", 3 credits, NQF Level 3, as from 11 Aug 2004.

    Terminology:
  • Security information refers to all formal and informal security documents held in custodianship.
  • Examples of negotiable instruments are share certificates, investments, stocks and unit trusts.

    Assessment against unit standard:

    Assessment practices against this unit standard should meet the requirements of established assessment principles, such as validity, reliability and fairness. Assessment activities and tools, which are appropriate to the context in which learners are working, should be used. The assessment should ensure that all the specific outcomes, critical cross-field outcomes, and essential embedded knowledge are assessed. Learners are required to demonstrate that they can perform the specific outcomes with understanding and reflexivity and, where applicable, within all the situations and circumstances defined by the range statement(s). 
    		•

    QUALIFICATIONS UTILISING THIS UNIT STANDARD: 
      ID QUALIFICATION TITLE PRE-2009 NQF LEVEL NQF LEVEL STATUS END DATE PRIMARY OR DELEGATED QA FUNCTIONARY
    Elective  20183   National Certificate: Banking  Level 2  NQF Level 02  Passed the End Date -
    Status was "Reregistered"     		 2015-06-30  BANKSETA 


    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. Nedbank Ltd 
    2. Standard Bank Personal and Business Banking 
    3. THE SHERQ CENTRE OF EXCELLENCE PTY 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.