Records Management for Effective
Implementation of the Right to
Information Act
Relevant provisions in the Act:
information
meansany material in any form,
including
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records
documents
memos
e-mails
opinions
advices
press releases
s.2(f)
…information
means-
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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.
ii.
inspection of work,
documents, records;
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 toiv.
obtaining 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)
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 – Citizen’s 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
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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
Contd…
Financial Management Information Systems
• Need for a robust Financial Management System which will enable
systematic flow of information on:
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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
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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 Citizen’s 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
Draw Lessons
Key Performance
Indicators
Report
Measurable
Targets
Improve
Performance
Monitor
Performance
Review & Measure
Performance
Community
Participation
Community
Participation
Community
Participations
Planning Process
Development Priorities
& Objectives
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 organisation’s 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 agency’s 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
Maintenance and Use
Semi-current
Activity Level
Comments
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Records are created or
received and captured into
a record-keeping system
High
Records are being used for
the business purpose for
which they were created
Medium
Appraisal
Low
Disposal
Very Low/Nil
Records are stored and
maintained for reference
purposes
Survey methods and
retention schedules are
used to appraise records for
their value
Records are destroyed or
sent to Archives
Objectives vs Records
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
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
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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