UNISA Records Management (RM)

Project

State and progress according to

ISO (SANS): 15489 implementation

methodology

RMAA Convention 2009 Adelaide

Presenter: Ms NM More

Presentation framework

• Background

• Step A : Conduct preliminary investigation

• Step B : Analyse Business Activity

• Step C: Identify requirements for records

• Step D & E : Assess existing systems & Id strategies to

satisfy requirements

• Step F : Design Records System

• Step G : Implement Records system

• Summary of the status & progress to date

• Challenges

• Way Forward

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Background

• 2004: The former University of South Africa (UNISA)

merged with the Technikon Southern Africa (TSA) and

incorporated the distance education component of Vista

University (VUDEC) to form the new Comprehensive

UNISA.

• 2005: A records management project was registered

after an initial budget amount of R35 million was

approved and allocated by MANCOM for this purpose.

An additional amount of R5 million was later added to

the project budget as a contribution from our ICT

department, which brought the value of the project to

R40 million.

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Background

cont…d

• 2006: Project Board was constituted, which consisted of

stakeholders from each business unit represented by

Top Executives to oversee overall leadership, direction

and ensure success of project.

• 2006: Project Charter developed and signed-off

(included project background, scope, objectives,

structure, responsibilities, plan, time, budget and risk

assessment)

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Background

cont...d

• 2007: Replacing the Project Board with Steering Committee - a small team constituting five members and given the same authority and power to make decisions

• 2008: Appointment of an independent specialist consultant to guide and advise the steering committee

• 2008: Appointment of 2 Records Managers

• 2008: Advertisements of 14 new additional positions

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Step A: Conduct preliminary

investigation

• Records Management Audit Report (2006) by

external consultant to obtain information pertaining to

the administrative, legal, business and social

environment in which the university operates “AS IS”

• Included SWOT analysis

• Library Archives and the Records Management

Centre Role clarification (2008)

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Step B : Analyse Business Activity

• Business Analyst were engaged with the mapping of

business processes for records management

• Higher Education Quality Audit outcomes were

considered to improve the quality of service (2008)

• High level Organisational Architecture strategy being

developed (2009)

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Step C: Identify requirements for records

• Records Management policy approved and

implemented

• Sensitivity Classification policy approved and

implemented

• Archives policy submitted for approval

• Records Hold policy still in circulation for comments

• Records Retention and Destruction procedures

submitted for approval

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Step D & E : Assess existing systems &

Identify strategies to satisfy

requirements

• Compilation of specifications for IDRMS Tender

completed (2009)

• Tender on hold pending Enterprise Content

Management (ECM) initiative to support ODL

• Off- Site Storage & Scanning Project of former merger

partners (TSA,VUDEC) and GSBL completed (2008)

• Re-prioritization of the phased roll-out plan

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Step F : Design Records System

• Project plan approach as prioritised

• Planning & Preliminary Investigation

• RM Governance

• Analysis

• Information survey

• Conduct Functional Analysis/JAD Sessions

• File plan design

• Retention Schedules

• Sensitivity Classification Scheme

• RM Program Implementation

• Staff Training

• Clean-Up

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Step F : Design Records System

cont...d

• Support series standardised across the university

• Line series customised per business function

• Retention periods linked

• Sensitivity classifications linked

• Educate users

• Roll out implementation and on-going

improvement

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Example

Support

Line

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Step G : Implement Records system

• Implementation for paper records only

Phased implementation

Key stakeholders as prioritised

Graduate School of Business Leadership (GSBL),

Human Resources, ODL project, Registrar

Vice-Chancellor, Vice-principals, Library, Legal

Services

• Centralised control of policies, procedures, File Plan

and Retention Schedules

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Step G : Implement Records system

cont…d

• Ensure compliance through audits & formally

including Records Management as a KPA (Key

Performance Area) for all UNISA staff in performance

agreements (approval pending)

• Standardisation of filing storage equipment,

consumables and labelling

• Implementation for electronic records is pending ICT

decision on ECM way-forward

Interim mirroring of File plan structure on shared

drives

Example: At GSBL File Plan developed in Lotus

Domino environment

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Step G : Implement Records system

cont...d• Training

Training Material developed

Training of Records Officers (Basic, Intermediate and

Advanced Archives and Records Management Course;

Electronic Records Management (AIIM))

Training of users on the use of a File Plan

• Change Management

Completed Change Management Strategy

Awareness and Communication Campaigns (INTCOM)

Proposal to include Records Management Training in

HR training/induction schedule

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Summary of the status & progress

to date

Task Progress in %

1. Policy & procedures 95% complete

2. Retention Schedules 100% complete

3. Taxonomy On-going (phases)

4. Technology 40% complete (ECM decision)

IDRMS functionality defined

5. Scanning 100% complete

6. Facilities 70% complete

7. HR structures & staffing 100% complete

8. Communication On-going

9. Change Management On-going

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Challenges

• Establishing RM requires time, commitment and

knowledge: RM Steering Committee was unable to meet

during the first 6 months of 2009.

• Physical Facilities: Records storage space is required for

inactive records. MANCOM decision on outsourcing or

on-site storage pending (risks)

• Internal positioning of RM Division debate: is RM a

governance, planning or operational function?

• Delays caused by ICT’s investigation into a total ECM

solution (Out of our hands)

• Role of ICT vs Business (Who makes decisions?)

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Challenges

cont...d

• Non-alignment of projects (Project Office)

• Changes in Leadership/Executive Management

• Lack of commitment of key stakeholders to the project

• Scope creep

• Unrealistic time frames

• Serious lack of subject skills and understanding of RM

role

• Loss of skilled and qualified staff due to frustrations

caused by delayed decisions

• Introduction of new projects before completion of current

projects

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Way-Forward

• Investigations currently underway to understand the

impact and benefits of introducing an Enterprise Content

Management (ECM) System

• Developing an institutional ECM strategy in line with OA

• Ensuring that the achievements and lessons learned in

the RM project are used as a base to introduce ECM,

which will be of value as long as there is full integration

of technology solutions and alignment of these two

projects to optimize on the benefits

• The project is still envisaged to be completed in 2010

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UNISA Logo: Learn where ever you are

THANK YOU

Acknowledgements: Ms A van der Westhuizen (Records Manager)

Mr. T Mvubu (Records Manager)

Mr. Q Johnson (Manager: Special Projects)

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