Records Management for Effective Implementation of the Right to Information Act

7/30/2019 Records Management for Effective Implementation of the Right to Information Act

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Records Management for EffectiveImplementation of the Right to

Information Act


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Relevant provisions in the Act:

information

means-

any material in any form,

including

records

documents

memos

e-mails

opinions

advices

press releases s.2(f)


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information

means-

circulars

orders

logbooks

contracts reports

papers

samples

Models

data material held in any electronic form

s.2(f)


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information

means-

information relating to any private body

which can be accessed by a public authority

under any other law for the time being in force;

s.2(f)


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record

includes-

(a) any document, manuscript and file;

(b) any microfilm, microfiche and facsimile copy of a

document;

s.2(i)


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record

includes-

(c) any reproduction of image or images embodied in

such microfilm (whether enlarged or not)

(d) any other material produced by a computer or any

other device; s.2(i)


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right to information

means-

the right to information

accessible under this Act

which is held by or

under the control

of any public authority

s.2(i)


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includes the right to-

i. inspection of work,

documents, records;

ii. taking notes, extracts or certified copies of

documents or records;

s.2(i)


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right to informationincludes the right to-

iii. taking certified

samples of material;

s.2(i)


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includes the right to-

iv. obtaining information

in the form of

diskettes,

floppies,

tapes, video cassettes orin any other electronic mode or

through printouts

where such information is stored in a computer

or in any other device;s.2(i)


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Obligations of public authorities -

Every public authority shall

maintain all its records

duly catalogued and indexed

in a manner and the form

which facilitates

the right to information under this Act s.4(1) (a)


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obligations of public authorities -

and ensure that all recordsthat are appropriate

to be computerised are,

within a reasonable time

and subject to availability of resources, computerisedand

connected through a network

all over the country on different systemsso that access to such records is facilitated; s.4(1) (a)


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Pro-active Information DisclosureSection 4(1)(b)

Obligation on part of Public Authorities

(1) Maintain all records duly catalogued and indexed, computerise andconnect records through a national network - on different systems

(2) Publish within 120 days

i. Particulars of Organisation, Functions and Duties;

ii. Powers and Duties of Officers and Employees;iii. Procedures followed in Decision-making Process including channels

of Supervision & Accountability;

iv. Norms for Discharge of Functions;

v. Rules, Regulations, Instructions, Manuals, Records held or used byEmployees;

vi. Statement of Categories of Documents held;

vii. Mechanisms of Public Consultation on Policy Formulation/Implementation;

viii. Boards, Councils, Committees etc. and their Meetings;


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Pro-active Information DisclosureSection 4(1)(b)

ix. Directory of Officers and Employees;

x. Monthly Remuneration of Officers and Employees & System ofCompensation;

xi. Budget Allocated to Agencies along with Plans & DisbursementsMade;

xii. Details of Implementation of Subsidy Programmes, includingBeneficiaries Details;

xiii. Particulars of Recipients of Concessions, Permits or Authorisationsgranted;

xiv. Details of Information available to, or held, reduced in an electronicform;

xv. Particulars of Facilities available to citizens for obtaining information,including the working hours of a library or reading room, if maintainedfor public use;

xvi. Names, Designations and other particulars of the Public InformationOfficers;

xvii. Such other Information as may be prescribed.

Contd


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Spirit of Right to Information Law

Every Public Authority to: Provide as much information suo mototo the

public at regular intervals through various

means of communication including Internet so

that Public have Minimum Resort to the Use ofRTI Act to obtain InformationSec 4(2)

For the purpose of Sub-Section 4(1), everyinformation shall be disseminated widely and in

such form and manner which is easily

accessible to the public - Sec 4(3)


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An information shall ordinarily be provided in the

form in which it is sought unless it would

disproportionately divert the resources of thepublic authority or would be detrimental to the

safety or preservation of the record in question.

s.7(9)


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Subject to the provisions of clauses (a), (c) and (i)

of s.8(1),any information relating to any

occurrence, event or matter which has takenplace, occurred or happened twenty years

before the date on which any request is made

shall be provided to the requester.

The decision of the Central Government shall be

final on questions as to the date from which the

said period of twenty years has to be computed,subject to the usual appeals. s.8(3)


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Severability

Access may be provided to a part of the record

which does not contain any information which is

exempt from disclosure under this Act and which

can reasonably be severed from any part thatcontains exempt information. s.10(1)

The PIO shall give a notice to the applicant

informing reasons, fees, appellate authority

details. s.10(2)


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The Information Commission may, during the

inquiry of any complaint under this Act, examine

any record which is under the control of thepublic authority, and no such record may be

withheld from it on any grounds. s.18(4)


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In its decision, the Central Information

Commission or State Information Commission,as the case may be, has the power to-require a

Public authority to

make necessary changes to its practices inrelation to the maintenance, management and

destruction ofrecords;

s.19(8)


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Information Management

(Records Management)


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The effectiveness and efficiency of the public service

across the range of government functions depends

upon the availability of and access to information

held in records. Badly managed records adversely

affect the broad scope of public service reforms, and

development projects are often difficult to implement

and sustain effectively in the absence of good recordmanagement practices.

Records = Information


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Quality Information DeliveryKey Issues

Building Robust Information System Contents, Cataloguing and

Indexing; Classification of Data/Meta-Data & Information e-Enabling;

Data & Meta Data Dictionary and Standards;

Designing of Information Systems (Section 4 (1)):

Organisation, Procedures & Decision-making Systems

Human Resource Management Information System; Financial Management Information System;

Schemes, Projects & Works Management Information System;

Legal Caseload Management System;

Performance Management System: Input-Output-Outcome-Impact Linkages;

Citizens GovernanceCitizens Charters, Grievances, Library,Web Sites, Manuals, Brochures, Information Access Facilitiesetc.

Technology Management Information System (Process Re-engineering & e-Governance Tools etc.)


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Quality Information DeliveryKey Issues

Record Management Systems Classifying, Storing,Retrieval & Getting Access;

Clarity in Responsibility for Information Creation,

Maintenance & Record Management;

Quality of Requests Identification of Source, Objectivity,Clarity, Completeness;

Channels for Verification of Information Supplied by Public

Authorities;

Competence, Motivation & Behaviour of Public InformationOfficers and Appellate Authorities;

Training of Officials Supply Side Management;

Awareness Building among Citizens Demand Side

Management.

Contd


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Designing Information Systems:Examples

Human Resource Management System

Proper human resource management systems need to

be put in place that enable complete information on

Human resources functions Recruitment, transfer, promotion etc.

Payroll system

Career planning and development, capabilities, skills and talent

management; training

Compensation planning Service litigation

Performance appraisal & analysis


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Financial Management Information Systems

Need for a robust Financial Management System which will enablesystematic flow of information on:

Strategic & Financial Planning

Budget Allocation to Departments/Agencies/Schemes/Projects

Funds Flow

Expenditure Management

Budget Utilization

Accounting Auditing

Tracking of Financial Accountability

Contd


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Legal Case Load Management System

The legal caseload management system enables the

Government To monitor legal cases

Department-wise

Subject-wise

Court-wise Government Pleader-wise

Stage-wise

Pendency-wise

To fix responsibilities for delays and non-action

Contd


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Designing Information Systems SomeExamples

Customer Relationship Management

Formulation and implementation of Citizens Charters by all

the Government organizations;

Citizen Charter implementation tracking system;

Grievances redressal tracking system;

Involvement of citizens in all government processes;

Setting up of an effective institutional mechanism for time-

bound disposal of requests, applications, etc, of citizens; Change management for all public functionaries to address

issues of public service and mindset blocks

Contd

Performance Management System


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Planning ProcessDevelopment Priorities

& Objectives

Review & MeasurePerformance

Key PerformanceIndicators

Measurable

Targets

MonitorPerformance

CommunityParticipation

Comm

unity

Partic

ipation

Com

munity

Partic

ipations

Performance Management System

Draw Lessons

Report

ImprovePerformance


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INPUTS PROCESSES OUTPUTS OUTCOMES

Input-Output-Outcome Linkages


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Issues of MetadataData about Data Structuring of Database Systems necessary for better management,

reach, accessibility and easy search:

Precise Identification

Classification

Structuring

Management

Retrieval mechanisms

Utilisation

Combined, Linked & Coordinated Databases required for effectivedecision-making and smooth supply of information to citizens

Information Framework (4-f Functions, Functionary, Finance, Field),Standards and Inter-operability aspects need to be addressed foreffective Database Management System


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Records Management : Key Issues

Why Records Management?

To support decision-making by making information easily available toall staff when they require it in order to perform their actions and takedecisions;

To assist citizens in accessing records when they want;

To provide reliable evidence on an organisations activities and focus,to explain and justify decisions, actions and use of resources by the

organization; To allow an agency to make best use of available informationresources and help minimize costs;

To minimize risks associated with non-availability of information;

To ensure that a record of significant government functions andactivities is permanently preserved in the Public Record Office.

In the Context of RTI Act, Records Management and Archiving needto be reviewed and improved as necessary through appropriatelegislation & training


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State of Record Rooms in

Andhra Pradesh


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Medical Records atVishakapatnam


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Record Room atNalgonda Collectorate


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Without you records are

unmanageable

Proactive management of yourrecords puts you in control. Reactive

management puts your records in

control


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Why Information Management?

To support the efficient achievement of the agencys aims andobjectives by making information easily available to all staff whenthey require it in order to perform their actions and decisions

To provide reliable evidence of an organisations activities, to allowwhen required to explain and justify the decisions, actions and use ofresources by the organization

To allow an agency to make best use of available informationresources and help minimize costs

To minimize risks associated with non-availability of information

to allow an organisation to comply with statutes and regulationsrelating to information of records

to allow the organisation to fulfill its functions in the event of a disaster

to ensure that a record of significant government functions andactivities is permanently preserved in the Public Record Office.

Your personal responsibility for records management will notend until your public employment ends


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Life Cycle of Records

Creation

(Stage I)

Maintenance

(Stage II)

Disposition

(Stage III)

RecordsManagement

Use

Semi-current Semi-current

Appraisal


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Records Management Activity

Phase Activity Level Comments

Creation/Receipt - Records are created or

received and captured into

a record-keeping system

Maintenance and Use High Records are being used for

the business purpose forwhich they were created

Semi-current Medium Records are stored and

maintained for reference

purposes

Appraisal Low Survey methods and

retention schedules areused to appraise records for

their value

Disposal Very Low/Nil Records are destroyed or

sent to Archives


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Governance Objective Key records Required

Rule of law Legislative records, court records, police records,

prison records

Accountability Accounting records, procurement records, tax

records, customs records ,electoral registers,

policy files, case files

Management of state resources Budget papers, policy files, accounting records,

personnel records ,payroll records

procurement records ,fixed asset registers,

property registers

Protection of entitlements Pension records, social security records, land

legislation records, birth/death records

Services for citizens Hospital records, school records environmental

records

Foreign relations and international relations Treaties, correspondence with national and

international bodies, loan agreements

Objectives vs Records


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Information: Ephemeral vs Business

Ephemeral

recordsOffice business

records

Record


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DOM as a Tool

Inward Register

Acknowledgement of Tapals.

Entry in Personal Register

File Movement current and note file.

Classification of Files- Developing Retentionand Destruction schedules, L.Dis, D.Dis, R.Dis


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Monitoring of Files

Role of Personal Register

ABC analysis of files.

Run on Note file for monitoring neglected files.

Periodical review of long pending files Diary review.

Physical inspection of working places.

Periodical Review of periodical Registers.

Reconciliation of Receipt and Expenditure records withTreasury.

Tours and Inspection notes


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The Public Records Act, 1993

Government of India enacted the Public

Records Act, 1993 which lays down the

principles for managing, maintaining andmonitoring records in Government

departments.

Every records creating agency shall nominate a

records officerto discharge functions underthis Act.


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Thank You