unisa records management (rm) project -...
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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
2
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.
3
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)
4
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
5
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)
6
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)
7
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
8
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
9
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
10
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
12
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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
14
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
15
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
16
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
17
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?)
18
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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