3.26 The Evaluation Plan required a Submissions Registration Team to be established to manage the control of submission documentation from receipt and throughout the period of review, critique and assessment. In addition, a Document Control Plan was prepared which contained the methodology for registration of all submissions.
3.27 However, in the course of this performance audit, ANAO identified some administrative issues with the control of submissions documentation. This included questions about the number and identity of submissions received, the retention of the original of each submission and a practice of maintaining multiple copies of some submissions, some of which differed in content. In these respects, in May 2010, the Office of the Infrastructure Coordinator advised ANAO that:
Consistent with the ANAO's findings, the Infrastructure Coordinator acknowledges that there were some instances when the Document Control Plan was not followed during the processing of nearly 600 submissions. In large measure, the reasons for the departures from the Document Control Plan are those set out at paragraph 3.2 above.
The Infrastructure Coordinator believes that the Document Control Plan should have limited any margin for error in documenting the submissions received. As such, the Office of the Infrastructure Coordinator established improved measures for managing the receipt and filing of documents, which it deployed for the 2009 submissions process… The Infrastructure Coordinator is confident that issues relating to the control of documents throughout the submissions process have been significantly improved. For example, original submissions are now kept as a single hard copy and soft copy. The Office of the Infrastructure Coordinator will continue to focus on means of improving document control. In future, where there is a need to create multiple copies of submissions, processes will ensure that a 'clean master copy' is maintained.
Steps have also been taken to improve the database of submissions. Each submission is given a unique number, and, where a submission incorporates multiple proposals, each individual proposal has a unique sub‐number. In addition, the database includes additional fields to assist staff in retrieving information on proposals. A specific field enables cross‐references between submissions to be tracked. Entries to the database are managed by a single person, thus improving database management and control.
Documents and lists prepared by the Office of the Infrastructure Coordinator are being more thoroughly examined to ensure project lists are complete, including attachments, to minimise the risk of projects being omitted from relevant lists.
3.28 Email messages created using Australian Government systems are Commonwealth records and must be managed in accordance with the Archives Act 1983.99 The National Archives recommends that if an email supports the ongoing business of the agency it should be placed in the agency's records management system (either electronic or paper), and its retention and destruction can then be managed according to the requirements detailed in a disposal authority or in the agency's Normal Administrative Practice policy. Emails were an important method of communication between staff in the Office of the Infrastructure Coordinator and State and Territory jurisdictions, between the Office of the Infrastructure Coordinator and the Infrastructure Australia Council as well as within the Office itself during the conduct of the National Infrastructure Audit and formulation of the Infrastructure Priority Lists. As such, appropriate management of these email records was important including, where necessary, by placing them in the Office of the Infrastructure Coordinator's records management system.
3.29 The Office of the Infrastructure Coordinator uses DITRDLG's information technology services, including its intranet and email system. Consequently, emails created by staff within the Office of the Infrastructure Coordinator on the Department's system constitute Commonwealth records. However, DITRDLG informed ANAO in May 2009 that ten secondees100 within the Office of the Infrastructure Coordinator did not hold email accounts with the Department. As such, their emails do not constitute Commonwealth records. The period of time for which these secondees worked for the Office ranged from two months to a year. ANAO also notes that in some instances, secondees who did have departmental email accounts used their State or Territory government address for Office of the Infrastructure Coordinator material. This practice reduces the Office of the Infrastructure Coordinator's ability to keep an accurate and complete record of its activities during this important period. It also brings with it increased risks to the confidentiality of Infrastructure Australia's assessment and prioritisation activities.
3.30 Further, the Office of the Infrastructure Coordinator did not consistently maintain records of correspondence and discussions with proponents. In this respect, in May 2010 the Office of the Infrastructure Coordinator advised ANAO that:
The Infrastructure Coordinator is working to improve records management practices within the Office of the Infrastructure Coordinator. More focused administrative support from the Department of Infrastructure, Transport, Regional Development and Local Government (for example, in the area of the TRIM records system) has assisted this Office's efforts.
In relation to record keeping, the Office of the Infrastructure Coordinator has taken steps to prepare more detailed Minutes from Project Evaluation Committee meetings. This includes an overview of meeting discussions and details of decisions made by the Committee, which are now recorded in the Minutes.
In addition, records of correspondence with proponents are now kept in the Office of the Infrastructure Coordinator's electronic filing system.
It is intended to consolidate relevant emails onto the Office of the Infrastructure Coordinator's electronic files at the conclusion of the current assessment process.
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99 <http://www.naa.gov.au/records-management/systems/email/index.aspx>
100 This comprised nine State and Territory government secondees as well as one private sector secondee.