Records Management for Effective Implementation of the Right to Information Act

Relevant provisions in the Act: information meansany material in any form, including records documents memos e-mails opinions advices press releases

s.2(f)

information means circulars orders logbooks contracts reports papers samples Models data material held in any electronic form s.2(f)

information meansinformation 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)

record includes(a) any document, manuscript and file;

(b) any microfilm, microfiche and facsimile copy of a document;
s.2(i)

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)

right to information meansthe right to information accessible under this Act which is held by or under the control of any public authority
s.2(i)

right to information includes the right toi. inspection of work, documents, records;

ii.

taking notes, extracts or certified copies of documents or records; s.2(i)

right to information includes the right to-

iii. taking certified samples of material; s.2(i)

right to information includes the right toobtaining information in the form of diskettes, floppies, tapes, video cassettes or in any other electronic mode or through printouts where such information is stored in a computer or in any other device; s.2(i) iv.

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)

obligations of public authorities and ensure that all records that are appropriate to be computerised are, within a reasonable time and subject to availability of resources, computerised and connected through a network all over the country on different systems so that access to such records is facilitated; s.4(1) (a)

Pro-active Information Disclosure Section 4(1)(b)

Obligation on part of Public Authorities (1) Maintain all records duly catalogued and indexed, computerise and connect 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 by Employees; vi. Statement of Categories of Documents held; vii. Mechanisms of Public Consultation on Policy Formulation/ Implementation; viii. Boards, Councils, Committees etc. and their Meetings;

Pro-active Information Disclosure Section 4(1)(b)

Contd

Directory of Officers and Employees; x. Monthly Remuneration of Officers and Employees & System of Compensation; xi. Budget Allocated to Agencies along with Plans & Disbursements Made; xii. Details of Implementation of Subsidy Programmes, including Beneficiaries Details; xiii. Particulars of Recipients of Concessions, Permits or Authorisations granted; xiv. Details of Information available to, or held, reduced in an electronic form; xv. Particulars of Facilities available to citizens for obtaining information, including the working hours of a library or reading room, if maintained for public use; xvi. Names, Designations and other particulars of the Public Information Officers; xvii. Such other Information as may be prescribed.
ix.

Spirit of Right to Information Law

Every Public Authority to: Provide as much information suo moto to the public at regular intervals through various means of communication including Internet so that Public have Minimum Resort to the Use of RTI Act to obtain Information Sec 4(2) For the purpose of Sub-Section 4(1), every information shall be disseminated widely and in such form and manner which is easily accessible to the public - Sec 4(3)

An information shall ordinarily be provided in the form in which it is sought unless it would disproportionately divert the resources of the public authority or would be detrimental to the safety or preservation of the record in question. s.7(9)

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 taken place, 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)

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 that contains exempt information. s.10(1) The PIO shall give a notice to the applicant informing reasons, fees, appellate authority details. s.10(2)

The Information Commission may, during the inquiry of any complaint under this Act, examine any record which is under the control of the public authority, and no such record may be withheld from it on any grounds. s.18(4)

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 in relation to the maintenance, management and destruction of records; s.19(8)

Information Management (Records Management)

Records = Information 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 record management practices.

Quality Information Delivery Key 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-OutcomeImpact Linkages; Citizens Governance Citizens Charters, Grievances, Library, Web Sites, Manuals, Brochures, Information Access Facilities etc. Technology Management Information System (Process Reengineering & e-Governance Tools etc.)

Quality Information Delivery Key Issues

Contd

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 Information Officers and Appellate Authorities; Training of Officials Supply Side Management; Awareness Building among Citizens Demand Side Management.

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

Designing Information Systems: Examples

Financial Management Information Systems

Contd

Need for a robust Financial Management System which will enable systematic 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

Designing Information Systems: Examples Contd

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

Designing Information Systems Some Examples

Contd

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 timebound disposal of requests, applications, etc, of citizens; Change management for all public functionaries to address issues of public service and mindset blocks

Performance Management System

Planning Process Development Priorities & Objectives Community Participations Community Participation

Draw Lessons

Key Performance Indicators Measurable Targets Monitor Performance

Report

Improve Performance

Review & Measure Performance Community Participation

Input-Output-Outcome Linkages

INPUTS

PROCESSES

OUTPUTS

OUTCOMES

Issues of Metadata Data 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 effective decision-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 for effective Database Management System

Records Management : Key Issues

Why Records Management? To support decision-making by making information easily available to all staff when they require it in order to perform their actions and take decisions; 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 information resources and help minimize costs; To minimize risks associated with non-availability of information; To ensure that a record of significant government functions and activities is permanently preserved in the Public Record Office.

In the Context of RTI Act, Records Management and Archiving need to be reviewed and improved as necessary through appropriate legislation & training

State of Record Rooms in Andhra Pradesh

Medical Records at Vishakapatnam

Record Room at Nalgonda Collectorate

Without you records are unmanageable

Proactive management of your records puts you in control. Reactive management puts your records in control

Why Information Management?

To support the efficient achievement of the agencys aims and objectives by making information easily available to all staff when they require it in order to perform their actions and decisions To provide reliable evidence of an organisations activities, to allow when required to explain and justify the decisions, actions and use of resources by the organization To allow an agency to make best use of available information resources and help minimize costs To minimize risks associated with non-availability of information to allow an organisation to comply with statutes and regulations relating 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 and activities is permanently preserved in the Public Record Office. Your personal responsibility for records management will not end until your public employment ends

Life Cycle of Records

Creation (Stage I)

Disposition (Stage III)

Records Management
Use Appraisal

Semi-current

Semi-current

Maintenance (Stage II)

Records Management Activity

Phase
Creation/Receipt

Activity Level
-

Comments
Records are created or received and captured into a record-keeping system Records are being used for the business purpose for which they were created Records are stored and maintained for reference purposes

Maintenance and Use

High

Semi-current

Medium

Appraisal

Low

Survey methods and retention schedules are used to appraise records for their value
Records are destroyed or sent to Archives

Disposal

Very Low/Nil

Objectives vs Records
Governance Objective
Rule of law

Key records Required

Legislative records, court records, police records, prison records Accounting records, procurement records, tax records, customs records ,electoral registers, policy files, case files

Accountability

Management of state resources

Budget papers, policy files, accounting records, personnel records ,payroll records procurement records ,fixed asset registers, property registers
Pension records, social security records, land legislation records, birth/death records Hospital records, school records environmental records Treaties, correspondence with national and international bodies, loan agreements

Protection of entitlements

Services for citizens

Foreign relations and international relations

Information: Ephemeral vs Business

Record

Ephemeral records

Office business records

DOM as a Tool
Inward Register Acknowledgement of Tapals. Entry in Personal Register File Movement current and note file. Classification of Files- Developing Retention and Destruction schedules, L.Dis, D.Dis, R.Dis

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 with Treasury. Tours and Inspection notes

The Public Records Act, 1993

Government of India enacted the Public Records Act, 1993 which lays down the principles for managing, maintaining and monitoring records in Government departments. Every records creating agency shall nominate a records officer to discharge functions under this Act.

Thank You