Case Study: Neo Training You have been working at Neo Training for several months and your direct manager, Michael Duffy (Administration and Business Support), has enlisted your help in the streamlining of administrative processes within the organisation. There have been numerous complaints made by staff directly related to the existing information systems used by the organisation. This is resulting in frustration by staff who need to access reliable information to fulfil their roles.
Upon review, it has been found that certain information is no longer current or valid. It is also difficult to search for certain information which staff need to access regularly. There is a key area of information which has been identified as inadequate in the current system and will require a review: Product and service information including marketing materials such as brochuresand course breakdowns.•There are several versions of brochures in the system for the programs being delivered and many of them are out-dated.•Sales and marketing teams have been using the old versions of documents and this is causing issues as the wrong information and pricing of programs is being given to prospective students.
•There is a program file called ‘Marketing materials’ on the C drive but there is also another file of the same name in the Server. The documents in each location are a mix of current and old information and staff are confused as to which area they should go to for correct documents and which documents they should access.The following list includes documents which need to be stored correctly with the most current and reliable information available, in the marketing file:•Product brochures for Certificate III and IV in Business•Price lists for Certificate III and IV in Business•Program enquiry forms for each course•Marketing Consent form•Schedule of Course Fees
•Payment Terms. The business has been growing rapidly and the need to implement a more efficient method for managing and storing information is necessary because as staff numbers increase, more people need to access specific information.Michael has requested that you undertake all necessary action to implement appropriate workplace information systems for the identified areas of concern. You will need to discuss the systems and processes needed with key staff during your review. They are:•Jamie Stubbs – Receptionist•Troy Simpson – Sales and marketing manager•Sally Johnson – Administration manager.
Activities: In order to complete the set activities below, you must first read the policies and procedures provided in the following appendices to ensure all your completed activities meet the organisational requirements of Neo Training. •Appendix A: Records Management and Maintenance of Records•Appendix B: Document Version Control. Before you are able to implement a new system for managing the information which was identified in the Case Study, you need to collect and analyse existing information to determine if it is sufficient and appropriate.Activity 1: Identifying, analysing and reporting on information needsMichael has requested that you conduct the necessary investigations into the existing process for managing the records and marketing products and submit a report with your findings to him within a week. To complete this activity you will be required to write a an Analysis Report in a Word document, using the General Report Format Guidelines provided in Appendix C, which addresses the points listed below: Word count (600 – 1000 words)a)Write a brief introduction explaining the purpose of the report based on the information provided in the Case Study.b)To establish whether the current policies and procedures are sufficient (Appendices A and B), read each document and write a brief bullet point outline of why you believe the current processes are suitable or not suitable for the business. You must explain whether you believe the documents are:osuitable, current and reliable. c)Provide details of the specific issues which must be addressed regarding the information system related to marketing materials against the policies and procedures provided.d)Check the Sales and Marketing documents which are provided in Appendix D, to establish if they have current information and are versioned with the up-to-date version control as stated in the policies and procedures. List the discrepancies in these documents and why they do not comply with the organisational requirements.oInclude formatting issues which you have identified and why they do not meet the standards which have been set in the relevant policies and procedures.e)Explain two legislative requirements which must be maintained regarding the use of information systems and storage of documents in the workplace. f)Briefly outline the types of information systems which are needed to meet the issues which were identified, including: oProduct and service information including pricing and marketing materials.o Management of student forms which need to be up-to-date to meet legislative compliance (e.g. are forms current and meet the marketing legislative requirements?). oRecord management needed for the Sales Department to retain all current information including student forms.g)Conclude your report and highlight the trends and developments in the business which have determined the need to improve the existing methods for managing marketing information. Your conclusion also needs to mention other areas of the business you believe need to have information managed correctly. Activity 2: Implementing an information system Michael has reviewed your report on the current information system, in particular the key area surrounding the marketing materials needed by the marketing/sales team (Activity 1). Based on your research and conclusions, he has now requested that you develop a system to sufficiently store, retrieve and regularly review the specific documents on a planned basis to ensure they are current valid and reliable and meet all organisational and legislative requirements.For this activity, you are required to complete two tasks which will demonstrate your ability to develop an information system suitable for the identified area at Neo Training. Task A: Word count (500 words)For this task, you must write an Information System Outline of the process that will be needed to ensure the successful implementation of the proposed workplace information system. You will refer to the Case Study for the subject. The information in your outline will be used as a basis for complete Task B of this activity. Be sure to include the following:– The location of the documents– Your planned document control measures– The review process you wish to implement– The archiving process you wish to implement.Note:•All documents must be kept on the new Server. •All marketing and promotional materials (including any forms) are to be stored in the Marketing Directory. Note:•All documents must be kept on the new Server. •All marketing and promotional materials (including any forms) are to be stored in the Marketing Directory.When completing your Information System Outline, you need to include: •an outline of the recommended improvements you want to make to the existing information system•how you will communicate changes in the system to all staff and in particular those with direct access to the information•outline the methods of technology you will utilise to streamline the management process of the information (calendar alerts, auto update notifications etc.) •provide a step-by-step process of how you will make the necessary changes to the system; including the approval process for making the recommended changes.Task B:Overview:Before you finalise your process for your
proposed information management system, it is important to consult with the manager of the department, Troy Simpson. This is his area of expertise and he may have specific requirements which need to be considered when establishing the information system. This may be directly related to the management of resources, such as marketing and promotional materials and costs associated with development of these documents.Any changes to the system will also have an impact on administration staff, including reception, being responsible for ensuring that all brochures are printed and kept at reception for anyone who is making an enquiry about one of the programs.Task: Word count (200 words)For this task, you must draft an email using the template provided in Appendix E addressed to the key staff members identified in the Case Study. The purpose of the email is to consult with each key staff member about the system you wish to implement and consult with them regarding any issues they have with your proposed plan or input which may be helpful in establishing the information system. In particular you need to request Troy to provide input as this is his department.Your email must state that they have a deadline for reply which will be within three days of receiving your email.AppendicesAppendix A: Records Management and Maintenance of Records1.0 ScopeThis procedure is intended to set a broad framework for the management of records within Neo Training and to establish principles for consistency in, and minimal requirements for, the development, approval, implementation, monitoring and review of records management practices within Neo Training to ensure compliance and best practice. 2.0 PurposeTo ensure legislative and regulatory requirements of the relevant VET laws, regulations and standards, VET Quality Framework, and any other licensing, audit and/or vocational training requirements by government, registering and regulatory bodies are satisfied and met. 3.0 Records management principles3.1 All corporate records created or received by Neo Training or by individuals acting on its behalf are the property of Neo Training and subject to its control.3.2 Neo Training endorses the following Records Management Principles to maintain compliant and accountable recordkeeping: ��recordkeeping must ensure Neo Training is compliant and accountable in all areas of business•recordkeeping must be monitored and audited for compliance•recordkeeping activity must be assigned (to specific officers) and implemented•recordkeeping must be managed•recordkeeping systems must be reliable and secure•recordkeeping must be systematic and comprehensive•full and accurate records must be made and kept for as long as they are required for business, legislative, accountability and cultural purposes. To meet this principle, records must be created, captured, adequate, complete, meaningful, accurate, authentic, inviolate, accessible, useable, retained and preserved.4.0 Responsibilities4.1 Neo Training staff, contractors and consultants and each employee of Neo Training, will be responsible and accountable to the Administration Manager for creating records that document the business transactions and activities in which they take part, and to maintain these records in accordance with Neo Training’s policy and legislative requirements. All staff will undertake records management training to a level suitable for their level of record keeping responsibilities.4.2 A Nominated Records Keeper will be nominated and be responsible for the day-to-day operational management of records.5.0 Records management systemA Corporate records management system shall be approved for:(a) Financial records(b) Staff and payroll records(c) Student records(d) Program Delivery and Assessment records(e) Legal and contractual records(f) Quality System records(g) All other records.It is mandatory for all staff to ensure that Neo Training���s records are recorded, managed and disposed using the records management systems.All records contained in the records management systems shall be securely stored.6.0 Records creation and captureRecords are to be created as evidence of business decisions, actions or transactions.All records, including emails and other electronic records, created or received shall be captured and managed in an approved records management system.7.0 Access to records7.1 Staff may have access to those records necessary to fulfil their duties.a)Certain records of a confidential nature may have restricted access for the period of time which they remain confidential.b)All requests by external agencies or individuals for access to records of a personal nature, other than their own record, must be referred to the Neo Training Manager for approval.7.2 Neo Training records must remain on campus with the exception of the following:a)Archived records may be stored off campus with an approved service provider. b)Records are required to be made available to a court or for other legal purposes. c)Any other exceptional purpose with the approval of the CEO who may stipulate special conditions to be taken while the record is off campus.8.0 Records classification schemeThe Neo Training records classification scheme shall be developed and maintained by the Records Management System, and made available to all staff.The records classification scheme shall be used for classifying all Neo Training records.9.0 Disposal of recordsThe disposal of records shall be through consultation with Neo Training’s Records Management System. Records will be disposed of only with the approval of the Manager, with the following records requiring additional final approval: a)Financial recordsb)Staff and payroll recordsc)Program Delivery and Assessment recordsd)Legal and contractual recordse)Quality System records10.0 Archiving of records10.1 Inactive records shall be retained in accordance with approved retention periods in the archival storage facility.(a) Inactive records shall be the responsibility of the Neo Training Records Management System.(b) Inactive records shall not remain accessible by staff.10.2 Archival storage shall be established and managed by Records Management System.?Appendix B: Document Version Control 1.0 IntroductionDocument history and version control is used to record detail of minor and major amendments (reviews) to Quality System documentation, as well as other documents (external and internal that are controlled documents). All quality system documents contain a document history and any amendments are to be noted in this final section as well as the name of the authority (authorised person) giving the document approval and the date it was approved for use within the NEO TRAINING organisation.The version number is to be included in the footer of the title page and in the footer of every page of the document. 2.0 IntentThis policy is intended to define clearly what is required to be included in the Document History and Version Control page of the quality system documents. 3.0 Principles and Provisions3.1 Document History and Version ControlAlthough version control provides a mechanism for knowing where your document is up to, it is not sufficient in itself to reflect details of minor amendments and reviews. The use of Document History records the details of amendments.For minor amendments, details of those amendments are required. For reviews it is sufficient to record ‘Major review of document’.Each document history and version number shows: who authorised the document, who maintains the document, current version number and review number, date each current version was issued, next review date and page number. 3.2 Version Control – Major Changes and Amendments and ReviewsVersion Numbering consists of a Number followed by a point then one more number. The number to the left of the point describes the number of versions from issue. The numbers to the right of the dot point describe the number of minor amendments from the time of issue or from the last review.The first version is always 1.0 and after the
first minor amendment will result in 1.1. Therefore the 20th minor amendment without any review would appear as 1.20; this would not normally occur but is acceptable. Each major amendment would result in the Number to the left of the point incrementing by the next number in order such as 1.05 to 2.0. Review Numbering consists of a Number. The number reflects the number of reviews from issue. The first review is always (Rev 1.0) and after the first minor review will result in 1.1. Similar to the version control system. Each major review would result in the Number to the left of the point incrementing by the next number in order such as 1.0 to 2.0. The real benefit of this system of numbering is that it provides document information at a glance. If the version is 1.0 and Rev1.0 then there have been no changes since issue. However, if for example the version number was 6.06 and Rev 3.0 this would reflect six major amendments since the first version were created and six minor amendments and 3 major reviews since the first review. In other words this particular document has been kept current and been reviewed regularly. Version and review numbers must appear in the footers of all pages of a document. Version numbering consists of a number followed by a point then another number.3.3 Draft DocumentsDraft documents start at (0.1) to reflect their draft status and then progress through revisions by incrementing the number to the right of the point. It is just as important to keep track of the different drafts of a document as it is to keep track of the current document once it has been approved.The number of the draft document would revert to 1.0 upon the document receiving the required approval/s.3.4 Document Headers and FootersThe front page of all official NEO TRAINING quality system documents should contain in the header, information to be displayed for control purposes including: NEO TRAINING Logo; the quality manual & volume number; the type of document, number and title. An example of a document front page header: Quality System Manual – Volume 1 CORP POL 05A-CORP Version Control The footer of the front page and all subsequent pages shows: who authorised the document, who maintains the document, current version number and review number, date each current version was issued, next review date and page number. It also contains the statement that each printed version of document is uncontrolled.An example of document footer:Version: 1.0Next Review Date: 1.3.15Approved by: SFRev: 1.0Current Version: 1.12.14Maintained by: QC3.5 Governance Responsibilities and Records ManagementQuality Control is designed to improve the rigor of Governing the documentation, and to ensure that documents are compliant with legislation, robust enough to ensure acceptance by the NEO TRAINING community and, where necessary, enforceable. It is also part of a process designed to add value by ensuring the documents are identifiable; maintaining a ��look and feel’ in terms of branding, language, style and formatting.Where a document is developed as a direct result of Commonwealth or State Government legislation, a compliance check is made to ensure that it accurately reflects practices in the legislation (e.g. the Privacy Act 1988, the Racial Discrimination Act 1975 etc.).NOTE: If at any time a document displayed on the quality server or web pages is considered to be to be inaccurate or out-dated, please contact the record management team immediately.Quality control is implemented through the use of templates, ‘How to…’ documents and style guides. These resources have been created and are available on the quality server. These documents will assist with the creation, review and submission for approval of governance documentation.?Appendix D: Sales/Marketing Documents Schedule of Course FeesTotal FeesTraining offers a comprehensive schedule of total fees to all learners considering enrolment into a course. A current schedule and breakdown of fees is listed below: Fee for Service Program FeesQualificationTuition FeeEnrolment FeeLearner Resource FeeTotal Course FeesFull RPL FeeCertificate IV in Business25002502009900Category of FeesCategory of FeesDescriptionTuition feeFee charged for the educational instruction during the courseLearner resource feeFee charged for the cost of learning materials e.g. text booksEnrolment FeeFee charged for the enrolment/records costsRPL FeeFee charged for conducting RPL assessmentTotal Course feeThe total Fee charged by including all fees Collection of feesWhen collecting fees in advance, Neo Training adheres to option (c) from the NVR SNR 22.3:Neo Training may accept payment of no more than ,000 from each individual student prior to the commencement of the course. Following course commencement, Neo Training may require payment of additional fees in advance from the student but only such that at any given time, the total amount required to be paid which is attributable to tuition or other services yet to be delivered to the student does not exceed ,500. ?Marketing Consent FormNeo Training regularly reproduces a range of multimedia products that could include photographs, video or testimonials of students for training and assessment purposes. These publications can be promoted to the public using a selection of socialmedia activities and the Neo Training web site.If you would like to consent to Neo Training using multimedia solutions of you including testimonials, please complete the table below and sign the Student Declaration. Student Name:Course Name:Date Course Commenced:/ /Date Couse Completed(s):/ /Declaration:I hereby agree and give consent for Neo Training to use, reproduce and promote photographs, and videos of me. I also give consent to promote testimonials from me. I agree for these photographs, videos and testimonials to be used in learning resources, marketing materials, and to be published on the web site andsocial media.