Monitoring Implementation of Work Planactivities PDF

TVET PROGRAM TITLE: Budget and Accounts Support Level III
MODULE TITLE: Monitoring Implementation of Work

plan/Activities
LEARNING OUTCOMES:
At the end of the module the trainee should be able to:
LO1 Monitor and improve workplace operations
LO2 Plan and organize workflow
LO3 Maintain workplace records
LO4 Solve problems and make decisions
Monitoring Implementation of Work plan/Activities
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TABLE OF CONTENTS PAGE
LO1 Monitoring and improving workplace operations ............................................................ 3
1.1 How to Monitor & Improve Workplace Operations ............................................................. 3
1.2 Overview of Monitoring and Evaluation Work Plans .......................................................... 5
1.3 How to Plan & Organize Work Activities ............................................................................ 6
1.4 Develop a work plan and budget .......................................................................................... 7
LO2 Planning and organizing workflow .................................................................................. 11
2.1 Workflow Vs Workflow Automation ................................................................................. 12
2.2 Workflow Systems .............................................................................................................. 12
2.3 Process workplace information ........................................................................................... 14
2.4 Information is processed in accordance with defined timeframes, guidelines and
procedures ................................................................................................................................. 15
LO3 Maintaining workplace records ........................................................................................ 16
3.1 Personnel records ................................................................................................................ 17
3.2 Basic record keeping requirements ..................................................................................... 17
3.3 Record keeping for business ............................................................................................... 18
3.4 Managing record keeping risks ........................................................................................... 20
3.5 How to Keep your Records ................................................................................................. 23
LO4 Solving problems and make decisions .............................................................................. 24
4.1 Problem-solving and decision-making ............................................................................... 24
4.2 Decision-making process .................................................................................................... 25
4.3 Guidelines to Problem Solving and Decision Making ........................................................ 27
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LO1. Monitoring and improving workplace
operations
1.1 How to Monitor & Improve Workplace Operations
Continually monitoring and looking for ways to improve workplace operations can help an
organization stay on financial track. It can also help provide specific direction for employees,
which can lead to improved time management and increased productivity. Use care in oversight
techniques, as some forms of monitoring, such as cameras and computer monitoring, may feel
intrusive to employees, resulting in reduced morale
Step 1
Create specific forms of measurement to help you determine what level of workplace operational
productivity employees should be performing at in a given day, week or month. For example,
you may judge productivity on sales figures, product production or customers served.
Step 2
Develop a system for monitoring operational progress on a daily, weekly or monthly basis. You
can use time sheets, flow charts or departmental progress reports to track statistical progress.
Related Reading: How to Improve Integrity in the Workplace
Step 3
Create an accountability system in which employees document time usage during a given time
period.
Step 4
Compare the employee time documentation with information gathered from your operational
monitoring process. If productivity is under goal or on track, look for instances in employee time
logs where time is not being used as effectively as possible and make adjustments to that
employee‟s schedule or job description. If operations are running on track with goals, consider
elevating goals by small increments until you reach a point of equilibrium.
Step 5
Create an open work environment. Replacing office doors with open seating and semiopen
cubicles allows managers to observe and monitor employees during the workday.
Step 6
Hire additional staff, if necessary. In some instances, paying an additional salary can result in
improved workplace operations that more than cover hiring costs. For example, if sales agents
are continually interrupting their day answering phone calls and making copies of paperwork,
adding an administrative assistant to the staff can help improve the performance and morale of
the entire sales team.
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Step 7
Invest in new technology that will help streamline operations and improve productivity. This
could include new computers or equipment related to your industry or designing more efficient
work stations and telephone systems. Provide training for new hires to ensure they are aware of
how to effectively perform the functions of their job. If seasoned employees are
underperforming, send them for training refresher courses.
Step 8
Motivate employees with production goals and ask employees and managers what they need to
improve workplace operations. If suggestions seem practical and are within budget, consider
implementing them.
How to Monitor & Improve Workplace Operations
For a business to be successful in the long term, it has to offer products and services -- at
acceptable prices -- that meet customer needs. It also needs a process improvement plan so it can
improve its internal functions continuously to decrease operational costs and increase operational
efficiency and employee morale.
Engage Your Employees
Start by creating a workplace environment that accepts and embraces change. An open-door
policy, fair and respectful treatment and open communications are some of the most important
ingredients. If you take the time to lay a foundation that encourages and rewards employee
contributions before implementing a monitoring and operational improvement plan, it will be
much easier to get the buy-in required to improve not just workplace operations but your entire
business.
Set Benchmark Goals and Measurements
The "SMART" system uses an acronym to guide businesses in setting expectations that are
specific, measurable, achievable, realistic and timely. Do this for each department. Next, define
benchmark criteria to use in monitoring. For example, a goal for customer service operations
might be achieving a 99 percent customer satisfaction rate, a goal for accounts receivable might
be to increase collection rates by 20 percent within six months and a goal for your information
technology department might be to fully integrate point-of-sale and inventory management
programs.
An Ongoing Monitoring Plan
Involve every employee in process monitoring. Managers can conduct service-level reviews,
such as call monitoring and desk-side observations, analyze reports and dissect current
operational processes. Lower-level employees can conduct quality testing and contribute
information about current workflows. Schedule regular private, department and company-wide
meetings to review results and determine when or if process changes are necessary.
Implement Operational Process Improvements
A results-oriented improvement plan focuses on improving cost, quality, service or speed. Action
steps range from making minor changes that eliminate duplicate steps or other workflow
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redundancies to scrapping and redesigning an entire process. A complete redesign includes
analyzing, prioritizing and reassembling tasks and operational steps. A complete process
redesign might be necessary when compliance regulations change or to incorporate changing
technologies into your business.
How to Monitor and Improve Workplace Operations?
The state of art of monitoring is done when managers silently observes their employees'
computer activities without being on their shoulder‟s all the time. Continually monitoring and
tracking the employees PC activities can help the managers to increase the productivity. This
allows manager to keep records of employee performance, provide the information required to
set performance standards and helps in the appraisal review process. Network monitoring
software is the best way to track the amount of time employees spend away from computer or to
see items which are stored in employees‟ computers. Monitoring software also help managers to
assign better task, create more effective work methods, and make better decisions which improve
workplace operations.
Employee monitoring or business network monitoring software help managers to protect the
company‟s data from being theft or other harm. Monitoring employees PC activities allows the
manager to evaluate overall productivity levels and identify theft problems that need to be
solved. At last employers need to think for their business first, analyzes the consequences of
every decisions or action which needs to be opted to get better productivity.
1.2 Overview of Monitoring and Evaluation Work Plans

The Monitoring and Evaluation Work Plan is a flexible guide to the steps you can use to
document project activities, answer evaluation questions, and show progress toward project goals
and objectives.
As a guide, the Work Plan explains the goals and objectives of the overall plan as well as the
evaluation questions, methodologies, implementation plan, matrix of expected results, proposed
timeline, and the instruments for gathering data.
To ensure that activities produce useful results, it is essential that you incorporate in the program
design stage. Planning an intervention and designing a strategy are inseparable activities. To
ensure the relevance and sustainability of activities, project designers must collaborate with
stakeholders and donors to develop an integrated and comprehensive plan.
Projects at all levels, whether single interventions or multiple integrated projects, should have an
plan in place to assess the project‟s progress toward achieving its goals and objectives and to
inform key stakeholders and program designers about results. Such plans will guide the design of
monitoring and evaluation; highlight what information remains to be collected and how best to
collect it, and suggest how to use the results to achieve greater effectiveness and efficiency.
Comprehensive plans should describe the overall goals and objectives of the country program
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(i.e., they should be site-specific); the specific questions, methods, and designs to be used; what
data will be collected and how; the required resources; who will implement the various
components of the work plan; and the timeline of the plan.
Monitoring and evaluation work plans are often written to cover a four- to five-year period
because they may involve numerous efforts on multiple interventions for different target
populations.
Some of these activities require time to observe intervention or program outcomes (immediate or
short-term effects) as well as overall program impact (long-term effects).
1.3 How to Plan & Organize Work Activities

Planning and organization makes efficient use of your time at the office by keeping you focused
from beginning to completion of a project. A comprehensive plan for work activities and projects
ensures you tackle all necessary steps for success. Organizational tools allow you to track the
planning progress for the activity. An organizational plan also facilitates collaboration and
information sharing with other team members who play a role in the completion of the activities.
Tweaking your organizational method allows you to create the most effective planning system
for your office.
Step 1
Identify the scope and goals of the planning process related to each work activity. Determine
what you need to accomplish for the success of the activity or project. Identify the employees
who will play a role in the task if it is a team project.
Step 2
Break down the major tasks for the activity into smaller steps that you need to take for
completion, essentially creating a to-do list for the project. If other employees are working on the
tasks with you, assign each person a role and specific responsibilities to divide the workload.
Step 3
Establish the timeline for completing the work activity. Assign each individual task that goes
into the activity a completion date to make sure everything is completed in a timely manner.
Give yourself enough time to complete all associated tasks before the deadline passes.
Step 4
Write each due date for the project tasks on your calendar, or set up reminders that pop up on
your computer screen as the deadlines approach.
Step 5
Identify potential problems or barriers you may face for the work activities. Create an action plan
to avoid those issues to keep the project on track.
Step 6
Utilize an online project management program for major work activities that are critical to the
company's success. These programs are particularly effective for complicated projects or
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activities that involve many team members. The progress is tracked and all employees can stay
updated through the program.
Step 7
Schedule planning meetings when active participation and feedback is needed from others
working on the project; Keep the meetings focused and productive to use the time efficiently.
Step 8
Send out regular updates and communication to all other employees who are working on the
project. This allows all team members to stay informed and update their to-do lists and timelines
as necessary.
1.4 Develop a work plan and budget

Work planning sets the stage for programme implementation
A work plan is a document that specifies and represents a justice reform programme‟s main
activities/tasks, their sequence, timing and who will have responsibility for them
The following steps are usually involved when developing a work plan
 List main activities that will be necessary to meet the programme‟s goals and to achieve
the desired outcome.
 Choose realistic, appropriate time periods for specifying when activities will take place
(weeks, months, and quarters).
 Break each activity down into manageable tasks. A task is something that can be
managed by an individual and is easy to visualize in terms of resources required and the
time it will take to complete.
 Specify the sequence and relationships between tasks. (What needs to happen before this
task can be started? Can two tasks be carried out at the same time?)
 Consider human resources, including work schedules, seasonal schedules, and other
ongoing projects.
 Estimate the start time and duration of each task. This may be represented as a line or bar
on a chart. Be careful to:
 Include all essential activities and tasks;
 Bear in mind workloads on individuals (peaks and troughs of work) and identify where
additional assistance may be needed; and
 Be realistic about how long a task will take.
 Identify key events or achievements (milestones) by which monitor progress. These are
often dates by which a task will be completed
 Agree on and assign responsibilities for tasks with staff, volunteers, and other members
of the programme team.
Sample Work Plan
In planning for a justice sector reform initiative in former Soviet Union countries, The Advocates
for Human Rights planned that one programme component would be three-day training on
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monitoring implementation of laws. The training was designed to provide information to
advocates and legal system personnel from 10 countries on strategies and techniques for
monitoring the implementation of new domestic violence laws by police, prosecutors, judges and
other agencies. The following work plan broke up the programme into manageable activities and
created a timeline of work.
Months from initial funding
Activity Name 1 2 3 4 5 6 7 8 9 10 11 12
Define training goals and identify

XX
trainers
Confirm training facilities and
X
accommodations
Publicize training to advocates in
X X
target countries
Receive participant applications for
X X X
training, select participants
Develop training curriculum and
X X X X X X
select and create training materials
Make arrangements for travel and
accommodations X X X X X
Conduct training X
Budgeting makes programme implementation possible
A budget estimates the costs as accurately as possible for each activity set out in the work plan.
A budget should distinguish between one-time costs, such as equipment purchase, and ongoing
costs, such as salaries and operating expenses
The steps involved in budgeting include:
 Develop a work plan.
 List the activities from the work plan in the left hand column.
 For each activity make a list of all the inputs required to complete the tasks involved.
 Group the inputs so that the cost information can be summarized into cost categories such
as salaries, equipment, materials, transport, incentives, space rental, hospitality, and
overhead. For each category decide on the most appropriate units to use for the different
inputs, e.g. person, months, number.
 Look at the work plan and see when the tasks are going to be carried out and then specify
the quantity (in units) required for each budgeting period.
 When there are different funding sources for certain activities, allocate costs to the
respective funding source and show this in the budget.
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 Use the costs for different time periods and then add these to come up with a total activity
cost.
 The final column can be used to list the recurrent costs. (These are the annual
maintenance costs that will be required to keep the benefits flowing from the activity
after it has finished, e.g. the salaries of local staff.)
 Finalize costs and total them to come up with a final budget estimate for the programme.
How to Plan & Organize Work Activities
Planning and organization makes efficient use of your time at the office by keeping you focused
from beginning to completion of a project. A comprehensive plan for work activities and projects
ensures you tackle all necessary steps for success. Organizational tools allow you to track the
planting progress for the activity. An organizational plan also facilitates collaboration and
information sharing with other team members who play a role in the completion of the activities.
Tweaking your organizational method allows you to create the most effective planning system
for your office.
Step 1
Identify the scope and goals of the planning process related to each work activity. Determine
what you need to accomplish for the success of the activity or project. Identify the employees
who will play a role in the task if it is a team project.
Step 2
Break down the major tasks for the activity into smaller steps that you need to take for
completion, essentially creating a to-do list for the project. If other employees are working on the
tasks with you, assign each person a role and specific responsibilities to divide the workload.
Step 3
Establish the timeline for completing the work activity. Assign each individual task that goes
into the activity a completion date to make sure everything is completed in a timely manner.
Give yourself enough time to complete all associated tasks before the deadline passes.
Step 4
Write each due date for the project tasks on your calendar, or set up reminders that pop up on
your computer screen as the deadlines approach.
Step 5
Identify potential problems or barriers you may face for the work activities. Create an action plan
to avoid those issues to keep the project on track.
Step 6
Utilize an online project management program for major work activities that are critical to the
company's success. These programs are particularly effective for complicated projects or
activities that involve many team members. The progress is tracked and all employees can stay
updated through the program.
Step 7
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Schedule planning meetings when active participation and feedback is needed from others
working on the project; Keep the meetings focused and productive to use the time efficiently.
Step 8
Send out regular updates and communication to all other employees who are working on the
project. This allows all team members to stay informed and update their to-do lists and timelines
as necessary.
Why productivity?
•More work, less time, fewer resources
•Are you
 Driven by the latest and loudest?
 Failing to make time for long‐term projects?
 Drowning in email, paper, and phone messages?
 Losing great ideas?
•“Knowledge Work”
•Much of our work is “fuzzy” –somewhat undefined
MONITOR AND IMPROVE WORKPLACE OPERATIONS
Activity 1
1 Briefly explains what is meant by SMART goals (specific, measurable, achievable, realistic
and able to be tracked in time.
2 Goals should also contain stretch components. What does this mean and why is it important?
Activity 2
1 How can organizations plan to achieve their goals?
2 What is the purpose of an operational plan?
Activity 3
1 Identify three work tasks and relevant key performance indicators for a food attendant position
in a casual bistro.
2 What is typically included in a performance assessment/ appraisal and who is involved in the
process?
Activity 4
What should supervisors/ managers consider when monitoring and improving workplace
operations?
Activity 5
1 How can organizational continuous improvement plans contribute to improved sustainability of
day-to-day operations?
2 How can team meetings be used to identify possible areas for improvements to work practices?
3 Describe ways to encourage team members to suggest improvements to sustainability practices
4 What interpersonal skills or techniques could leaders use to enable them to encourage
employees to contribute to improving the sustainability of day-to-day operations?
PLAN AND ORGANISE WORKFLOW
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Activity 6
How can managers assist employees to priorities their workload?
Activity 7
1 Why is delegation, when done appropriately, a useful management tool?
2 What must be considered before delegating tasks to others?
3 Why is it important to recognize and reward employees for work well done?
Activity 8
1 Explain how a wages budget affects roster development. Make note of any special provisions
that need to be considered in regard to budget requirements.
2 What type of preparation is required prior to recruiting and selecting new staff?
3 What steps should you take to ensure you have a complete understanding of your team
member‟s individual skills?
4 List five periods or events throughout a calendar year where the need for accurate staffing
levels to meet service demands in the hospitality, travel and tourism industry is crucial and
explain why this is so.
Activity 9
1 What is the purpose of a Training Needs Analysis (TNA) and what is the process involved in
conducting one?
2 How can workers‟ skills and knowledge be developed?
Employers are generally required to keep the following types of employment-related records:
 general employment records
 pay
 overtime
 averaging of hours
 guarantee of annual earnings
 individual flexibility arrangements
 leave records
 superannuation
 termination of employment
 taxation
LO2 Planning and organizing workflow

o Assessing current workload of colleagues
o Scheduling work to enhance efficiency and customer service quality
o Delegating work to appropriate people in accordance with principles of delegation.
o Assessing workflow against agreed objectives
o Providing input to appropriate management regarding staffing needs
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2.1 Workflow Vs Workflow Automation
�Workflow
�Simple routing of work from one person to another
�Email attachment → Work has flowed from one to another
�Not Workflow automation, Why?
�Emails → Facilitates workflow but does not automate workflow
�Workflow Automation
�Proactive control of entire workflow process, Start to Finish!
�Ability to monitor status of workflow, handle exceptions, generate metrics to improve
performance of system
�Software Applications → Microsoft exchange, Lotus Notes, Intelligent web sites, etc.,
�Workflow features but they are not automating workflow
�Workflow automation → Similarities with EAI (automation of system-centric processes)
�Essential Requirements for Workflow Automation
�Graphical workflow representation
�Roles or job functions
�Rules embedding
�Exception handling
�Monitor status of workflow incidents
�Metrics (cost-effectiveness and timeliness)
�Integration with third party applications
�Proactive
�Database connectivity
�Workflow inbox
2.2 Workflow Systems

Focus on classical workflow management systems, but ...
Four types of workflow-like systems:
1. Information systems with hard-coded workflows (process& organization specific)
2. Custom-made information systems with generic workflow support (organization specific)
3. Generic software with embedded workflow functionality (example, the workflow
components of
ERP, CRM, PDM, etc. systems)
4. Generic software focusing on workflow functionality
(Example, Staff ware, MQSeries Workflow, FLOWer, COSA, Oracle BPEL, Filenet, etc)
Fair Work Regulations
For most employers, the employment details to be made and kept by an employer under time and
wage record provisions are determined by the Fair Work Regulations 2009. These regulations
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became operative from 1 July 2009, although most of the details are similar to those previously
provided under the Workplace Relations Act 1996 and its Regulations.
The Regulations require time and wage records be kept by the employer for a period of 7 years.
For details of record keeping requirements under the Fair Work Regulations, see: Time and
wages records.
Modern awards — facilitative provisions
A standard provision in modern awards is the facilitation by individual agreement and/or by
majority agreement, to agree to vary the application of certain terms of the relevant award. These
terms on which the employer and an individual employee may agree to vary include:
 arrangements for when work is performed
 overtime rates
 penalty rates
 allowances
 leave loading
The agreement must not disadvantage the individual employee in relation to the individual
employee‟s terms and conditions of employment, ie the agreement does not result, on balance, in
a reduction in the overall terms and conditions of employment of the individual employee under
the modern award, or the provisions of the Fair Work Act, eg the National Employment
Standards or a state or territory law.
The employer must give the employee a copy of the agreement and keep the agreement as a time
and wage record or, in the case of a majority agreement, the agreement must be kept as a time
and wage record.
Transfer of business
The old employer must transfer to a new employer each employee record concerning a
transferring employee that the old employer was required to keep at the time the transfer occurs.
If the transferring employee becomes an employee of the new employer after the time at which
the connection between the old employer and new employer occurs, the new employer must ask
the old employer (and the old employer must comply) to give the new employer the employment
records of the transferring employee.
The new employer is not required to make employee records relating to the transferring
employee‟s employment with the old employer.
Other records to be kept by employer
The employer also may be required to keep records on a number of employment-related matters,
including:
Taxation
According to the ATO, records relating to PAYG tax deducted from an employee‟s wages must
be kept for a period of five years and in English.
The records needed to be kept include:
 wages records, including payment records
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 voluntary agreements
 current employment declarations, tax file number declarations, and withholding
declarations copies of payment summaries and payment summary statements, or electronic
annual reports (if applicable) eligible termination payments records of personal services
attributed income statements by a supplier where no ABN was quoted records of amounts
withheld where no ABN was quoted Annual reports of PAYG withholding where no ABN was
quoted.
For income tax purposes and superannuation guarantee purposes, these records include wages
books, computer payroll records, bank transaction records relating to the deposit of salary or
wages and any other records relating to employee remuneration (such as remittance advice,
annual reconciliation statements, correspondence that relates to payments made on a PAYG
employer account (such as a request to transfer a payment from one financial year to another, or
a transfer from one PAYG employer to another).
Workers compensation
As this employment condition is subject to the relevant State or Territory workers compensation
legislation, the period of time required to keep such records may vary, depending on the
jurisdiction.
Generally, workers compensation legislation requires the employer to keep records that relate to
the calculation of premiums.
For example, the Workers Compensation Act 1987 [NSW] provides that the employer must keep
correct records of all wages paid to workers employed by the employer; the trade, occupation or
calling of each worker, and other matters relating to those wages relevant to the calculation of
premiums under policies of insurance, for a period of five years.
Work health and safety
The requirement of the employer to keep records with respect to work health and safety matters
is subject to the applicable State or Territory WHS legislation.
Generally, the employer must keep and maintain records relating to the following
matters: a register of injuries requiring first aid as well treatment given in respect of hazardous
substances, assessment reports which indicate a need for monitoring and/or health surveillance of
employees, together with the results of monitoring and/or health surveillance in respect to
hazardous substances, where assessment reports do not indicate a need for workplace monitoring
or health surveillance, all induction and training done in relation to hazardous substances, and
audiometric test records of employees, where released to the employer, should be kept during the
period of the employee‟s employment and longer as necessary.
2.3 Process workplace information

Good record keeping brings many benefits to an organization, including:
Improving operational efficiency - this saves time, money and resources.
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Supporting accountability - knowing where to locate files, providing reasons for certain
decisions; these actions help to improve operational efficiency.
Contributing to corporate knowledge - more people have a greater understanding of the whole
organization rather than just the area they work in.
Every organization will have developed its own record-keeping practices including what
records are to be created, how these records will be maintained and how old records will be
disposed of.
2.4 Information is processed in accordance with defined timeframes,

guidelines and procedures
In a business environment it is usual to have a specific amount of time in which to locate
files or records, either for others in the organization or in order to complete a task yourself. You
need to be able to process information efficiently and effectively; having an understanding of the
organization‟s policy and procedures, the filing systems, technology and equipment used, will
assist you in meeting these timeframes while maintaining security and confidentiality
procedures.
Organizations usually have some of the following protocols in place for the processing of
information:
Authority - limiting the number of people who have authority to access sensitive, confidential or
personal information.
Security/access - files are protected with passwords for security and employees are given a level
of security that enables them to access only the information which is relevant to their job.
Naming standards - both paper and electronic files need to be well organised and labeled
correctly and consistently so they are identifiable and easily accessed by employees.
Indexing is the process of deciding where the document is to be stored – the indexing unit may
be the keyword, customer number, business name, individual‟s surname, geographic location etc.
Coding makes it clear where the document is to be stored – either by highlighting the keyword or
the name under which it is to be filed, or writing the file number or a subject or code on the
document.
Version control - making sure any new or updated information is correctly identified as being
the most recent by making an incremental change to its associated letter or numerical code.
Tracking processes - most organizations have filing practices in place which allow the
movement of files to be monitored at all times. This could include:
File movement register – a book, binder or electronic file, recording the file name, number, date
borrowed, borrower, date returned etc. Entering details into the register allows others to know
the whereabouts of the file and saves valuable time in tracking the file.
File movement marker – an „out card‟ which is placed in the hard copy filing system where the
file came from, or a note in an electronic system showing the borrower‟s details and date
borrowed.
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Barcode borrowing system for files (similar to borrowing a library book) or „passing slips‟
(similar to circulation slips or envelopes) recording the movement of files
Cross referencing – if a file could be located in more than one location it may be necessary to
cross reference the file. A marker is inserted in the filing system in the alternate location,
directing you to the actual location of the file.
Requests for information should be dealt with in accordance with the instructions received.
Circulation of some materials may involve photocopying, collating (or bringing together) a
variety of materials or pages of information, binding these pages together or inserting into a
folder, marking the information as „confidential‟ or „urgent‟ and dispatching the information or
records (e.g. internal mail, post, email) within a certain timeframe.
Information is updated, modified and filed in accordance with organizational requirements
Businesses rely on having accurate information available. The integrity or accuracy of
information in the system needs to be maintained at all times. Records will need to be:
Updated e.g. adding a new customer to the database, changing the answering machine message
over a holiday period, altering the prices on a price list
Modified e.g. changing a customer‟s phone number on the database, using the newsletter
template but changing the contents
These changes should be done in a timely manner and in accordance with organizational
requirements – updating an address after the monthly statements are sent would be ineffective;
regularly updating the message on the answering machine makes a positive impact on callers.
Information is collated or dispatched in accordance with specified timeframes and
organizational requirements
Once information is collected, it is important to collate it according to the type of
information required, who requires it and when the information is needed. Collated information
needs to be presented in an appropriate manner, so it is important that a cover page sets out the
purpose and/or contents of the file, the documents/pages are in the correct order, enough copies
are provided, it is bound according to the amount of information/pages in the file and if the
information is confidential, that it is identified accordingly.
Once collated this information can be dispatched by any of the following methods:
Internal mail – sending letters or packages between departments or agencies of the same
organization which are located in different suburbs using an internal mail service placing
information in an in-tray/inbox hand delivery – to the person requesting the information postal
service – generally Australia Post (registered if confidential) fax transmission courier service –
for door-to-door delivery or for delivery to a specific person email
LO3 Maintaining workplace records
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o Completing and submitting Workplace records accurately within required
timeframes.
o Delegating and monitoring completion of records prior to submission.
Usually where the employer ceases to carry on business, the employer must offer the records to
the relevant WHS authority.
3.1 Personnel records

Although there is no legal necessity to for an employer to keep personnel files, most employers
would maintain these records as part of their HR function. This may include various types of
information relating to an employee, other than statutory records legally required to be kept by
the employer, which are likely to be highly sensitive and personal and must be adequately
protected from unauthorized access.
Employers may be unsure how long personal details should be kept, particularly once an
employee is no longer in their employ. This will depend on the nature of the information
pertaining to an employee. For example, a warning letter with respect to disciplinary action
against an employee is not required to be kept but is regarded as relevant information if required
to defend a future claim of unfair dismissal. Even where the warning letter has passed its
effective date, it should still be kept as it provides evidence of previous disciplinary issues
relating to the employee, which may be relevant to a future unfair dismissal matter.
3.2 Basic record keeping requirements

Setting up the right record keeping system for your business will help you work efficiently, meet
legal requirements and strengthen customer and staff relationships.
There are certain record keeping requirements for businesses in Queensland, and there may be
specific laws and requirements related to your industry sector. It's a good idea to protect yourself
by seeking expert advice before setting up a record keeping system for your business.
Laws that apply to your business will determine how long you need to keep records for. If you
use an electronic record keeping system, you must also be able to produce a hard copy of a
record if the Australian Taxation Office (ATO) or Australian Securities and Investments
Commission (ASIC) request it.
Personal financial records must be kept for 5 years, whereas the following records must be kept
for 7 years:
 financial records for your company
 most employee records
 All records of fringe benefits and capital gains.
Basic records
To meet basic legal requirements, you must keep the following:
 a cash book or financial accounting program - that records cash receipts and cash
payments
 bank accounts - cheque books, deposit books and bank statements
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 employment records - hours of work, overtime, remuneration or other benefits, leave,
superannuation benefits, termination of employment, type of employment, personal
details of workers, employee personal contact and employment details
 Occupational training records - for both you and employees to comply with work,
health and safety laws including evacuation and emergency training attendance.
 sales records - invoice books, receipt books, cash register tapes, credit card
documentation, credit notes for goods returned and a record of goods used by the
business owner personally
 proof of purchases - cheque butts (larger purchases), petty cash system (smaller cash
purchases), receipts, credit card statements, invoices, any other documents relating to
purchases including copies of agreements or leases
 work, health and safety (WHS) records - workplace incidents, risk register and
management plan, names of key WHS people (e.g. WHS representative, Trained Safety
Advisor (TSA), first aid attendant), chemical storage records, first aid incident register,
workplace assessments, Material Safety Data Sheets (MSDS)
3.3 Record keeping for business

Good record keeping can help you protect your business, measure your performance and
maximize profits.
Records are the source documents, both physical and electronic, that specify transaction dates
and amounts, legal agreements, and private customer and business details.
Developing a system to log, store and dispose of records can benefit your business by allowing
you to:
 plan and work more efficiently
 meet legal and tax requirements
 measure profit and performance
 generate meaningful reports
 protect your rights
 Manage potential risks.
Most businesses use an electronic record keeping system to make it easier to capture
information, generate reports, and meet tax and legal reporting requirements.
If you are unsure whether to keep certain records, retain them and seek advice from your
accountant or financial adviser.
This guide provides advice about basic record keeping.
Electronic and manual record keeping
While some business owners prefer manual record keeping systems, most businesses use an
electronic record keeping system - making it easier to capture information, generate reports and
meet tax and legal reporting requirements.
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There are a number of issues you should consider when setting up an electronic or manual record
keeping system, as each has certain advantages and limitations.
Electronic record keeping
Most businesses use accounting software programs to simplify electronic record keeping, and
produce meaningful reports. There are many other advantages to using electronic record keeping,
as listed below.
Advantages
 Helps you record business transactions, including income and expenses, payments to
workers, and stock and asset details.
 Efficient way to keep financial records and requires less storage space.
 Provides the option of recording a sale when you raise an invoice, not when you receive a
cash payment from a client.
 Easy to generate orders, invoices, debtor reports, financial statements, employee pay
records, inventory reports.
 Automatically tallies amounts and provides reporting functions.
 Keeps up with the latest tax rates, tax laws and rulings.
 Many accounting programs have facilities to email invoices to clients, orders to suppliers,
or BAS returns to the Australian Taxation Office.
 Allows you to back up records and keep them in a safe place in case of fire or theft.
Choosing accounting software
Your business may require more than one software program to meet all of your tax and legal
needs, so it's important to:
 seek advice from your accountant or financial adviser before purchasing software for
record keeping
 check which accounting software is tax compliant
Electronic backup
Set up a secure electronic backup system to ensure records are safely stored and regularly backed
up. Daily backups are recommended, particularly for important records. Make sure the backup
copies are stored in a separate location to your business in case of fire, theft or a natural disaster.
For small businesses, the cheapest backup options are CDs and memory sticks. If your business
has large amounts of data, external hard drives are a popular backup option.
Cloud backup
Cloud computing provides a way for your business to manage your computing resources and
records online. The term has evolved over recent years, and can be used to describe the use of a
third party for your storage and computing needs.
Cloud backup services are becoming more popular and can be automated for your convenience,
but you should make sure the method you choose protects the privacy and security of your
business and customers.
Manual record keeping
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Some business owners may want to use a simple, paper-based record keeping system. There are
certain advantages to using manual record keeping, as listed below.
Advantages
 Less expensive to set up.
 Correcting entries may be easier with manual systems, as opposed to computerized ones
that can leave complicated audit trails.
 The risk of corrupted data is much less.
 Data loss is less of a risk, particularly if records are stored in a fire-proof environment.
 Problems with duplicate copies of the same records are generally avoided.
 The process is simplified as you don't need to be familiar with how accounting software
calculates and treats your information.
Streamline your manual record keeping
 Sort and store all paperwork, receipts and payments in 12 separate months.
 Keep all original documents and date all correspondence.
 Record all transaction dates and payment amounts.
 Save all online financial transactions by month and financial year in your inbox and in a
separate folder on your hard drive.
 Backup all electronic records on an external hard drive or other storage device other than
your computer's internal hard drive.
 Capture nearly all of your income and expenses in statements from both your bank and
credit card accounts.
 Request that all statements and bills be sent on a monthly basis - allowing you to
reconcile all financial records each month.
3.4 Managing record keeping risks

There are legal and financial consequences if your business does not comply with record keeping
requirements of tax, business and privacy laws.
Lost or damaged records
Recovering essential business records, whether they have been lost, damaged or destroyed, will
help you to re-establish business operations.
Privacy and security
Australian privacy laws apply to the collection, use and storage of personal information.
Customers will take their business elsewhere if they lack confidence in your ability to protect
their personal information and records.
New technologies make it easier to access, transmit and misuse personal information. You will
need to pay particular attention to securing online and electronic records. You should develop a
privacy policy and train staff to implement it.
Why Keep Records
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The IRO requires you to keep sufficient records to enable your assessable profits to be readily
ascertained. All records must be retained for seven years from the transaction date. It is an
offence not to keep adequate records.
There are also many other sound reasons why you should keep accurate business records. Here
are some:
__accurate records allow you to be in better control of your business by helping with financial
planning and decision making
__you portray a more professional image that makes it easier to deal with your bank
__appropriate records enable you to file an accurate profits tax return
__the costs to you of an the audit are reduced if all of the necessary records are readily available
__compliance costs are less
__losses and theft in your business may be detected
__you are in greater overall control of your business.
Some Ideas for Record Keeping
Business records which must be kept include documents which provide a record of your business
transactions, or which enable these transactions to be traced and verified through the accounting
system from start to finish. These include invoices, receipts, cash register tapes, banking records,
cheque butts. The essence of good record keeping is good book keeping. Efficient bookkeeping
will save you time and money in the long run.
Here are some tips to help improve the efficiency of your bookkeeping:
__make bookkeeping part of your regular routine, once you‟ve established a routine, you‟ll find
that you work through your books more quickly
__keep your bookkeeping up to date
__keep your books in an organized manner - you‟ll work quicker if you can easily access the
information you need
__look for ways to improve your bookkeeping
__don„t leave things until the last minute
Retention of Your Records
Don‟t forget that having taken the time and effort to prepare your business records; you must
keep them for at least seven years after the date of the transactions concerned. Even after you
cease trading, your record keeping obligations continue until the seven year period has expired.
If you have losses from earlier years of assessment that have been set off against profits in later
years, it is a good idea to keep all of the records until 7 years after the end of the year in which
the losses have been fully set off.
Records that must be kept by All Businesses
You must keep sufficient records to enable the assessable profits of your business to be readily
ascertained. To confirm your calculations, your business records must include -
__the books of account recording receipts and payments, or income and expenditure
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__the underlying documentation necessary to verify the entries in the books of account; such as
vouchers, bank statements, invoices, receipts and other relevant papers
__a record of the assets and liabilities of your business
__a day by day record of all sums of money received and expended by your trade, profession or
business together with supporting details of the receipts or payments.
You must also keep records relating to all your business assets and liabilities at the end of each
year, including:
__lists of debtors and creditors
__stock take figures
Additional Records - Businesses Dealing in Goods
In addition to the records that must be kept by all businesses, if your business deals in goods, you
must maintain records relating to your purchases and sales. This includes full particulars of all
goods purchased and all goods sold. Copies of the invoices for the transactions must show goods,
and the buyers and sellers, in sufficient detail to enable the Commissioner to readily verify:
the quantities and values of the goods
__the identities of the sellers and buyers
In most cases, the relevant purchases and sales invoices issued for the transactions will satisfy
this requirement. If, however, the relevant details are either absent from or not clear on an
invoice, you may make additional notations on it to clarify any doubtful points.
You may face practical difficulties in complying with this requirement if your business is
engaged in retail trade traditionally conducted in cash, particularly as regards recording the
identities of all purchasers. A concession therefore exists for those taxpayers engaged in retail
trades, professions and businesses which are normally conducted in cash. They are not required
to keep the specified details records of all goods sold. If the concession applies to you, you must
nevertheless keep full records of your purchases and full details, recorded on a day by day basis,
of all sums of money received and expended by your business.
The inclusion in your accounts of the correct value of trading stock on hand at the end of the
accounting year is essential in determining the correct profit for that year. You must prepare and
keep statements (including quantities and values) of trading stock on hand at the end of the
accounting year (together with the stocktaking records from which the trading stock statements
have been prepared).
Additional Records - Businesses Providing Services
Trades, professions and businesses involved in providing services must maintain records of all
services provided in sufficient detail to enable the Commissioner to readily verify the entries in
the business‟s day to day record of all monies received and expended. If you provide services,
you must keep a record all services provided. The sums charged and paid for them have to be
traceable through the books of account to the statement of income and expenditure
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3.5 How to Keep your Records
The paper based method
Paper based record keeping simply means keeping all your invoices for sales and for purchases
as well as all your cheque butts, copies of your bank deposit slips and bank statements. These
will form the basis of the entries in your cash book.
When you use the paper based method of book keeping you must make sure you keep all your
records in a legible and well organized manner.
The computer method
Another way of keeping records is by using a computer. Depending on the type and size of your
business, using a computer can simplify and improve your record keeping. Advantages in using a
computer to keep records include:
- Most computer accounting programs will give you an up-to-date picture of how your business
is going, and help you plan and forecast your future situation
- A computer can improve the accuracy of your record keeping, and find recorded information
more quickly if you need it later
- Lists of items that change from time to time (for example, a register of your fixed assets) can be
updated much more easily if they are kept on a computer
- Information that may be required by the IRD can be produced by the computer, provided it has
been recorded correctly in the first instance
- If IRD decide to audit your records, it can be made a lot easier by using computer-stored
information. The audit can be finalized more quickly and this will cause less disruption to your
business.
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. Even if you do keep your records on computer, you must still keep source documents such as
cheque butts, invoices, bank deposit slips and bank statements to substantiate your income and
expenses.
Make sure that you backup all the information you have on your computer. This means copying
the information onto a floppy disk or printing out copies of vital information regularly. These
copies must be stored safely. Keeping all your records on computer without proper backup
procedures can be disastrous if your system malfunctions.
LO4 Solving problems and make decisions

o Promptly identifying workplace problems from customer service perspective.
o Initiating short-term action to resolve immediate problems
o Analysing problems for any long term impact
o Assessing potential solutions and acting up on them
o Encouraging team members in solving a problem
o Taking Follow up action to monitor the effectiveness of solutions in the workplace
4.1 Problem-solving and decision-making

Simple processes for problem-solving and decision-making
Problem solving and decision-making are important skills for business and life. Problem-solving
often involves decision-making, and decision-making is especially important for management
and leadership. There are processes and techniques to improve decision-making and the quality
of decisions. Decision-making is more natural to certain personalities, so these people should
focus more on improving the quality of their decisions. People that are less natural decision-
makers are often able to make quality assessments, but then need to be more decisive in acting
upon the assessments made. Problem-solving and decision-making are closely linked, and each
requires creativity in identifying and developing options, for which the brainstorming technique
is particularly useful. See also the free SWOT analysis template and examples, and PEST
analysis template, which help decision-making and problem-solving. SWOT analysis helps
assess the strength of a company, a business proposition or idea; PEST analysis helps to assess
the potential and suitability of a market. Good decision-making requires a mixture of skills:
creative development and identification of options, clarity of judgment, firmness of decision, and
effective implementation. For group problem-solving and decision-making, or when a consensus
is required, workshops help, within which you can incorporate these tools and process as
appropriate. Here are some useful methods for effective decision-making and problem-solving:
First a simple step-by-step process for effective decision-making and problem-solving. And
definitely see the ethical decision-making quick guide.
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4.2 Decision-making process
Define and clarify the issue - does it warrant action? If so, now? Is the matter urgent,
important or both. See the Pareto Principle.
Gather all the facts and understand their causes.
Think about or brainstorm possible options and solutions. (See brainstorming process)
Consider and compare the 'pros and cons' of each option - consult others if necessary or useful
- and for bigger complex decisions where there are several options, create a template which
enables measurements according to different strategic factors (see SWOT, PEST, Porter).
Select the best option - avoid vagueness and weak compromises in trying to please everyone.
Explain your decision to those involved and affected, and follow up to ensure proper and
effective implementation.
Decision-making maxims will help to reinforce the above decision-making process whether
related to problem-solving or not, for example:
"We know what happens to people who stay in the middle of the road. They get run down."
"In any moment of decision the best thing you can do is the right thing, the next best thing is the
wrong thing, and the worst thing you can do is nothing." (attributed to Theodore Roosevelt -
more maxims on the quotes page)
There is often more than one good answers when you are faced with a complex decision. When
you've found the best solution you can find, involve others in making it work, and it probably
will.
A simple process for decision-making is to compile a 'weighted' scored , of 'pros and cons' list.
Pro means 'for', and con means 'against' - i.e., advantages and disadvantages.
For more complex decisions, several options can be assessed against differing significant criteria,
or against a single set of important factors. In any case, factors/options can be weighted and
scored appropriately.
The 'pros and cons' method can be used especially for two-option problem-solving and decision-
making issues where implications need to be understood and a decision has to be made in a
measured objective sense.
Using a 'weighted list' scoring method is especially useful in big organizational or business
decisions, especially which involve lots of different strategic considerations (as in SWOT and
PEST and Porter's Five Forces concept). In such situations you can assess different options
according to a single set of criteria (the most important considerations), or you can allocate
weighted/scored criteria differently to each option (examples of templates are below).
Some decisions are a simple matter of whether to make a change or not, such as moving, taking a
new job, or buying something, selling something, replacing something, etc. Other decisions
involve number of options, and are concerned more with how to do something, involving a
number of choices. Use the brainstorming process to identify and develop options for decision-
making and problem-solving. If involving a group in the process then running a workshop is
often a good approach.
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First you will need a separate sheet for each identified option.
On each sheet write clearly the option concerned, and then beneath it the headings 'pros' and
'cons' (or 'advantages' and disadvantages', or simply 'for' and 'against'). Many decisions simply
involve the choice of whether to go ahead or not, to change or not; in these cases you need only
one sheet.
Then write down as many effects and implications of the particular option that you (and others
if appropriate) can think of, placing each in the relevant column.
If helpful 'weight' each factor, by giving it a score out of three or five points (e.g., 5 being
extremely significant, and 1 being of minor significance).
When you have listed all the points you can think of for the option concerned compare the
number or total score of the items/effects/factors between the two columns.
This will provide a reflection and indication as to the overall attractiveness and benefit of the
option concerned. If you have scored each item you will actually be able to arrive at a total score,
being the difference between the pros and cons column totals. The bigger the difference between
the total pros and total cons then the more attractive the option is.
If you have a number of options and have complete a pros and cons sheet for each option,
compare the attractiveness - points difference between pros and cons - for each option. The
biggest positive difference between pros and cons is the most attractive option.
N.B. If you don't like the answer that the decision-making sheet(s) reflect back to you, it
means you haven't included all the cons - especially the emotional ones, or you haven't scored
the factors consistently, so re-visit the sheet(s) concerned.
You will find that writing things down in this way will help you to see things more clearly,
become more objective and detached, which will help you to make clearer decisions.
Using a scoring template also allows for the involvement and contribution of other people, far
more objectively, controllably and usefully, than by general discussion without a measurement
framework.
'pros and cons' and weighted decision-making templates - examples
This first simple example below enables the weighting of the pros and cons of buying a new car
to replace an old car.
The methodology is easily adapted for more complex decisions, such as in business strategy and
consideration of more complex factors (notably found within other tools such in SWOT and
PEST and Porter's Five Forces).
(The actual scores below are examples and are not suggested weightings of how to make such a
decision, which must be your own ideas).
Decision-making criteria depend on your own personal situations and preferences. Criteria and
weighting will change according to time, situation, etc.
Your own mood and feelings can also affect how you assess things, which is additional
justification for the need of a measurable and robust method.
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In bigger strategic business decision-making, it is often beneficial to seek input from others as to
factors and weighting scores. In such situations, a template offers a way for people to contribute
in a managed structured way.
The main template question can be whatever suits your purposes - it can be about timing, where,
who, how, and is not necessarily restricted to two columns. The same methodology can be used
to compare a series of several options.
4.3 Guidelines to Problem Solving and Decision Making

Much of what people do is solve problems and make decisions. Often, they are "under the gun",
stressed and very short for time. Consequently, when they encounter a new problem or decision
they must make, they react with a decision that seemed to work before. It's easy with this
approach to get stuck in a circle of solving the same problem over and over again. Therefore, it's
often useful to get used to an organized approach to problem solving and decision making. Not
all problems can be solved and decisions made by the following, rather rational approach.
However, the following basic guidelines will get you started. Don't be intimidated by the length
of the list of guidelines. After you've practiced them a few times, they'll become second nature to
you -- enough that you can deepen and enrich them to suit your own needs and nature.
(Note that it might be more your nature to view a "problem" as an "opportunity". Therefore, you
might substitute "problem" for "opportunity" in the following guidelines.)
1. Define the problem
This is often where people struggle. They react to what they think the problem is. Instead, seek to
understand more about why you think there's a problem.
Define the problem: (with input from yourself and others). Ask yourself and others, the
following questions:
1. What can you see that causes you to think there's a problem?
2. Where is it happening?
3. How is it happening?
4. When is it happening?
5. With whom is it happening? (HINT: Don't jump to "Who is causing the problem?" When
we're stressed, blaming is often one of our first reactions. To be an effective manager,
you need to address issues more than people.)
6. Why is it happening?
7. Write down a five-sentence description of the problem in terms of "The following should
be happening, but isn't ..." or "The following is happening and should be: ..." As much as
possible, be specific in your description, including what is happening, where, how, with
whom and why. (It may be helpful at this point to use a variety of research methods.
Defining complex problems:
If the problem still seems overwhelming, break it down by repeating steps 1-7 until you have
descriptions of several related problems.
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Verifying your understanding of the problems:
It helps a great deal to verify your problem analysis for conferring with a peer or someone else.
Prioritize the problems:
If you discover that you are looking at several related problems, then prioritize which ones you
should address first.
Note the difference between "important" and "urgent" problems. Often, what we consider to be
important problems to consider are really just urgent problems. Important problems deserve
more attention. For example, if you're continually answering "urgent" phone calls, then you've
probably got a more "important" problem and that's to design a system that screens and
prioritizes your phone calls.
Understand your role in the problem:
Your role in the problem can greatly influence how you perceive the role of others. For example,
if you're very stressed out, it'll probably look like others are, too, or, you may resort too quickly
to blaming and reprimanding others. Or, you are feel very guilty about your role in the problem,
you may ignore the accountabilities of others.
2. Look at potential causes for the problem
 It's amazing how much you don't know about what you don't know. Therefore, in this
phase, it's critical to get input from other people who notice the problem and who are
affected by it.
 It's often useful to collect input from other individuals one at a time (at least at first).
Otherwise, people tend to be inhibited about offering their impressions of the real causes
of problems.
 Write down what your opinions and what you've heard from others.
 Regarding what you think might be performance problems associated with an employee,
it's often useful to seek advice from a peer or your supervisor in order to verify your
impression of the problem.
 Write down a description of the cause of the problem and in terms of what is happening,
where, when, how, with whom and why.
3. Identify alternatives for approaches to resolve the problem
At this point, it's useful to keep others involved (unless you're facing a personal and/or employee
performance problem). Brainstorm for solutions to the problem. Very simply put, brainstorming
is collecting as many ideas as possible, then screening them to find the best idea. It's critical
when collecting the ideas to not pass any judgment on the ideas -- just write them down as you
hear them. (A wonderful set of skills used to identify the underlying cause of issues is Systems
Thinking.)
4. Select an approach to resolve the problem
 When selecting the best approach, consider:
 Which approach is the most likely to solve the problem for the long term?
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 Which approach is the most realistic to accomplish for now? Do you have the resources?
Are they affordable? Do you have enough time to implement the approach?
 What is the extent of risk associated with each alternative?
(The nature of this step, in particular, in the problem solving process is why problem solving and
decision making are highly integrated.)
5. Plan the implementation of the best alternative (this is your action plan)
1. Carefully consider "What will the situation look like when the problem is solved?"
2. What steps should be taken to implement the best alternative to solving the problem?
What systems or processes should be changed in your organization, for example, a new
policy or procedure? Don't resort to solutions where someone is "just going to try
harder".
3. How will you know if the steps are being followed or not? (these are your indicators of
the success of your plan)
4. What resources will you need in terms of people, money and facilities?
5. How much time will you need to implement the solution? Write a schedule that includes
the start and stop times, and when you expect to see certain indicators of success.
6. Who will primarily be responsible for ensuring implementation of the plan?
7. Write down the answers to the above questions and consider this as your action plan.
8. Communicate the plan to those who will involved in implementing it and, at least, to your
immediate supervisor.
(An important aspect of this step in the problem-solving process is continually observation and
feedback.)
6. Monitor implementation of the plan
Monitor the indicators of success:
1. Are you seeing what you would expect from the indicators?
2. Will the plan be done according to schedule?
3. If the plan is not being followed as expected, then consider: Was the plan realistic? Are
there sufficient resources to accomplish the plan on schedule? Should more priority be
placed on various aspects of the plan? Should the plan be changed?
7. Verify if the problem has been resolved or not
One of the best ways to verify if a problem has been solved or not is to resume normal operations
in the organization, still, you should consider:
1. What changes should be made to avoid this type of problem in the future? Consider
changes to policies and procedures, training, etc.
2. Lastly, consider "What did you learn from this problem solving?" Consider new
knowledge, understanding and/or skills.
3. Consider writing a brief memo that highlights the success of the problem solving effort,
and what you learned as a result. Share it with your supervisor, peers and subordinates.
4.4 Rational Versus Organic Approach to Problem Solving
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Rational
A person with this preference often prefers using a comprehensive and logical approach similar
to the guidelines in the above section. For example, the rational approach, described below, is
often used when addressing large, complex matters in strategic planning.
1. Define the problem.
2. Examine all potential causes for the problem.
3. Identify all alternatives to resolve the problem.
4. Carefully select an alternative.
5. Develop an orderly implementation plan to implement that best alternative.
6. Carefully monitor implementation of the plan.
7. Verify if the problem has been resolved or not.
A major advantage of this approach is that it gives a strong sense of order in an otherwise chaotic
situation and provides a common frame of reference from which people can communicate in the
situation. A major disadvantage of this approach is that it can take a long time to finish. Some
people might argue, too, that the world is much too chaotic for the rational approach to be useful.
Organic
Some people assert that the dynamics of organizations and people are not nearly so mechanistic
as to be improved by solving one problem after another. Often, the quality of an organization or
life comes from how one handles being “on the road” itself, rather than the “arriving at the
destination.” The quality comes from the ongoing process of trying, rather than from having
fixed a lot of problems. For many people it is an approach to organizational consulting. The
following quote is often used when explaining the organic (or holistic) approach to problem
solving.
“All the greatest and most important problems in life are fundamentally insoluble … They can
never be solved, but only outgrown. This “outgrowing” proves on further investigation to require
a new level of consciousness. Some higher or wider interest appeared on the horizon and through
this broadening of outlook; the insoluble lost its urgency. It was not solved logically in its own
terms, but faded when confronted with a new and stronger life urge.”
A major advantage of the organic approach is that it is highly adaptable to understanding and
explaining the chaotic changes that occur in projects and everyday life. It also suits the nature of
people who shun linear and mechanistic approaches to projects. The major disadvantage is that
the approach often provides no clear frame of reference around which people can communicate,
feel comfortable and measure progress toward solutions to problems.
The Most Effective Techniques to Encourage Team Members to Contribute to a Project
The success of any project depends on the contributions of every member of the team, but some
teams work together better than others. When team members have a sense of personal ownership
in the group project, believe that their contributions are valued, and see that the project manager
contributes equally and leads by example, they feel motivated to contribute their best work.
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Encourage Ownership
Team members contribute more and work harder for any project if they feel a sense of ownership
in its success or failure. If they don't identify with the success of the project on a personal level,
you can expect them to offer the minimum of effort. To motivate your team members to see the
project as their own, communicate openly and honestly so they understand just as much about
the project as you do. Don't hold back information about expected difficulties or any other aspect
of the task. When problems or roadblocks arise along the way, call on the whole team to help
you solve the difficulty. Give them the freedom to experiment with different solutions. If you try
to control the project from the top down, your team members may see the project as yours rather
than theirs. Give them a chance to display their talents and ideas, and they'll be motivated to
make the project a success.
Give Everyone a Chance to Speak
Some team members are naturally assertive and self-confident, while others are naturally shy and
quiet. An assertive and self-confident person does not necessarily have better ideas than a shy
and quiet person, but assertive people are a lot more likely to be heard and to have their ideas
acted upon. To get the best out of your quieter team members, structure your meetings so that
everyone has an equal opportunity to speak. Give people time to fully articulate their ideas. Try
to assess each suggestion as objectively as possible based on the idea itself and not the
personality of the team member proposing it. If you don't like a suggestion or choose not to make
use of it, don't criticize it too severely. A shy team member may take strong criticism as a
rejection and may avoid making suggestions in the future.
Make Everyone a Leader

Create a team full of leaders by using a collaborative rather than a strictly hierarchical model.
The leader in any context is the responsible person, so leaders are highly motivated for the group
to succeed. In a hierarchical structure, only one person leads at each level of the organization. In
a collaborative structure, every member of the team has a leadership role in some part of the
project. Assign each team member personal responsibility for some aspect of the project based
on that team member's strengths and talents. Give team members a degree of authority over their
own aspects of the project. For example, one team member might be in charge of developing
applications for the project. On any issue having to do with applications development, that team
member would be the leader. However, on any question having to do with the technological
infrastructure for the project, another team member would be the leader. Instead of a strict
division between leaders and followers, every team member would be a leader in one context and
a follower in others. This encourages a sense of ownership and personal responsibility.
Be a Good Example
Model the behaviors you expect from your team members. Enthusiastically contribute to all
aspects of the project. Keep your attitude positive and your motivation levels high. Don't say
anything negative or damaging to morale. Contribute new ideas and solutions, listen to the ideas
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and suggestions of your team members and make it clear that you're always available to help
work through any problems. Use praise more than criticism and leave room for relaxation and
fun. Taking your team members out for lunch or some other social event sends the message that
you value their efforts and builds a cohesive group. Team members look to the project manager
to set the tone for the entire project, so all your words and actions need to contribute to the
project's success.
Ten ways to encourage creative thinking
You can help your firm innovate by creating a culture in which all employees are actively
encouraged to put ideas forward. But how do you get the best from people and encourage them
to be at their most creative?
1. Stress the importance of creativity. Ensure all your staff know that you want to hear
their ideas. Unless they understand how innovating your business processes can keep
your firm competitive, your efforts at encouraging creative thinking risk falling flat.
2. Make time for brainstorming. Allocate time for new ideas to emerge. For example, set
aside time for brainstorming, hold regular group workshops and arrange team days out. A
team involved in a brainstorming session is likely to be more effective than the sum of its
parts. Individuals within the team can feed off each other – exploring, testing and refining
ideas. You should also give individuals the space to reflect privately on their work if you
think they need it.
3. Actively solicit ideas. Place suggestion boxes around the workplace, appeal for new
ideas to solve particular problems and, quite literally, keep your door open to new ideas.
4. Train staff in innovation techniques. Your staff may be able to bounce an idea around,
but be unfamiliar with the skills involved in creative problem-solving. You may find
training sessions in formal techniques such as brainstorming, lateral thinking and mind-
mapping worthwhile.
5. Cross-fertilize. Broadening people‟s experiences can be a great way to spark ideas.
Short-term job swaps and shadowing in-house can introduce a fresh perspective to roles.
Encourage people to look at how other businesses do things, even those in other sectors,
and consider how they can be adapted or improved.
6. Challenge the way staff work. Encourage employees to keep looking anew at the way
they approach their work. Ask people whether they have considered alternative ways of
working and what might be achieved by doing things differently.
7. Be supportive. Respond enthusiastically to all ideas and never make someone offering
an idea, however hopeless, feel foolish. Give even the most apparently outlandish of
ideas a chance to be aired.
8. Tolerate mistakes. A certain amount of risk-taking is inevitable with creative thinking.
Allow people to learn from their mistakes. Never put off the creative flow by penalising
those whose ideas don‟t work out.
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9. Reward creativity. Motivate individuals or teams who come up with winning ideas by
actively recognizing creativity, for example through an awards scheme. You could even
demonstrate your recognition that not all ideas work out by rewarding those who just
have a rich flow of suggestions, regardless of whether they are put into action at work.
10. Act on ideas. Creative thinking is only worthwhile if it results in action. Provide the time
and resources to develop and implement those ideas worth acting upon. Failure to do so
not only means your firm will fail to benefit from innovation, but flow of ideas may well
dry up if staff feel the process is pointless.
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TVET PROGRAM TITLE: Budget and Accounts Support Level III

MODULE TITLE: Monitoring Implementation of Work

Monitoring Implementation of Work plan/Activities

Monitoring Implementation of Work plan/Activities

1.2 Overview of Monitoring and Evaluation Work Plans

Monitoring Implementation of Work plan/Activities

1.3 How to Plan & Organize Work Activities

Monitoring Implementation of Work plan/Activities

1.4 Develop a work plan and budget

Monitoring Implementation of Work plan/Activities

Define training goals and identify

Monitoring Implementation of Work plan/Activities

LO2 Planning and organizing workflow

2.2 Workflow Systems

Monitoring Implementation of Work plan/Activities

2.3 Process workplace information

Monitoring Implementation of Work plan/Activities

2.4 Information is processed in accordance with defined timeframes,

Monitoring Implementation of Work plan/Activities

LO3 Maintaining workplace records

Monitoring Implementation of Work plan/Activities

3.1 Personnel records

3.2 Basic record keeping requirements

3.3 Record keeping for business

Monitoring Implementation of Work plan/Activities

3.4 Managing record keeping risks

Monitoring Implementation of Work plan/Activities

Monitoring Implementation of Work plan/Activities

Monitoring Implementation of Work plan/Activities

Monitoring Implementation of Work plan/Activities

LO4 Solving problems and make decisions

4.1 Problem-solving and decision-making

Monitoring Implementation of Work plan/Activities

Monitoring Implementation of Work plan/Activities

4.3 Guidelines to Problem Solving and Decision Making

Monitoring Implementation of Work plan/Activities

Monitoring Implementation of Work plan/Activities

Monitoring Implementation of Work plan/Activities

Make Everyone a Leader

Monitoring Implementation of Work plan/Activities

Monitoring Implementation of Work plan/Activities

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