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CONSTITUENT OWNER AND Data Sharing Policy
1
CCONSTITUENT ONSTITUENT OOWNER AND WNER AND
DDATA ATA SSHARING HARING PPOLICYOLICY
Version 1.0 FINAL
14 July 2009
C O N S T I T U E N T O W N E R A N D D A T A S H A R I N G P O L I C Y
Constituent Owner and Data Sharing Policy (Version 1.0) – University of the Witwatersrand, Johannesburg 2
Document History
This document is valid as the most current version until a revision to it is generated and/ or the final
version has been approved.
Document Location
The source of the document will be found in the Project file.
Revision History
Version Revision
Date
Previous Revision
Date
Summary of Changes Changes
Marked
0.3 11 June 2009 7 June 2009 Throughout document based on 10 June 09
stakeholder meeting and subsequent
comments/contributions.
Changes
are
marked
using
tracked
changes
Approvals
A signed approval form is required only when the document is approved and finalised. Signed approval
forms, appended to documents, are filed in the project files.
Name Division/Department
Caroline Fairbrother Academic Information Systems Unit
Prof Rob Moore Advancement
Peter Maher Alumni Office
Tessa Murray Business School
Nhlanhla Mabaso Computer Network Services
Charmaine Pretorius Development Office
Patrick Fitzgerald Finance
Elke Gevers Human Resources
Prof Derek Keats Knowledge & Information Management
Senteni Nsibande Wits Language School
Ferna Clarkson Marketing
Dr Derek Swemmer Registrars Division
Carol Crosley Student Enrolment Centre
Fazela Haniff Wits International Office
Distribution
This document has in addition distributed to the following individuals for comment.
Name Division/Department
Lorraine Purkey Academic Information Systems Unit
Ivor van der Bijl Advancement
Anita Vallabh Computer Network Services
Luci Carosin Computer Network Services
Yogini Govind Computer Network Services
Lesley Salter Engineering & Built Environment
Kevin Mcloughlin Management Information Unit
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Contents
1 PURPOSE OF THIS DOCUMENT..................................................................... 5
2 BACKGROUND: CRM PROJECT/S ................................................................. 5
3 RATIONALE FOR A CRM POLICY................................................................. 6
4 POLICY CONCEPTS........................................................................................... 6
4.1 CONSTITUENT (CONSTITUENCY) ......................................................................... 6
4.2 CONSTITUENT OWNER ......................................................................................... 7
4.3 DATA SHARING ..................................................................................................... 7
4.4 DATA OWNERSHIP ................................................................................................ 7
5 SYSTEMS AFFECTED BY A CRM POLICY .................................................. 8
6 DIFFERING STANCES ON DATA SHARING ................................................ 9
7 MULTIPLE CLAIMS TO CONSTITUENT OWNERSHIP .......................... 10
8 CONSTITUENTS AND CONSTITUENT OWNERS ..................................... 12
9 POLICY AND GUIDELINES............................................................................ 13
9.1 DUPLICATE RECORDS (A.K.A. UNIQUE RECORDS)............................................ 13
9.1.1 Description ....................................................................................13
9.1.2 Resolution .....................................................................................13
9.1.3 Issues............................................................................................14
9.2 DATA INTEGRITY (A.K.A. DATA CURRENCY AND DATA ACCURACY) .............. 15
9.2.1 Description ....................................................................................15
9.2.2 Resolution .....................................................................................15
9.3 DATA SECURITY ................................................................................................. 16
9.3.1 Description ....................................................................................16
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9.3.2 Resolution .....................................................................................16
9.4 MULTIPLE CAPTURE.......................................................................................... 16
9.4.1 Description ....................................................................................16
9.4.2 Resolution .....................................................................................17
9.5 DATA PRIVACY................................................................................................... 17
9.5.1 Description ....................................................................................17
9.5.2 Resolution .....................................................................................17
9.6 BUSINESS GOALS................................................................................................ 17
9.6.1 Description ....................................................................................17
9.6.2 Resolution .....................................................................................17
9.7 COMMUNICATION .............................................................................................. 18
9.7.1 Description ....................................................................................18
9.7.2 Resolution .....................................................................................18
9.8 SEGMENTATION.................................................................................................. 18
9.8.1 Description ....................................................................................18
9.8.2 Resolution .....................................................................................18
9.9 OVER COMMUNICATION.................................................................................... 19
9.9.1 Description ....................................................................................19
9.9.2 Resolution .....................................................................................19
9.10 DATA CLEANSING ............................................................................................ 19
9.10.1 Description ..................................................................................19
9.10.2 Resolution ...................................................................................19
9.11 CONFLICT RESOLUTION .................................................................................. 20
9.11.1 Description ..................................................................................20
9.11.2 Resolution ...................................................................................20
ACCEPTANCE FORM ............................................................................................ 21
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1 PURPOSE OF THIS DOCUMENT This document outlines the policies and guidelines governing the University’s
management of constituent relationships and concomitant constituent data.
2 BACKGROUND: CRM PROJECT/S The University has approved the rollout of a CRM solution across multiple
areas that include the Student Enrolment Centre (SENC), Alumni Office and
Marketing scheduled for 2009 and the Business School, Language School
and Development Office scheduled for 2010. This after a detailed exercise in
defining requirements; identifying, evaluating and selecting a solution;
addressing risks and concerns; and, successfully implementing a pilot1.
During this process, CRM was defined as follows:
“CRM is both a business strategy and a set of discrete software tools and technologies, with the
goal of reducing costs, increasing revenue, identifying new opportunities and channels for expansion,
and improving customer value, satisfaction, profitability, and retention… CRM focuses on automating and improving the institutional processes associated with managing customer relationships in the
areas of recruitment, marketing, communication management, service and support” (Grant &
Anderson, 2002: 24).
The key advantage of implementing a CRM solution is to bring into view the
full range of the various constituents the University has a relationship with. It
allows for the coordination of multiple relationships by various University
areas.
Many University areas have differing claims on specific constituencies. These
claims may at times be at odds with each other. For example, the Alumni
Office after receiving a telephonic request may want to update a graduate’s
maiden name but this contravenes the Registrar’s statutory responsibility for
ensuring valid supporting documentation. Another challenge is the claim by
various University areas to raise funds from the same alumni pool.
A lengthy and detailed process was embarked to understand the issues and
concerns raised by University stakeholders. Meetings and workshops were
held culminating in the drafting, debating, reviewing and refining of this policy
1 See WITS CRM Executive Summary, V2.0, 12th March 2009.
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document. It establishes the landscape of constituents and data owners,
acknowledges primary ownership and provides a mechanism for resolving
future conflicts.
A Project Board that reports to the Senior Executive Team (SET) on a regular
basis guided this process as part of its role in overseeing the project. The
Executive Sponsor for the project is the Deputy Vice-Chancellor for
Advancement, Prof. Rob Moore, as the overall CRM strategy is located within
the Advancement Office.
3 RATIONALE FOR A CRM POLICY A CRM policy is required to protect the University and its constituents’
information while enabling the same information to be used by the University’s
departments in line with its strategic objectives.
By developing a policy the University is able to determine roles,
responsibilities and accountability for the management of its CRM information
as an integral asset for maintaining, enhancing and building new
relationships.
Establishing a CRM policy makes it possible for the University to benefit from
enhanced information management while facilitating a collaborative work
environment. This would require the policy to include operational guidelines
on the use of information that will reside within the CRM system in terms of
access, accuracy and updating.
The CRM Policy also assists in identifying and highlighting risks to the
University.
4 POLICY CONCEPTS The following are concepts used in the definition of this policy.
4.1 Constituent (Constituency)
Constituent refers to all parties with whom the University has some form of a
relationship. This includes applicants, parents, educators (teachers, career
counsellors, and principals), students, alumni, donors (individuals,
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organisations), government departments, companies, universities, statutory
bodies, non-governmental organisations, among others. For effectiveness and
ease of management constituencies may be split. For example, the top 20
companies (using whatever measure), MBA alumnus, etc.
4.2 Constituent owner
When an internal University stakeholder has developed and promoted a
relationship with a constituency (whether internal or external or part thereof)
this internal stakeholder claims ownership of the constituent relationship. This
includes the responsibility for regular communication as well as gatekeeper
for all other University communication to that constituent or part thereof.
The constituent owner cultivates specific relationships and therefore asserts
overall responsibility for the data in terms of determining the availability and
security of data, as well as in some instances the rules governing the use of
data.
The constituent owner, in this context, claims responsibility for establishing
the data requirements in terms of validity and accuracy of data types, rules
governing the data including those that impede data duplication.
4.3 Data sharing
The CRM system can facilitate information sharing among University
departments by providing access to information that can be used for the
varying purposes across the University.
For data sharing to take place effectively it requires the system to merge input
from several distinct sources that have an interest in reusing the information.
Each department would in effect be agreeing to store and share information in
a collective repository, albeit with specific rules or guidelines regarding
efficiency, accuracy, information security and privacy.
4.4 Data ownership
This refers to a need to control data most often by emphasising the value of
the information to a department’s core process or function. In such cases the
‘owner’ may be inclined to regard the information as being most secure and
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reliable if it remains solely within the sphere of influence of that specific
department. On the other hand there may be concerns such as privacy and
legal requirements which make it necessary to protect the data.
Ownership also addresses the responsibility for determining the:
• quality of the data
• security and privacy of the data
• availability of the data
• performance requirements of the data.
Those who originate data take on board authority, responsibility and
accountability in terms of creating and effecting the policies and rules relating
to data. This suggests that data stewardship is of great significance
particularly as data quality is somewhat dependent on individuals who are
most knowledgeable about the nature and purpose of the data.
5 SYSTEMS AFFECTED BY A CRM POLICY The following systems interface or may interface with the CRM system. These
systems therefore must be considered in terms of impacts in relations to a
CRM policy.
CRM system (CRM) - status: RightNow to be implemented
Student system - status: existing Oracle Student System (OSS) that will be
replaced by 2012
Human Resource system (HRS) – status: existing Oracle system
Short Course system – status: existing Short Course system (SCS)
Alumni Office system – status: existing Profiler system to be replaced by
the RightNow CRM Solution and an Event Management System (new) in
the medium term
Development Office system – status: existing DevMan system
Enterprise Data Warehouse – status: abstracted repository for staff,
student and finance information, updated regularly, to support
management decision making
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6 DIFFERING STANCES ON DATA SHARING The parameters framing the debate on data sharing, with specific regards to
data ownership, rights to change data, and the privacy of constituent data, is
illustrated below:
Figure 1: Two competing agendas
A compliance-oriented stance implies ownership of the data rather than the
relationship; therefore the right to access and/ or change data is somewhat
inflexible. For example, access to data may be denied in terms of privacy
concerns, yet even if access to data is allowed, there may be restrictions in
terms of how the data is to be used and whether the data can be amended or
extended.
A relationship-driven stance implies that the quality of the interaction and
communication with the constituency is determined by the currency of the
information, and to ignore this may undermine the value of the constituent
relationship. For example, information must be updated in order to connect
with a constituent whether through personalising communication, building a
robust profile or encouraging feedback – all of which may be somewhat
dependent on being able to promptly capture and respond to new and
changing information requirements.
Taking into account the differing nature of the work of the various University
departments, some stakeholders appear to have a vested interest in one of
the two competing agendas on data ownership and sharing.
A compliance‐oriented agenda that concerns itself with issues pertaining to
privacy, accuracy and change process integrity
A relationship‐driven agenda that concerns itself primarily with currency of information
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RELATIONSHIP-DRIVEN COMPLIANCE-ORIENTED
Alumni Office Registrar’s Office
Student Enrolment Centre
WITS Business School
WITS Language School
Foundation
Wits International Office
Marketing
Advancement
Student Affairs
Figure 2: Stakeholder preferences on data sharing
Given the above, this policy attempts to address the following:
The read and write rights various stakeholders have to common data in
various systems
Rules and procedures pertaining to the use of data in general (e.g. the
use of a field to indicate the validity of a particular contact record)
Privacy of certain information
7 MULTIPLE CLAIMS TO CONSTITUENT OWNERSHIP This policy also attempts to define a framework and concomitant guidelines
on constituent ownership, with specific regards to more than one internal
stakeholder asserting a critical relationship with the same constituency is
illustrated below:
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Figure 3: Multiple areas target the same constituency
Various University areas currently and potentially target the same
constituency or part thereof. Wits Alumni are targeted in the marketing
campaigns of WBS, WLS and Wits Enterprise, among others. In addition,
several areas within the University have their own alumni data.
Other common target ‘markets’ are donors, companies, government
departments and various institutions. Many University departments, faculties
and schools target these constituencies for funding, research, bursaries,
prizes, donations, course offerings and wide-ranging community engagement
undertakings.
Furthermore, alumni working for companies and government departments
also are the focus of various marketing campaigns.
Other University stakeholders that may target these constituencies include:
Marketing
SEnC
Registrar’s Office
Vice-Chancellor’s Office (VCO)
Senior Executive Team (SET)
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Therefore this policy provides a starting point together with guidelines on the
future resolution of conflicts where they arise.
8 CONSTITUENTS AND CONSTITUENT OWNERS This section outlines all the University constituents with the appropriate
primary relationship and secondary relationship (alternate and/or competing)
owners.
CONSTITUENT OWNER ALTERNATE OWNER Applicant Registrar’s Office
Under-graduate SENC Post-graduate Faculty Schools Short-course Schools Wits Enterprise Donor One of above Development Office
Student Registrar’s Office
Under graduate Faculty Postgraduate Schools Faculty Short-course2 Schools Faculty Donor One of above Development Office International One of above International Office Disabled One of above Disabled Students Unit Sick One of above Campus Health Job seeker One of above CCDU
Alumni Alumni Office Graduates Alumni Office Schools
Development Office Post-graduates Alumni Office Schools Short course (non-degree) Alumni Office Schools Diplomate Alumni Office Schools Non-graduates3 Alumni Office Friends of the University Alumni Office Donor Alumni Office Development Office International Office Alumni Office International Office Disabled Alumni Office Disabled Students Unit
Company Advancement Division
Top 20 SET Advancement Division Donor Development Office Bursaries/Scholarships Financial Aid Office Development Office
Prizes/awards Faculties Development Office
Short courses/bespoke training Schools WITS Enterprise
2 Including certificates of attendance and of competence i.e. credit and non-credit bearing certificates 3 Non-graduates are defined as students that have registered but have not completed a qualification prior to leaving
the University. This includes students that have cancelled, de-registered or allowed their registration to lapse. This
grouping requires further discussion and debate and so has been included on the parking lot for the CRM User Group
to deliberate on.
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Externally funded work Research Entities WITS Enterprise
Research Research Office Schools WITS Enterprise Research Entities
Potential Employer Advancement Division CCDU Staff Human Resources Division
Consultant Human Resources Division
Parts of certain constituencies require further elaboration and specific
ownership allocation. For example:
• It may be more prudent to manually allocate ownership of the top 20 (or
whatever cut-off makes sense) companies that the University engages.
This allocation can be based on which department currently has the
primary relationship, or which department based on its strategy should
have the primary relationship or even which SET executive enjoys the
confidence of a particular company. The determination of the top 20
companies can based on various specific current or future strategic
measures such as total funds contributed, total revenue generated, total
number of staff trained, total value of research funding etc.
9 POLICY AND GUIDELINES This section outlines the policy and guidelines where appropriate for each of
the identified areas.
9.1 Duplicate Records (a.k.a. Unique Records)
9.1.1 Description
The creation of new constituents in any University system should not result in
duplicate records. Constituents that are new to the University, such as
potential applicants or donors captured on the CRM system, must not exist on
base systems such as OSS/ SCS and DevMan respectively.
9.1.2 Resolution
To ensure duplicate records are not created the following actions shall be
taken:
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a. Each system must check for unique keys e.g., name, surname, title, id
no on OSS
b. If the record exists than the current constituent details should be
uploaded from the respective system
c. Otherwise the constituent details must be captured
d. Include “unique record identification/resolution guidelines” in CRM and
other systems user training
9.1.3 Issues
a. The lack of a “life-time” e-mail address could cause duplicates on the
CRM system. The generation of a unique identifier associated with
some rules could address this challenge. The student number is
unique.
b. Donors in some cases are duplicated on the Student system since they
also provide awards/prizes directly to faculties and schools. A unique
record on the CRM system would assist Schools and the Development
Office in resolving this issue.
c. Companies that have multiple divisions may also be duplicated. The
organisation functionality in the CRM solution that links companies with
divisions would assist in resolving this issue.
d. Company names are sometimes abbreviated or misspelt resulting in
duplicate records. A data cleanup exercise of all company records by
the constituent owner needs to be initiated.
e. The CRM system must ensure that constituents are not duplicated on
the CRM system by using the unique key on base systems such as the
student number, staff number etc.
f. The existing alumni number generated within the existing Profiler
system is not required in future.
g. The CRM is not intended to solve data problems experienced in the
underlying base systems. Initiatives are continually underway to
address data issues in base systems (see 9.10).
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9.2 Data Integrity (a.k.a. Data Currency and Data Accuracy)
9.2.1 Description
The CRM and related base systems (OSS, SCS, Devman and HR) must
ensure currency of constituent data (contact details) and maintain inter-
constituent relationships (parent/child, employer/employee,
company/division).
9.2.2 Resolution
a. For “surname” changes a user-defined “preferred surname name” field
on the CRM system for recording the change would be created.
However, upon any change to the “preferred surname” the constituent
would be notified of the change and be encouraged to submit
supporting documentation to the constituent owner should a permanent
change that would be ‘officially’ recognised by the University be
required. An incident would not be sent to the primary Constituent
Owner for optional follow-up. Changes to the legal surname on base
systems must be sent to the CRM system.
b. Changes to contact details on the CRM system would be sent to base
systems with the application of the requisite rules e.g., primary/active
on OSS. The Alumni Office, Development Office and other University
departments other than SENC, faculties and schools would NOT be
able to update registered student information. This does NOT include
those who are already alumni and/or donors. Changes to contact
details on base systems should also filter automatically to the CRM
solution based on the defined Interface Specifications. The Interface
Specifications must be signed-off by all key stakeholders.
c. Inter-constituent relationships would only be maintained on the CRM
system and developed on a gradual basis. For example, employers
listed on applicant or student records may not necessarily exist as an
organisation on the CRM system.
d. Data integrity should be included in CRM System User training as well
as Base System User Training.
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9.3 Data Security
9.3.1 Description
Constituent data shall be restricted to authorised users based on their
designated role, which would assign specific data view and/or change
privileges. Rights to certain functions shall also be restricted based on roles
and or appropriate approvals. For example, obtaining a list of constituents
would be restricted to certain roles within certain departments. In some cases
appropriate approvals such as constituent owner or ethics approval shall be
required.
9.3.2 Resolution
a. Roles and security levels shall defined for all CRM users with
adherence to the University’s password and computer usage policies
b. Constituent segmentation functionality shall be restricted to Marketing,
SENC, Foundation and Alumni Office only. Schools must work through
Marketing or Alumni Office subject to constituent owner and/or ethics
approval. A copy of the approval must be copied to the CRM Manager.
c. Section 8 lists constituent or part thereof and accompanying
constituent owners. Grey areas and future changes shall be resolved
as outlined in 9.11.
d. All registered students shall also exist on the CRM system.
e. Regular reports alerting the CRM Manager to all segmentation
activities shall be published and noted at the CRM User Group
meeting.
9.4 Multiple Capture
9.4.1 Description
The aim of the CRM solution is to improve constituent service, improve
efficiencies and reduce costs with the eventual elimination of multiple-capture
and multiple maintenance of constituent information.
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9.4.2 Resolution
a. Bi-directional interfaces with base systems e.g., OSS, SCS & HR
(Person file) shall be developed based on agreed Interface
Specifications so that changes (see 9.2) to contact information occurs
once on any one of these systems.
9.5 Data Privacy
9.5.1 Description
Constituent information is private and confidential to the University and its
employees and consultants.
9.5.2 Resolution
a. Each CRM and base system user shall be provided with a copy of the
University’s employment contract that deals with confidentiality, non-
disclosure and protection of University data.
b. The CRM system shall be configured to limit access to functionality and
data based on specific roles required to complete defined tasks e.g.,
only designated Foundation CRM users can view donations, UG/PG
applicant information not generally available etc.
c. Applicants shall not be targeted for marketing purposes without the
prior permission of the Registrar’s Office.
9.6 Business Goals
9.6.1 Description
Policies, processes and systems shall primarily be implemented so that
departments are able to satisfactorily achieve the defined CRM goals.
Conversely policies, processes and systems shall not unduly limited
constituent relationships due to highly restrictive and debilitating compliance
requirements.
9.6.2 Resolution
a. The CRM training shall outline the purpose of the CRM solution, the
University’s strategy and specific department’s goals in this regard.
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b. The CRM User Group shall regularly deliberate on achieving balance
between constituent relationship and compliance requirements. This
policy shall be modified accordingly.
c. The Constituent Owner and Data Sharing policy shall be reviewed on a
regular basis by the CRM User Group.
d. The CRM Manager shall provide regular reports to senior management
on the success of the University’s CRM strategy and also raise key
debilitating challenges.
9.7 Communication
9.7.1 Description
This issue refers to the use and protection of the University’s brand as
depicted using the name, logo, by-line etc.
9.7.2 Resolution
a. The Marketing department will, where required, review and approve
brand usage.
9.8 Segmentation
9.8.1 Description
The list of contacts can be extracted using any combination of criteria. This
provides a powerful marketing tool to segment constituents. However, there is
concern that such lists can be made available to unauthorised parties
compromising the University.
9.8.2 Resolution
a. All staff employed by the University either as full-time or in a contract
capacity are governed by their Conditions of Service and the
Acceptable Use policy.
b. The Constituent Owner’s signed approval is required for required
extractions. This is particularly important where the Ethics Committee
approval is required.
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c. This facility will be limited to key individuals in the Marketing, SenC and
Alumni Office. The CRM Manager will provide overall guidance.
9.9 Over Communication
9.9.1 Description
The CRM solution will now provide stakeholders with enormous tools to
communicate with constituents. There is a concern that constituents that are
part of multiple target markets would receive increasing number of e-mails
and SMSs. This may be counter productive as constituents may be
overwhelmed by so much communication.
9.9.2 Resolution
a. Communication with various target groups would require the approval
of the constituent owner.
b. The system would be configured so that no constituent receives more
than a set limit of communication per period.
c. Constituents would have the facility to register/de-register for various
University communications.
9.10 Data Cleansing
9.10.1 Description
The CRM and base systems data shall be kept up to date, duplicate records
shall be resolved and correct information maintained so that the objectives of
an effective CRM system can be achieved.
9.10.2 Resolution
a. Constituent owners shall be responsible for data cleaning on both CRM
and, if applicable, their base systems
b. The CRM Manager shall initiate regular independent review of base
system data being uploaded to the CRM system and to produce
findings/recommendations to the CRM User Group
c. Constituent owners shall be responsible for adhering to agreed data
quality and validation processes.
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9.11 Conflict Resolution
9.11.1 Description
From time to time new issues may arise or constituent owners may not agree
on the resolution of data sharing and constituent ownership issues. This may
hinder some CRM objectives and compromise affected departments.
9.11.2 Resolution
a. A CRM User Group comprising of all University stakeholders shall be
created as a forum to discuss/debate/resolve ongoing issues. The
CRM Manager shall be responsible for initiating this Group, which shall
be formed after the CRM is successfully implemented.
b. The CRM Manager shall where appropriate escalate irresolvable
issues to SET for further deliberation.
c. The CRM User Group shall be responsible for reviewing and revising
this policy document, which shall be submitted to appropriate
University Committee for adoption.
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ACCEPTANCE FORM The decision-maker/s and representatives of various stakeholders
acknowledge that they have read, understood and accept the policies and
guidelines outlined in this document. It also is agreed that any decisions
affecting this document will be valid only if minuted and agreed upon by the
respective parties.
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C O N S T I T U E N T O W N E R A N D D A T A S H A R I N G P O L I C Y
Constituent Owner and Data Sharing Policy (Version 1.0) – University of the Witwatersrand, Johannesburg 22
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