JISC Impact Calculator project Oxford University June 2010
Project background In November 2009 JISC infoNet released an Impact Calculator designed to help institutions to demonstrate the impact of records and information management by quantifying the tangible benefits or efficiency gains that can be derived from the use of this tool. This was followed by a call for expression of interest from six institutions within the UK further and higher education sectors to pilot the Impact Calculator as part of a records or information managementbased change initiative and to report back with their experiences. Oxford University was successful in a bid to be one of the partner institutions and given the scope of the exercise, six months with the parttime allocation of the Bodleian Library Records Manager to oversee the project, the Research Services team from University Administration and Services was chosen to represent a pilot study for the project. University Administration and Services (UAS) is the collective term for the central administrative departments of the University. These departments work to support the academic departments and assist the University in achieving its aims. As part of UAS, Research Services (RS) works to support Oxford's researchers and to facilitate worldclass research and knowledge exchange. The main responsibilities of RS include supporting the grant process, including advice and information on funding opportunities, reviewing and authorising research grant applications, accepting new awards, and sponsor liaison; negotiating researchrelated contracts; advising on the costing and pricing of research at Oxford; supporting University and Divisional researchrelated planning; promoting the responsible conduct of research and compliance with regulatory and sponsor requirements; facilitating knowledge transfer; and the continuous improvement of research administration at Oxford. Because RS undertook an unfunded internal endeavour to create a records manual to assist with office procedures in the summer of 2009, it was felt that this team would be greatly aided by the application of the Bodleian Libraries’ JISCbased retention policy and the JISC Impact Calculator. The pilot project aimed to make specific use of the Bodleian experience to enable RS and potentially other areas of UAS to improve recordkeeping and to augment the capacity to manage administrative records, a desire central to the strategic objectives of the University as a whole.
Project methodology and outcomes Over the course of the project, records surveys were carried out across RS, covering records associated with the research process including: correspondence, project files, grants applications, ethics applications and approvals, authorship agreements, technical reports, research progress reports, signed consent forms, etc. It was noted that in relation to paper records, while broad guidance is in place for UAS staff regarding the management of records via Central Filing, there are no formal procedures for applying
retention periods to records for short, medium or longterm use and preservation. The recommendations provided by the University Archives were admittedly not routinely followed, thus direct consultation with the Keeper of the Archives would be required to ensure that records with potentially historical importance were transferred to the Archives. Information audits and records surveys also revealed that no provisions were in place for longterm preservation of electronic records. While much contract and supporting documentation, including email, was clearly stored in a Lotus Notes based document management system, in use by RS since 2005, this would need to be replaced as the University moves to a MS Groupware/Sharepoint as a possible storage platform. The study also uncovered that team or departmental documents were stored unstructured on a shared network in locally created folders. While the network used would be secure in the sense of being routinely backedup, the integrity of data stored in folders could be compromised by the lack of any audit protocol for unstructured files. As a result of the record surveys, a retention schedule was drafted to provide guidance for records generated by RS according to the JISC guidelines for Higher Education Institutions, as well as The National Archives (TNA) recommendations. General instructions for improving recordkeeping also included specific guidance on electronic records management and email management, as well as emphasising applicable information legislation such as Data Projection. Data including external (contracted out) storage running costs, external storage retrieval costs, and internal storage space used, was collated for entry into the JISC Impact Calculator. This was based on current external storage and retrieval costs with estimated future VAT. While the storage costs were straightforward to measure, the retrieval rate was averaged as a single figure. This was due to information gathered in the audits that retrievals did not necessarily relate to how recently files had been sent to storage. In some instances a file might be called back that had been in storage for many years while in other cases, the file may have been in storage only for months. Depending on the nature of the file and the team requiring it, the retrieval of it could be fairly random. Thus the average figure of retrievals per year was used. The Comparative Cost Information was based on two potential scenarios, one including the use of 5% of a professional Records Manager’s time (at grade 7 on academicrelated scale) or 5% of a Records Officer’s time (at a grade 5 level of clerical support). These figures allowed for the RS team representing 5% of the UAS umbrella. If a dedicated individual would be hired to follow up on the project findings, it was felt that they would be employed for the benefit of all of UAS not only the RS team. The resulting figures indicated a potential five year cost savings of over £8,000 per annum and up to approximately £12,000 per annum for the RS team. The amplification of these metrics to encompass all of UAS (and wider University) would indicate a significant future economic savings should a similar exercise be carried out on a larger scale. Furthermore, staff gains in time and other related metrics could prove to contribute to more substantial savings if a records management programme was implemented across departments. It was agreed that solutions for permanent digital preservation of records would need consideration beyond the scope of the project. It was noted that there is potential for further discussion in liaison with the Bodleian Library and with the Bodleian futureArch project involving archives to be transferred to Bodleian Electronic Archives and Manuscripts (BEAM). Preservation of borndigital administrative records, including email, and augmenting existing paper records, could be decided via migration or emulation, which might be taken forward in connection with other University digital initiatives such as the exploration of storage uses for Groupware/Sharepoint or other technical possibilities.
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Lessons Learned and next steps While the individual RS teams were very accommodating and positive in welcoming this exercise, feedback on the retention schedule indicated that it would be very difficult for staff to implement a range of retention periods over many different types of records. Similarly, while it was agreed that a departmental administrator to oversee the use of the network drive for records storage and to rationalise reference materials in a team library, was desirable, resourcing this additional work would be challenging. These considerations should be taken forward in light of the future staffing of any records management work. Also, the need to thoroughly review the paper records held in external storage highlighted the amount of time and staff resource that would be required to carry out this activity to support the evidence of the metrics used in the Impact Calculator. The University Archives currently provides a facility for reviewing RS records for historical retention, but it was agreed that an initial measure of review by a records manager would significantly streamline this process and allow the Archives to focus on the records clearly designated for permanent retention. In conclusion, the general indication from staff in RS and other stakeholders was that this had been an important and worthwhile exercise, highlighting a need for further work in the area of records management in UAS and across the University. The internal project group monitoring the progress of the JISC project, consisting of representation from the Bodleian Libraries, UAS and the University Archives, agreed that a University Records Management Project would be an advisable next step to build on the work of the Impact Calculator project and to encourage best practice in records management across the University. Future development in this area will consider elements such as: current professional culture and existing environment, possible projects ideally to focus on electronic records and digital collections, infrastructure and systems requirements with accompanying standards and practices required for such projects, and the potential benefit and impact of project outcomes across the wider HE landscape. It is hoped that Oxford University can take forward this work in a collaborative manner with other institutions to encourage and shape change in a meaningful way.
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Linda Needham
Page 4 10/12/2010
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