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1500 word， answer
questions a, b and c.
a) Investigate and report on the recordkeeping challenges and problems facing your organisation. Draw on relevant websites, reports and Records Disposal Authorities, etc. to undertake an Organisational Recordkeeping Analysis to identify challenges and problems specific to your organisation.
• What is the mission and core business of this organisation? What is its structure? What are its core functions?
• What is the regulatory environment? What is the accountability framework? What organisation(s) govern its business, recordkeeping and archival practices? What is the nature of the organisation’s relationship with regulatory organisations (e.g. roles, responsibilities, reporting)?
• Who are the main stakeholders? What accountability issues does this give rise to?
• What kind of organisational culture might it have? What kind of cultural context? What accountability issues does this give rise to?
• What are the main risks associated with recordkeeping in this organisation?
b) Develop a set of guidelines and recommendations relating to Recordkeeping System Requirements and their implementation:
• An organisational recordkeeping framework
• The main features of a general recordkeeping policy for the organisation, and policies relating to appraisal and access
• An organisational records preservation and archiving strategy
• The selection of recordkeeping tools, e.g. metadata schemas, encoding schemes, disposal instruments
• Technology options and technology requirements needed to support recordkeeping in the organisation, including software systems and integration with other business information systems
• Ongoing monitoring and evaluation
c) Make a Business Case for improved recordkeeping in the organisation, identifying areas for priority action. Include:
• The potential (tangible and intangible) benefits to the organisation of improved recordkeeping
• Justification of your recommendations with reference to the key recordkeeping challenges and problems, and the benefits of improved recordkeeping
• The strengths and weaknesses and resource implications of your solution
This report plans to provide some effective guidance and advice for our selected organization- Major Project Victoria, which involved in the improved record-keeping system, in terms of frameworks, policies, standards, strategies, tools and technologies. This paper also aims to provide comprehensive recommendation based on the evaluation the benefits and weaknesses of organization.
Background & Introduction:
The significant responsibility of the government that is also known as the core function of the government is investing and constructing infrastructure. The investment is able to bring considerable benefits, which involved economic, environmental and social. Productivity is increased, service delivery are promoted, and natural environment are improved by investment. Besides, the investment that is invested in Victoria is enormous. According to estimation of the Victorian Government, the total value of current project is about $35.6 billion. It worth to mention that, only in 2013-2014, $7.6 billion is invested. Major Projects Governance Protocol that is published in 2006 by the Victorian Government provides a guidance to decide who is best placed to deliver major projects. In the protocol, the major project is defined that projects must follow at least one of the requirement, which is listed below:
1. The estimation of the total value over $100 billion
2. Projects are private public partnership
3. According to project complexity, risk are rated
And Major Projects Victoria was first established as the main project unit of the urban land authority in 1987.It aims to manage projects involving government land development and sales.This reflects the government's aim of improving the efficiency of land use.The Major Projects Unit was also accountable for major state projects allocated to the government.MPV's current role is to provide the Victorian government with "specialist project delivery services".
In order to balance the position and power of MPV, effective governance and strong accountability are required. Although MPV is a division of business and innovation (DBI) as a unique entity, it operates more as an adviser or independent entity. It has its own financial system and operates in legislation which includes fulfilling its responsibility and functions, implemented by appropriate administrative and governance arrangements.
MPV’s core functions as a facilitating agency:
•To promote public construction of departments and public institutions.
•To provide advice, information and advice to departments and public institutions.
•To offer Minister with advice on Major Projects. Complying with legislative principles, MPV also plays its responsibility via its planning processes. Especially on business plans annually.
MPV’s role should be expanded:
•MPV is the center of projects within the government and plays a leading and vital role in reinforcing the government's project management abilities
•MPV is the central point between government and the private sector, acting as an interface between the two for interaction.
•MPV played as a central agencies, a broker, and an external stakeholders resources for major projects issues, such as assisting in business case analysis and project scheduling and prioritization.
Specifically, MPV undertake the following functions:
•Acting a leadership role in developing project management expertise, industry knowledge, reviewing project and risk evaluations.
•Playing a supporting role in whole-of-government project cooperation, business- based development and project performance indicating.
Regulatory environment and Framework:
MPV has a project management framework (PMF), which was first released in July 2008.It offers guidance on MPV’s project management activities, processes and procedures including start-up, development, procurement and delivery. The PMF describes necessary needs and standard information contained in plans, but also needs some agile and customized plans from project to project. Before 2008, MPV had no documented PMF that depended on the capabilities and experience of its staff and contractors to conduct project delivery, which have some huge risks in the absence of completed documented framework. Such as failed to fully develop key project management documents. Appropriate planning may have a positive influence on the efficiency of project management. MPV noticed these risks in deciding to create and implement the PMF to help all MPV project management staff to execute their duties and accountability, providing a consistent method in managing and implementing projects.
In terms of its stakeholders, the entity has three main categories of stakeholder. The first levels of the stakeholders are the contracting government departments and organs. These are the direct clients’ with whom it works with in the respective property development and project management projects. The second stakeholder is the government. This is the funding entity and requires accountability on the financial use of the allocated resources (Victorian Auditor General, 2012). The final and evidently the most important stakeholder is the general public. This is the stakeholders’ category from whom the used resources by the government are drawn from as well as the projects’ are intended and aimed at benefiting. Thus, through public availing of its non-classified documentation to the public for accountability and transparency.
Risks associated with recordkeeping in this organization:
Organization found that department failed to meet record legislative requirements , which result in an increases of risk of fraud. In terms of internal contracts management. In addition, the issue of missing contracts, and variations without adequate reason or assessment of performance not only mitigate transparency and accountability, but raise the risk of mistakes.
Moreover, the process is mainly manual in MPV, and most of the information comes from hard-copy documents obtained from the archive, which raises the risk of unreliable data.
•The project management framework with better practice were not regularly implemented, leading to poor project planning, unsatisfactory results and added costs.
•Untrustworthy data collection procedures and inadequate reporting performance fail to meet public sector standards.
In addition, in terms of managing internal contracts, there were also major drawbacks in MPV’s approach. Such as the lack of contracts, inadequate justification and questionable recruitment practices.
Management deficiencies about diminishing responsibility and transparency result in the increased risk of error and fraud.
It is recommended that an recordkeeping framework should includes three components: Recordkeeping Strategy, Recordkeeping Policy and Stakeholder Engagement.
In terms of recordkeeping strategy, an overview of the recordkeeping environment of the organization may be provided by recordkeeping strategy that is a high level document. Also, specific relations between recordkeeping and the strategic direction of the organization are presented by recordkeeping strategy. Besides, recordkeeping strategy can help organization fully understand recordkeeping process within the context of the overall business environment. Definitely, an good recordkeeping strategy may bring a large number of benefits:
1. Efficiency of the business practice is increased by strategy
2. The evidential,accountability and regulatory compliance of organization is assisted by recordkeeping strategy
3. Risks that are related to recordkeeping system and practice are decreased
4. It is a strategic direction of recordkeeping that may be communicated in organization
5. The needs for recordkeeping that are shown in planning and decision regarding strategic direction of organization and the need for business area are communicated.
6. A useful and effective way for recordkeeping activity is provided by recordkeeping strategy.
7. A collaborative culture of good recordkeeping activity is promoted by recordkeeping strategy
And if a recordkeeping strategy is effective, it must：
1. Be regularly updated, maintained, captured and improved
2. Help organization identify and mitigate risks that are related with recordkeeping practice
3. Be executed in whole organization
4. Involve needs, collaborate culture and technology environment of organization
5. Meet the recordkeeping requirement of organization and adopt business environment
6. Be approved by top management
7. Be accurately resourced because of strategy’s goal
And there are several key components involved in recordkeeping strategy:
1. Purpose and scope
3. Key aims
4. Reason for change and improvement
5. Implementation plan
6. Evaluation measures
7. Approval and review
In the case, Major Project Victoria preserve and archive business plans as documents more than 10 years. The mission and vision of Major Project Victoria are outlined in the business plan. The business plan is associated with leadership provided by Major Project Victoria in deliverable project and project management. Also, diversified roles that Major Project Victoria thinks it may perform are located in the business plan.
In terms of recordkeeping policy, an overall overview of how the organization should capture, maintain its records to align with business, legal and stakeholder requirements is provided by an organizational recordkeeping policy.
An effective recordkeeping policy must:
1. Show current business, legal and stakeholder needs.
2. Include all recordkeeping system
3. Include all recordkeeping process
4. Be accessed regularly
5. Be assisted by recordkeeping tools, guidance and laws
6. Be associated with business activity that is related to recordkeeping
7. Be communicated and known in organization
8. Be approved and supported by the senior management
9. Consist with the environment, strategic direction, policy framework, and recordkeeping plan
10. Enable reliable assessment to be monitored.
Same with recordkeeping strategy, an effective recordkeeping policy has positive impact on recordkeeping management:
1. Legal behaviour is encouraged
2. Efficiency of business activities, practices, and services are improved
3. Risks that are linked to recordkeeping system and practice are decreased
4. A collaborate culture of good recordkeeping process is promoted.
5. Supervise all organization’s staffs to do good recordkeeping activity
6. Help all organization’s staffs realize their responsibility of recordkeeping management
7. The evidential,accountability and regulatory compliance of organization is ensured by recordkeeping strategy
It is recommended that a recordkeeping policy should have these key components:
3. Policy statement
6. Recordkeeping system
9. Systems and tools
11. Monitoring & Assessing
In terms of stakeholder engagement, it is required by strategic recordkeeping plan. Everyone who is in organization and related to recordkeeping activity may create, maintain and disposal record. Not only that, technology always has influence on recordkeeping practice,
Recordkeeping practice build relationship with stakeholder by a set of activities:
1. Identify and analyze stakeholders
2. Consultation with stakeholders
3. Crisis management
4. Stakeholder reporting
5. Negotiation and reporting
MPV records management:
MPV has now established a recording management system, which is a basic requirement of all public sector agencies. It provided guidance for record management, which required the use of its document management system for all MPV employees.The guidelines also specify file structure and file naming conventions.
The main project in Victoria has a continuing record system covering projects in many areas including roads, hospitals, schools, prisons and emergency services. The record in MPV played as the official archive of the State of Victoria, which maintain evidence of the past decisions and behaviour, promoting transparency, responsibilities in Victoria.
The benefits to the organisation of improved recordkeeping(In terms of DOH)
Keeping sufficient and accurate records can support organization in legal and making more appropriate decisions and actions.
Part a: Record Keeping Overview at Development Victoria
Mission and core business
Development Victoria was officially formed in April 2017 after the merging of the traditionally Major projects Victoria (established 1987) with Places Vitoria. This analysis evaluates the current Development Victoria and the earlier Major project Victoria.
· The overall mission of the organisation is to ensure that it supports the government and its departments in managing complex social infrastructure and construction projects.
· The mission roles of the organisation are categorised and demonstrated in its main three critical services. The services offered are project management on unique, large and complete construction projects for the government.
· Secondly, it offers property development services on some of the projects and finally offers partnership management services for large public-private partnership initiatives (Development Australia, 2017).
Regulation environment and accountability framework
The organisation is a public entity that works in conjunction with the government organs and departments. This means that the entity relies on the funding from the public sector for its internal operations and manages social infrastructure projects with and on behalf of the government departments. This places the huge responsibility of managing public finances and offering transparency in such operations. The overall regulatory framework governing the organisational systems is in two-fold.
The basis on which the government and by extension, the public invests in the entity is because it adds value in the property and construction process. Thus, the relevant documentation and records proving this value should be stored for verification and validation by the relevant stakeholders.
In terms of its stakeholders, the entity has three main categories of stakeholder.
Part b: Guidelines and Recommendations
With respect to the mentioned challenges on the lack of important information and records access, this section offers a strategic guideline and regulations analysis on the Development Victoria entity. The proposed framework is the provision of reports and documentation on a project by project basis.
Recordkeeping Framework and archiving tools
Currently, only the financial data is available for such projects. However, as indicated above, it is not possible to make the conclusions on the effectiveness of the project management process through a financial accountability alone. Thus, a process of the processes involved, stages included, the personnel involved, and the time runs of a given project should be provided. In the execution of every project, a project charter and a monitoring tool are involved. The critical paths of such projects and the associated Gantt charts should all be availed to the public. This would allow the public develop a qualitative analysis and critique of the applied project management systems applied by the entity. In this respect, it would help demonstrate to the public and all the involved stakeholders on the extent to which its expertise plays a role in creating effectiveness' and the suitable and cost-effective usage of public finances (Kennedy & Schauder, 1998).
Record keeping, technology tools, and monitoring tools
In terms of the information access, it should have a twofold approach.
This will ensure that the current records gap that is only filled by publicly published financial reports is filled with additional relevant qualitative data.
Part c: Recording Areas Recommendations
Benefits and Justifications
The process of developing a qualitative record system and availing it to different stakeholders will go a long way in creating a positive perception and informed analysis of the entity. On the one hand, the authors report on the entity in 2012 argued that the entity did not demonstrate that its operations created effectiveness’ in handling property management projects. In this case, the report noted that the organisation had not failed in creating effectiveness but failed in providing information that could validate this argument. As such, its role in creating value in project management and property development could not be ascertained in the report. This is a challenge that the use of qualitative records on the organizational website front end would guarantee. In this case, through authorised aces to such coded data, the relevant authorities would have enough information to make critical conclusions on the role of the entity in creating the process effectiveness. The second positive impact of using the website archives back end as a recording platform would impact on the public (Whatley & Brown, 2012). As already argued the entity is a government agency and is expected to operate and function for the good of the society and citizens of Australia. However, failure to offer the qualitative documentation reduces the public confidence on the entity. However, the availability of the information required would ensure that there is a build up of confidence and trust on the process. In the long run period, this would create a basis for the entity operations' support and encouragement by the public who inform a number of budgetary allocations done on an organisation.
Strength and weakness on Resource implications
The resource implications of the proposed use of software and website based record keeping system would mean that the organisation would need to invest in its current website composition.
Nevertheless, this analysis argues that despite the weak areas in the record system the possible gains are higher making it a feasible alternative for the entity.