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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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right to information
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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right to information
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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Designing Information Systems:Examples
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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Designing Information Systems:Examples
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
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