inf528 management – background at the beginning of this subject you were introduce

inf528 management – background at the beginning of this subject you were introduce
Background At the beginning of this subject you were introduced to the fictitious local government authority, the City of Riversea (the City) as a case study for records and archives practice. Throughout the modules you have been encouraged to reflect on and consider the recordkeeping issues and challenges presented at the City. This assessment is based on the case study. A new Chief Executive Officer (CEO) has been appointed to lead the recently created City through a period of change and growth. The City was created through the amalgamation of two regional local government authorities. In addition to addressing the amalgamation, she wants to focus on introducing new systems, processes and ways of working to take the City through the 21st century. As part of this renewal process you have been appointed as the Manager, Corporate Information to lead the development and establishment of a records and information management program appropriate to the City’s new direction. Your task The CEO has asked you to write a report on the ways in which the records and information management program needs to be developed to best meet the strategic directions and business outcomes of the City and enhance service delivery to the community. The CEO also wants to know how to get a better return on the investment in the EDRMS, and what needs to be done about managing the business systems and new technologies from a recordkeeping perspective. While she is supportive of the value of recordkeeping, some other members of the corporate executive are less convinced. Limited additional funds are available for any resources and projects. Remember, you are writing a report for the CEO and her executive to consider. The report should include the following: • an overview of the recordkeeping issues and challenges at the City. It should include the possible impact and consequences of not addressing them and any priority actions. • from these priority actions, identify two or three key priority areas you would like to address within in the next two years. You will need to explain the importance of these projects, any legislative and policy issues, the benefits and risks, how these relate or contribute to the strategic directions and business needs and how they assist the City in meeting its community obligations. It is important to consider any possible resourcing implications including capacity and capability issues; • a draft policy relevant to one of the issues and challenges under discussion; and • recommendations for addressing the issues and challenges, including the key areas identified. The corporate executive will be keen to see a balance between delivering a high standard of recordkeeping practice and achieving the strategic directions and business outcomes for the City as well as optimal service delivery to the community. This is also your opportunity to advocate for or promote the recordkeeping function. Suggestions for starting your research Franks, P. (2018). Records and information management. ALA Neal-Schuman. McLeod, J. & Hare, C. (2005). Managing electronic records. Facet Publishing. Millar, L. (2017). Archives: Principles and practices (2nd. ed.). Facet Publishing. Shepherd, E. & Yeo, G. (2003). Managing records: A handbook of principles and practices. Facet Publishing. Smallwood, R. (2013). Managing electronic records: Methods, best practices, and technologies. Wiley. Yeo, G. (2018). Records, information and data: Exploring the role of record-keeping in an information culture. Facet Publishing. RATIONALE This assessment task will assess the following learning outcome/s: • be able to explain and evaluate the key components comprising any recordkeeping management system. • be able to apply in-depth knowledge, critical thinking and informed judgment to practices and procedures for the capture and management of both analogue and digital records. • be able to critically reflect on various approaches to appraisal, and apply this knowledge to professional practice in the disposal of records. • be able to synthesise and critically reflect on issues surrounding standards and processes involved in acquiring and describing records. • be able to design, develop and critically evaluate in context appropriate policies and standards for the care of both analogue and digital collections. • be able to develop appropriate policies and standards to enable use and access to records and archives. The purpose of this task is for students to research and compile a report on recordkeeping strategy for an organisation that is dealing with various challenges in managing its current and archival records. The scenario draws on the case study that has been used throughout the subject. The task is designed to encourage real life responses that incorporate knowledge and understanding students have developed across the whole subject. MARKING CRITERIA AND STANDARDS Criteria High Distinction Distinction Credit Pass Fail Evidence of research and critical thinking about the contemporary issues impacting the management of current and archival records. (10 marks) Demonstrated through depth of analysis based on extensive reading and incisive critique of the issues impacting the management of current and archival records. Draws on broad research to inform substantial critical discussion of the issues impacting the management of current and archival records. Demonstrated through adequate and recent list of references and through a critical discussion which clearly identifies relevant issues. Demonstrated through limited critical discussion and a short list of references. Shows some understanding of the issues impacting the management of current and archival records. Report does not convey familiarity with recent literature and does not display sufficient understanding of the issues impacting the management of current and archival records. Understanding of the key management and technical issues associated with recordkeeping systems and infrastructure. (10 marks) Demonstrated through innovative treatment indicating advanced knowledge of management and technical issues. Uses outstanding examples. Demonstrated through succinct discussion that incorporates sustained analysis of issues and uses well-selected examples. Report identifies the main issues clearly. Discussion is supported by several relevant examples. Identifies some key issues but omits others. Discussion is superficial or concentrates on technical issues. Poor focus. Insufficient grasp of key management and technical issues in recordkeeping. Evidence of research and critical thinking about the influences of technology on recordkeeping standards and practice. (10 marks) Demonstrated through depth of analysis based on extensive reading and incisive critique of the relationship between technology and recordkeeping. Draws on broad research to inform substantial critical discussion of influences of technology on recordkeeping. Demonstrated through adequate and recent list of references and through critical discussion which clearly identifies relevant issues. Demonstrated through through limited critical discussion and a short list of references. Shows some understanding of influences of technology on recordkeeping. Report does not convey familiarity with recent literature and does not display sufficient understanding of technological influences on recordkeeping. Report that address the strategic directions and business needs of the organisation. (10 marks) Sophisticated and comprehensive report that is clearly aligned to strategic directions and business needs of the organisation. Incisive discussion of the issues and actions. Well-structured report that is driven by strong awareness of the strategic directions and business needs of the organisation. Issues and actions clearly explained. Report is realistic and sets out the issues and actions clearly and in alignment business needs and strategic directions. Report identifies some relevant issues and actions. Some elements of the report could be better explained and better aligned to business needs and strategic directions. Report does not address the business needs or strategic directions of the organisation. Draft policy that covers principles and practice for creating, using and managing records in an organisational environment (10 marks) Imaginative draft policy that demonstrates superior knowledge of principles and practice. Concise, well-crafted draft policy informed by strong familiarity with principles and practice. Draft policy includes clear statement of principles and practice relevant in an organisational environment. Basic policy that covers some principles and some areas of practice. No draft policy or does not provide sufficient coverage of principles and practice. Ability to present a report for a specified audience. Clarity of written expression and correct acknowledgement of sources using CSU APA 7th style. (10 marks) Excellent report that incorporates awareness of the audience throughout. Exceptionally well-written. Free from grammatical and spelling errors. All sources acknowledged correctly. Report is within word count. Well-focused report that uses examples relevant to the audience. High standard of writing. All sources acknowledged correctly. Report is within word count. Report is clearly presented and is mindful of the audience. Clearly written but may have minor errors in expression and referencing. All sources acknowledged. Report is within word count. Report generally directed at the audience. Mostly clear writing, with some errors of expression. Proof-reading needs work. Not all sources acknowledged or inconsistent referencing. Report is within word count. Does not have a report structure and ignores the specified audience. Poor expression and proof-reading. Sources insufficiently acknowledged. Poor referencing. Report length is outside word count. PRESENTATION Presentation This assignment should be presented as a report that includes: • Title Page; • Table of Contents; • Executive Summary; • Recommendations (to be include in the Executive Summary); • Main body of the report, including your draft policy; • Conclusion; and • References. Please remember to include a title page for the report in addition to the cover page you usually provide with your assessment. Please consult the School of Information Studies webpage on presentation guidelines. Word count The word count includes all words in the executive summary, recommendations and the main body of the report, including your draft policy, and conclusion. It does not include the cover page of your assessment, the title page of the report or the list of references. Records and Archives Practice 202160 Case Study: Records and Archives Management at the City of Riversea Background The City of Riversea (the City) is a regional local government authority (LGA). It is one of the fastest growing regions in the State due to its proximity to the capital city and its idyllic coastal location at the mouth of the Scenic River. In a recent local government amalgamation program, a smaller adjoining LGA was incorporated into the City. The City provides the usual range of services and facilities including: Family and community services; Parking, roads and transport; Property and planning services; Arts, heritage and sports; Environment and waste; Pets and animals; Tourism; and Business services. It has multiple sites across the LGA. Examples of these include, but are not limited to: Administration centres; Community centres; Works depots; Recycling plants; Venues, parks and gardens; and Libraries. A main office and council chambers have been established. Staffing has been consolidated and a new Mayor and councillors elected. Some work has been done on reviewing the various systems and technologies and on identifying, improving, replacing and/or abolishing work practices and processes. Work is also well underway on amalgamating, unifying and applying consistent approaches to such business activities as strategic planning, governance, risk management, Freedom of Information and asset management. The functional areas of the City include urban planning, community development, technical services, governance and legal, organisational development, strategic planning and corporate services. The latter includes the usual corporate services functions of human resources, finance and information technology (IT). Currently, the Records Management Branch sits in the Corporate Services Directorate, while the library service and the cultural and heritage services are in the Community Development Directorate. There are several pieces of key legislation that apply to the City as an LGA. These include, but are not limited to the: State Records Act; Local Government Act; Local Government Financial Services Act; Freedom of Information; Privacy Act; and Building Act and Building Code. A new Chief Executive Officer (CEO) has been appointed to lead this somewhat traditional but new City through a period of change. In addition to establishing a new strategic direction with clear business outcomes, she needs to respond to the State Government’s directive to deliver on digital transformation. As such, the CEO wants to focus on introducing new systems, processes and ways of working to take the City through the 21st century. Records Management The City has a Records Management Branch which sits within the IT Branch in the Corporate Services Directorate. Following the amalgamation, the records management functions of both LGAs were combined. The area has been overseen by a senior records officer with the assistance of six additional officers. The City is now considering the appointment of a Manager, Corporate Information to lead the development and management a records and information management program that will meet the needs of the City and its strategic direction. Due to the amalgamation, the City has a hybrid approach to records management. That is, it is managing paper-based and digital records. A significant number of digital records are created and captured on the network drives. Generally, these records are managed by the staff who actually create and use the records. In the main, the records management practices are not robust or of a high standard. The Branch provides some customer support and has some records management tools, such as a retention and disposal authority. However, due to the amalgamation there are two of these. Unfortunately, neither of them has been applied for over five years, resulting in a backlog of disposal and a basement full of boxes. There are no consistent or common policies, procedures or guidelines to govern records and archives management. There is one disaster recovery plan but no disaster management plan. There isn’t a Business Classification Scheme, but there is a collection of file plans specific to each Directorate and each former LGA. That is, each Directorate has a list of terms that it uses for classification, indexing and titling its digital records, and which the Records Management Branch uses with the paper-based files. Fortunately, both of the LGAs had implemented and were using the same EDRMS. The two were both implemented about two years ago. Uptake by staff has been spasmodic and most still retain their records on shared and personal drives. They also make heavy use of USB drives. Unfortunately, when the EDRMS were implemented across the individual LGAs, no functional specifications were drawn up and businesses cases weren’t developed to justify the procurement. The implementation, in both instances, was controlled by the IT Branch in conjunction with the vendor. Little time and few resources have been put into training staff in how to use the EDRMS. The existing records staff are not skilled in providing the necessary system administration or support. Therefore, the integrity of the system is questionable. Business Systems Across the City, and over time, significant investments have been made in systems which create and store information and records. These business systems include: Finance; HR and payroll; Health and safety; Project management; Venues booking; Asset management; Property and rates; Risk management; Library management; and Maintenance management. The selection of these systems has been largely uncontrolled with little consideration to integration. Some of them are hosted in the cloud. There is little, if any, recognition that these systems could be creating and capturing records. Over the past two years both of the LGAs which now comprise the City moved to using mobile technologies to assist with the management of such activities as community service field operations, maintenance management, ranger and parking services and health and building inspections. A wide range of staff are using tablets, smartphones and apps to manage and record aspects of their work. There is an inconsistent approach to capturing and storing the records. The Public Affairs Branch has started to use social media to promote the new City and to keep the community informed of any issues or developments. The website is managed by the IT Branch. Historical Collection Individually and collectively, both LGAs, and thus now the new City, have heritage collections. The library services have been collecting numerous artefacts over the years. The general public, former staff members and researchers have deposited books, journals and private papers on the history of the region and general area. A well-known local historian was associated with the region and documented much of the region’s history, growth and development. Some of his personal papers are also now with the library. As he was also employed some years ago by one of the LGAs to write a book about the history of the area, there are official records of this project. The historical collection is now substantial and attracting attention. To date, the public, mainly researchers, have had limited access to this material. There are some questions about the appropriateness of the library holding personal papers, if they are personal papers, and the future of the collection and access to it. Adding to these dilemmas is a large collection of potential archival records in secondary storage. No one is sure of the extent of the collection or the status of the records. Decisions need to be made about their future and the need to transfer them to the State Records Office. Where to now? If you were the Senior Records Officer what advice would you offer to the Manager, Corporate Information on where to begin? What would be your priorities? Do you set up your plan based on the outstanding records management issues? Do you focus on the strategic direction and the business needs? What do you think the staff would want done, and would this be different from what the Corporate Executive would want? What is the best support you can provide to the strategic direction and business outcomes of the department?
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