Changing RecordkeepingCulture at the

University of Western Sydney

Michael Smith

ManagerRecords & Archives Mgt Services

About UWS

• Approx. 4,000 staff

• 36,000 students

• 6 campuses on 9 main sites

• Major restructuring

• Broad range of activities/services

RM Structure

• Devolved• Some central functions

– Storage– Destruction– Archives– Training/Support– Legal Documents – storage and scanning

Paving the Way

• Review/assessment of current practice• Building Relationships• Internal case studies• Records Management Policy• Business Case• ‘Sell’ Records Management

The Project

The Problem

• Multi-site organisation• Email proliferation• Version control• Large number of staff• Lack of attention to recordkeeping in

business processes

Project

• Simple scope• Drivers:

– document management– compliance

• Know your goals• Admit when you are beaten and find another

way

The Process

• Memo to head of unit• Meeting with key staff• Recordkeeping analysis (DIRKS style)• Training• Go-live (as a unit)• Six month review of progress• Monitoring and on-going reporting

User Support

Liaison/ Support

• Assign RAMS staff to each business unit

• Single point of contact – TRIM Coordinator

• Build relationships

• Understand functions & activities

• Personalised service

• Recordkeeping analysis

Service Centred Approach

• attitude of support staff is critical• we are:

Records & Archives Management Services

• we do not expect ‘them’ to be the experts• we provide a solution• we are not the records police• never refer users to a guideline as a first

response

ITDHelpdesk

TRIMAdministrator

RAMSRecords Officer

Peo

ple

Ma

teri

als

Business Unit

TRIM Coordinator

‘Cheat’ card

Leaflets

Website

Training

Other

Basic Advanced Academic

Listservs Forums

Manual

Records Inf. Form

Remote Access

Changing Culture

[Rogers, E.M. (1995). Diffusion of innovations (4th ed.). New York: The Free Press]

Innovators2.5%

EarlyAdopters

13.5%

Early Majority34%

Late Majority34%

Laggards16%

Who are the recordkeepers?

• TRIM Coordinators

• End users

• Managers?

• Academic staff

• Records management unit

RE

CO

RD

LIF

E C

YC

LE

Pre- creation(planning)

A Record is Born(ie created or received in the

course of business)

Active(the record is used regularly

& is kept in the office)

Semi- Active(the record is only used occassionally& can be stored away from the office

- eg with RAMS)

I nactive(the record is no longer in

use and is awaiting disposal)

Archive(the record is sent to the University

Archives to be kept forever)

Destroy(in accordance with GDA once

min. retention period has expired)

Anne Pederson, “Understanding Society Through Its Records – The Records Continuum”

[http://john.curtin.edu.au/society/australia/index.html]

Attitudes and Perceptions

• It’s just filing.• Yes it’s important but I don’t have time right now.• When I leave it won’t be my problem.• How dare you tell me what to do with my

records.• I need access NOW and I’m too important to

attend training

Integrations

Integrations

• Student files and locations• Staff files and locations• Student email auto capture

(215,000 since March 2008)• Student forms scanning• Complaints system

Non-Standard Applications

• Art Collection

• Capital Works plans

• Archives Collection

• Historic photograph collection

MeasuringSuccess

What are the KPIs?

• Number of documents registered?

• Impact on physical storage?

• Staff satisfaction?

• Recordkeeping compliance levels?

• Vital records identified, captured, managed?

Documents Registered (Cumulative)

0

200000

400000

600000

800000

1000000

1200000

1400000

1600000

1800000

2000000

Aug-0

4

Nov-04

Feb-0

5

May

-05

Aug-0

5

Nov-05

Feb-0

6

May

-06

Aug-0

6

Nov-06

Feb-0

7

May

-07

Aug-0

7

Nov-07

Feb-0

8

May

-08

Aug-0

8

Nov-08

Feb-0

9

Outcomes

• Raised awareness?

• Raised expectations?

• Improvements to business processes?

• Changing roles for records staff

• Our users know there is a problem with the system before we do

Key factors for success

• High level project support• Well structured and supported IT

infrastructure (esp. standard desktop environment)

• Service approach• Managing change

Paperless

Office?

What of the future?• Jedi Archivist: “I hate to say it, but it looks like the system

you're searching for doesn't exist.”• Obi Wan: “That's impossible - perhaps the Archives are

incomplete.”• Jedi Archivist: “The Archives are comprehensive and

totally secure, my young Jedi ... One thing you may be absolutely sure of: If an item does not appear in our records, it does not exist.”

[Robert A. Salvatore, Star wars. Episode II. Attack of the clones, based on the story by George Lucas and the screenplay by George Lucas and Jonathan Hales (Ballantine books, New York 2002) 155-160]

Questions?