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Task
1500 word， answer
questions a, b and c.
PROJECT COMPONENTS
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
Solution
Introduction:
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.
A)
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.
Main stakeholders:
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.
Accountability issues:
The 2012 audit results
show that MPV cannot prove it be effective, efficient or economical to operate
and manage infrastructure projects. Due to the lack of supervision and
effective internal control, with low standards of governance and absence of
organizational integrity and accountability:
•Participate in and
manage the bad processes of contractors and related internal contracts.
•Records management
practices fail to meet the needs of the Public Records Act 1973.
•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.
MPV failed to rely on
its legal advice and properly guaranteed its contractor status. As a result, it
did not address the potential issues identified in the 2012 audit. Hence, the
MPV contractor's employment situation remains risky.
B)
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
2. Vision
3. Key aims
4. Reason for change and improvement
5. Implementation plan
6. Evaluation measures
7. Approval and review
8. Objectives
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:
1. Purpose
2. Scope
3. Policy statement
4. Standards
5. Responsibility
6. Recordkeeping system
7. Penalties
8. Glossary
9. Systems and tools
10. Reference
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.
C)
The benefits to the organisation of
improved recordkeeping(In terms of DOH)
The advantages of
keeping correct, reliable and usable records may greater promote practicing the
business in efficiency and effectiveness, which can enable to access
information by meeting all commitment and requirements of business.Such as, in
the Department of Health, an effective record keeping is beneficial to all
medical practice that it can promote the effective daily operation of practice
and help appropriate way in maintaining
the patient information. With other benefits associated with effective record
keeping. These include keeping the confidentiality of clinical documents,
supporting employees to work more effectively and ensuring the business
persistence.
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.
·
First, it has a financial
transparency responsibility. In this case, for any project managed and
supported, the entity has the legal responsibility under the Australian
financial transparency laws to account for all finances spent and offer the
records to the relevant authorities such as the auditor general and the public
for scrutiny.
·
Secondly, the
organisation has a responsibility of demonstrating that it applies effective
property management systems and procedures for the benefit and value generation
on behalf of the citizens. Thus, it is under the obligation to file and store
critical information regarding the management process.
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.
Stakeholders
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.
Risks associated
·
The current entity record
keeping has a major challenge in that a report by the Auditor General in 2012
evidenced that the organisation was unable to demonstrate to the public and the
external stakeholders that its applied systems were effective an efficient.
This is a demonstration that the currently applied record keeping systems were
inefficient.
·
The entity had focused on
the financial accountability aspects alone and overlooked the need for offering
operations and processes information and update on each of the undertaken
projects.
·
The organisation could
into the future adopt a different culture. This is a culture of preparing
documentation and records on its process and operational; practices to the
extent that such information does not the negative impact on its information
and process operations confidentiality.
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).
·
The major recommendation
is a deviation to not only storing an offering financial quantitative records
and information, to the storage and provision of the qualitative process that
demonstrates the value of the entity expertise.
·
In the management of the
proposed recording, this analysis recommends that the entity should use a
software-based coded approach in managing the records. This should be
information available online. In the wake of the developing and the emerging
technology developments, it is expected that every organisation should have a
website. This is a platform through which all information regarding an
organisation is not only stored but is also archived for future use as a
historical data reference source.
Record keeping, technology tools, and
monitoring tools
In
terms of the information access, it should have a twofold approach.
·
First, it should have a
front-end access point that should be encrypted and coded. In this case, only
the persons with restricted access such as its partners and the government
authorities would be granted access to this front end part of the information.
This should be information that is classified and would lead to a breach of
contracts and clients confidentiality in the event that such information was
accessed by the general public.
·
The second fold of such
record keeping should be on the back end platform of the website. This is a
platform in which all clustered and stored information is publicly available
(Bantin, 2007). This information is not classified or coded. Thus, any user
accessing the website would have access to such information.
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.
·
Currently, the website is
relatively static and lack critical archive tables on records and project
details. In this case, only an overview of the undertaken projects is
available.
·
The entity will need to
invest in the infrastructure through creating a front and back end platforms
for information access as specified above (Jaffa, 2012).
·
The weakness in the
process is that it will require either retraining or hire new techno-savvy employees.
This would mean an increased cost of operations and the need to readjust
systems of operations.
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.
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