A Case Study of Rand Water

Pertunia Mohlabi, Jannie Ferreira, Vincent Mello, Tebogo Mile & Lesetja Maraba

Managing records in networked environment using EDRMS applications: a case study of Rand Water

Pertunia Mohlabi, Jannie Ferreira, Vincent Introduction Mello, Tebogo Mile and Lesetja Maraba Rand Water, South Africa The existence of organisations in categories [email protected]; such as Rand Water is interesting and challenging. Rand Water runs a business that [email protected]; produces a product that no living being can [email protected]; live without; its product is thus [email protected]; indispensable. The product is regulated by [email protected] the Government of South Africa through its acts and legislation signed and adopted by Government through its Parliament. In the Abstract case of Rand Water, the Water Services Act of 1997 guides and endorses its existence Rand Water was founded in 1903 at the conclusion and its operations. Similar principles apply of the Anglo Boer War and has a very rich history when it comes to how Rand Water ought to as an organisation. Founded with the sole purpose to manage and archive its records. The setup provide clean water to domestic and industry needs in was different when Rand Water enjoyed a the greater Johannesburg and Witwatersrand area, fair amount of independence also in as far as at that time, it then became part of the bigger body governance of its records management of bulk water supply entities in 1997 as guided by function was concerned. However, with the the Water Services Act of 1997. In consideration of passing of the Water Services Act in 1997 the date that Rand Water was founded, its records and Rand Water’s subsequent incorporation pre-date it by ten years as its oldest archives date into the greater family of bulk water back to 1893 with correspondence about the setting suppliers, its records management function up of smaller, fractional water supply authorities. became aligned with the provisions of the Evolution of the organisation as it grew brought new National Archives and Records Services of ways of managing its records and archives. The South Africa Act, No 43 of 1996, as impetus towards new approaches to managing amended. records and ensuring archival compliance in accordance with standards was propelled by the This paper intends to elaborate on the relevant legislation as approved by Government and records management and archiving of Rand internationally adopted standards. This article is Water’s story through the lens of an based on the experiences of the authors and attempts archivist, records manager and IT specialist to navigate through the records management and in attempt to align to the latest practical and archival story of Rand Water representing water effective approaches. sector challenges and opportunities that organisations Brief background of records such as this are faced with in consideration of the ever-improving technologies and strategies at their management at Rand Water disposal. In view of the historical account on the Key words: electronic records, electronic evolution of the Rand Water archiving and document and records management system, records management function, it can be Rand Water appreciated that the system of record keeping was simple and elementary. Files

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P. Mohlabi, J. A. Ferreira, V. Mello, T. Mile & L. Maraba were numbered from 1 and number Quality management standards reservations were used to ‘block off’ a group and National Archives of similar subjects. Typically the first files contained take-over documentation, legal Since Rand Water’s establishment in 1903 its opinions pertaining to the latter, initial records management function was logistical arrangements for the setting up of centralised at its head office, with satellite the organisation, its personnel complement, records systems feeding into the corporate funding, loans etc. In order to create more system. This is still the case today, with the space in the system, the alphabet was also ISO 9001:2008 quality management system utilised in conjunction with numerals, for and its associated annual audits, ensuring instance 25/A, 25/B, etc. In case of case quality control (Rand Water Annual Report, files having to be opened, a file number 2012/13). could be used in conjunction with the alphabet, for instance under potable water Among the factors that influenced records supply the number was 31. Should the management compliance with the municipality be Boksburg, the number government regulations and legislation was would be 31/B/1, while a similar file for the Rand Water’s move to a new building Brakpan would be 31/B/2. outside the city centre of Johannesburg in 1988. Its archives dating since foundation This particular system was quite successful, up until 1975 then were transferred to the due to the diligence of the records staff Johannesburg Records Centre. This action meticulously recording each incoming letter meant a total revamp of the records filing into a register of incoming mail, detailing the system implementation and conformance to date of receipt, date of the letter, the name the principles and guidelines of the National of the sender, name of recipient, subject and Archives & Records Service of South Africa external reference number where applicable. (NARS). The records file plan was registered A similar register of outgoing mail was used with NARS, but a longstanding legal issue for correspondence being dispatched, between NARS and the state legal advisors containing the same categories of regarding the applicability of the NARS Act information above. An alphabetical index to parastatals such as Rand Water, resulted card system cross-referencing the file in some delay in finalising the actual file numbers assisted in the speedy tracing of plan. However, the guidelines and files from the file cabinet. A further regulations with regard to the enhancement to this was the daily manual implementation of the file plan were listing of files in offices, enabling the followed as good practice in any case. Records Department staff to trace files required for placing of correspondence. A Emergence of technology unique management tool was the so-called list of correspondence outstanding longer In 1991 the computerisation of Rand than six weeks, assisting management in Water’s records management systems kicked ensuring that correspondence was dealt with off, using Ghostwriter as a platform. The within a space of no longer than six weeks. system development was done in-house by Space was allowed to motivate any periods Rand Water’s IT Department, with inputs of execution taking longer than six weeks. A from the Records Management Department. system of inter-site movement of postal This system however, was not very user- items called the ‘pony’ was established friendly in the Rand Water landscape and a which is still in use today. Old records show few years later, another system was that periodic disposal of old, obsolete files developed in-house, called File Tracking were carried out. System (FTS). Information captured on the system included the following:

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P. Mohlabi, J. A. Ferreira, V. Mello, T. Mile & L. Maraba

 Incoming correspondence: company that integrates with the existing Information name, sender, date of despatch, date Technology systems in Rand Water. of receipt, subject, reference numbers, etc Rand Water archival museum  Outgoing correspondence: company project name, sender, date of despatch, subject, reference numbers etc. In conjunction with this paper, Rand Water  Listing of items outstanding longer is embarking on setting up a water than six weeks technology museum that aims to collect  Repository of all incoming items and artefacts related to its correspondence subjects development since 1903. Apart from the typical museum-related objects, it will File tracking functionality was quite a unique endeavour to showcase the paper format feature at that stage, enabling staff members records that that were significant to building to forgo the manual process of listing files in Rand Water to be what it is today. These offices by using hand-held scanners which records include milestones achieved and were linked to the central computer system related policies and technologies. Though and then updated and downloaded twice a the project is at its initial stages, progress has day, allowing staff to trace and track files been made and upon completion it is needed for administration and records envisaged that the elements that make up an purposes. This system caused quite a stir in organisation’s heritage will be brought its heyday in the 1990s in South African together under one roof, that is its historical records management circles. objects, machinery, records, photographs, drawings and related documents that will be In the myriad of technologies at Rand made available for further research as part Water’s disposal, there still remains a of the greater Rand Water knowledge hub. challenge in the adaptation and alignment to The journey of reaching success rests upon the operations of Rand Water as a state the lessons learnt and implementation owned entity. In the same context, in approaches. It is envisaged that the consideration of the initiative such as going culmination of this project would magnify green and other related environmental the importance and the value of legislation is equally important in the current technological adaptation of records time of modernisation. Global trends also management and archiving in Rand Water have a major influence in how an and beyond. organisation in South Africa ought to map its operation and related processes in records management and archival solutions. The problem It also brings to surface related challenges such as integration of business units in Rand Water, being over 112 years in archiving strategic objectives through existence, has historical records that are still records management and archiving of important and remain vital input factors to records. In the context of Rand Water, this the current practices and technologies paper seeks to focus on non-electronic already in place. Though the records are not records (hardcopies) that are of great value consulted on a daily basis for daily to Rand Water assets and designs that are operations anymore, they are as crucial to vital to the very essence of its existence. the organisation for the current and the The challenge is one of trancending the future operations of the organisation. In seamless process of ensuring that records consideration of the infrastructure of Rand management, information management and Water, it is to be noted that some of the archiving activities are synchronised and pipelines were laid more that 50 years ago effective leveraging on suitable technology (www.randwater.co.za). Information about

P. Mohlabi, J. A. Ferreira, V. Mello, T. Mile & L. Maraba the contracts, servitudes, drawings, designs Conclusion and way forward and legal documents related to the agreements reached, remains critical to this This paper explored the historical account day. Similarly, to records pertaining to of Rand Water’s records management since investments should remain for the period as its inception to date. The paper has stipulated in the relevant contract. Rand identified two main challenges in managing Water ought to secure and effectively records at rand Water. The first challenge manage its existing records that are not in an relates to whether Rand Water falls under electronic state as well as in a paper format. the auspices of the NARS Act. Even though In some instances it has been observed this question has not been answered, Rand through communication on email that some Water still uses guidelines provided by the files relating contracts change too often and NARS to manage its records. The second tracking them remains a challenge (email challenge relates to the emerging technology communication, 2013). The other challenge that impact on the management of records. facing most companies in the world is based on identifying themselves with the best and In order to address these challenges, a team suitable solution to effectively archive and of archives and records management manage their records in a best fitting professionals from Rand Water embarked strategy leveraging on the technology. on an InterPARES project coordinated by the Department of Information Science at The question facing Rand Water is: the University of South Africa of managing archival records ready for transfer to How should archiving and records management be archives repository. The aim of the project adapted to the latest technology to best achieve Rand is to assess the recordkeeping environment Water business objectives without compromising its within Rand Water from both legal, as well legacy? as technical perspectives and then develop the appropriate archival environment for the Based on the question stated above, sub- institution’s electronic records. questions that would contribute in reaching an answer to the main question could be the following:

 Which categories of records exist in Rand Water that remain relevant to its business, based on the archival story?  What challenges and opportunities does records management and archiving present to Rand Water and its operations?  In consideration of a myriad of technologies and global trends, what technology is best suited to effectively and efficiently enable records and archiving strategy in Rand Water? These questions are considered key in an attempt to address the legal challenges faced by rand Water in managing its records. The question would be answered in consideration of assumptions and limitations in the context of Rand Water business.