recordkeeping for good governance toolkit workshop

Recordkeeping for Good Governance Toolkit Workshop

PARBICA 14

Evidence and Memory in the Digital Age

Programme1130 – 1145 Welcome and introductions

1145 – 1210 Background to toolkit and methodology

1210 – 1230 Product overview

1230 - 1300 Group exercise - recordkeeping capacity

1300 – 1400 Lunch

1400 – 1410 Appraisal and disposal concepts

1410 – 1440 Group exercise - intro to appraisal and disposal

1440 – 1510 Guidelines 7 and 10 overview

1510 – 1540 Group exercise – applying the guidelines

1540 – 1630 Report back, sum up and close

Introductions





1300 – 1400 Lunch






Background to the Recordkeeping for Good Governance Toolkit

• United directions – the need for a Toolkit• Nadi 2005 resolutions

Weak Recordkeeping Frameworks

• Difficulty in finding records• Work being duplicated• Organisational knowledge

walking out the door Difficulty in supporting a freedom of information

regime• Frustrated and inefficient staff• A responsibility void

The Toolkit

• Brochure and poster• Introduction to records• Recordkeeping Capacity Checklist• Understanding Recordkeeping Requirements• Model Recordkeeping Policy • Model Record Plan for common functions• Adapting and implementing the model record plan• Developing record plans for core functions• Model disposal schedule• Adapting and implementing the disposal schedule• Appraisal guidance• Train the Trainer

Development Methodology

•

Checklist

Recordkeeping forGood Governance Toolkit

GUIDELINE 1:Recordkeeping Capacity Checklist

• Is my organisation managing records to world standards?

• Ten questions

Recognised by Pacific Heads of State!

• Communiqué from the 2009 Pacific Island Forum states:

• Stronger national development and democracy through better governance can be achieved by

“committing to sustainable and appropriate information management and records-keeping to ensure the development and implementation of better informed national policy”

Recordkeeping for Good GovernanceBoîte à outils

“Records ManagementLa gestion des documents

probants,clé d’une bonne gouvernance » The Toolkit has been so

successful it has been translated into French, for use in West Africa





1300 – 1400 Lunch






Brochure & PosterGood Records

Good Governance

ADVICE FOR SENIORGOVERNMENT OFFICIALS

• Promote the benefits of good recordkeeping

• Aimed at senior officials

Introduction


INTRODUCTION

• Background to the Toolkit

• Explains efficiency, accountability and protecting people’s interests

Checklist


GUIDELINE 1:Recordkeeping Capacity Checklist

• Is my organisation managing records to world standards?

• Ten questions

Recordkeeping Requirements


GUIDELINE 2:Identifying Recordkeeping Requirements

• What record must be made and how they should be managed

Recordkeeping Policy


GUIDELINE 3:Model Recordkeeping Policy

• Overall guidance on how records should be managed

Record Plan


GUIDELINE 4:Administrative Record Plan

• A system for titling files

Adaptation guidance


GUIDELINE 5:Adapting and Implementing the

PARBICA Administrative Record Plan

• How to use the records plan so it works in your organisation

Record Plan for core business functions


GUIDELINE 6:Developing and Implementing

Records Plans for Core Business Functions

• Developing your own plans

Disposal Schedule


GUIDELINE 7:Disposal Schedule

• A system for making accountable decisions about when to dispose of files

Disposal Schedule


GUIDELINE 8:Adapting the Administrative

Disposal Schedule

Disposal Schedule


GUIDELINE 9: Implementing the Administrative

Disposal Schedule

Appraisal Guidance


GUIDELINE 10: Starting an Appraisal Program

• Clearing out your backlogs

Train the Trainer


GUIDELINE 11:Train the Trainer

• Guidance on how to train others on good recordkeeping using the toolkit





1300 – 1400 Lunch






Why Develop a Checklist?

• To understand what problems agencies have• To identify priorities for action• To convince others they need to take action

What is Recordkeeping Capacity?

• Having the:– Structures– Processes– Staff– Resources– Rules

to create, find, preserve and dispose of records

Question 5: Does the organisation have procedures for managing its records?

• Procedures should:– Be written down– Not conflict with the policy– State clearly who is responsible for each part of the

procedures

Question 6: Does the organisation know what its recordkeeping requirement are?

• Recordkeeping requirements:– Are a need to keep evidence of an organisation’s

actions and decisions– Are usually identified in laws, policies, procedures,

reviews etc– Should be documented– Should be regularly reviewed

Group Discussion

Discuss 2 questions

• Q5: Does your organisation haveprocedures for managing its records?

• Q6: Does your organisation know what it’s recordkeeping requirements are?

Consider:1. How are questions 5 and 6 of the Capacity Checklist relevant to

your organisation? 2. What is one action that you could take to help achieve the benefit

of having either of these capacities?





1300 – 1400 Lunch






What is disposal?• ‘Disposal’ means what happens to a record

when it reaches the end of its life:

Archive

OR

Destroy

Permanent Retention

Creation & Control

Distribution

Active Use & Management

Inactive Storage

Destruction

Final Disposal Decision

Information management life-cycle

We are here

What is Appraisal?• Appraisal means the process of deciding:

1. how long records need to be kept

2. how the record will be disposed

Group Discussion

• Discuss 2 questions

1. Why would you keep records forever?

2.Why do we keep records for a long time?

3. Why would you destroy records?





1300 – 1400 Lunch






Disposal Schedule


GUIDELINE 7:Disposal Schedule

• A system for making accountable decisions about when to dispose of files

What is a disposal schedule?• A tool for people who look after records• A timetable that tells you when a record is ready

for disposal and what should happen to it– When = retention period - how long it is kept

– What = disposal action – archive or destroy

When do you apply a disposal schedule to a record?

• Retention periods (how long you keep it) and disposal actions (what finally happens to it) are only triggered when a record becomes INACTIVE

• You can apply the schedule to existing INACTIVE records

• You can apply the schedule to NEW records when you create them, so you know what will happen to them when they become inactive

• Save space• Save money• Save time (retrieval)• Meet legal requirements• Keep the right records • Save records from accidental destruction• Get rid of records you don’t need at the right

time

Benefits of using a disposal schedule

The PARBICA model administrative Disposal Schedule

• Developed by the working group• For common administrative records:

– The records that every organisation creates for managing itself

– E.g. finance, personnel, information management

• It can’t be used for core business records• It is a model Disposal Schedule and you will

have to adapt it to fit your organisation

What records does the Disposal Schedule cover?

• The common administrative functions covered by the Disposal Schedule are:– Assets and Resources Management– External Relations– Financial Management– Information Management– Personnel and Establishment– Strategic Management

What does the Disposal Schedule look like?

• A separate section for each common administrative function

• It is a table that lists:– Activity– Description of activity– Examples of records– Disposal action– Minimum retention period– What disposal criteria were used to decide the

disposal action

Let’s look at a page of the schedule

• The name of the function is at the top of the page with a description

• Each line in the table is what is called a disposal class– Function + activity + description + example + disposal

action + retention period = disposal class

• Each disposal class has a reference number - this is just a shorthand way of talking about the class

Adapting the Disposal Schedule


GUIDELINE 9:Adapting the Administrative

Disposal Schedule

Adapting the model Disposal Schedule

• Before it can be used, the model Disposal Schedule must be adapted to fit local requirements– Add to or change the descriptions and examples so

they are more relevant – use actual examples of records created in local government organisations

– Adapt retention periods to follow local legislation– Remove classes that are not relevant

One schedule for all departments, adapted by the National Archives• Advantages:

– 1 disposal schedule for administrative records that all departments can use

– Less time to adapt and approve the schedule than if each department did it individually

– Consistent retention periods across government

Disposal Schedule


GUIDELINE 8: Implementing the Administrative

Disposal Schedule

Implementing the schedule

• This means applying the Disposal Schedule to your records

• You can sentence existing INACTIVE records and you can tag new records with their disposal class

• You don’t have to be using the Toolkit Records Plan, because the Disposal Schedule can be applied to any fling system, but using the Record Plan might make it easier to use the schedule

• Remember the Disposal Schedule is only used for administrative records!

Applying the Disposal Schedule to existing records (2)

• Go through the list of records and find the class in the schedule that best fits the records

• Calculate the retention date using the date of last paper of the record and the retention period in the schedule

• Write the disposal class reference and the disposal date on the list

Calculating the disposal date

• Last date + retention period = disposal date• For example:

– Last date 1997– Retention period 7 years

= disposal date 2004

Preparing records for transfer to Archives

• Ask your National Archives what instructions they have for boxing, listing and transferring the records

• Keep a copy of the list of records you have transferred

• Keep the paperwork associated with the transfer (such as transfer or deposit agreement)

Destroying records

• Keep lists of destroyed records• Don’t just put them in the rubbish!• Burn them or shred them

Appraisal Guidance


GUIDELINE 10: Starting an Appraisal Program

• Clearing out your backlogs

How did we decide the disposal actions?

• We developed disposal criteria that helped us assess the value of the functions and activities

Disposal criteria

• Two basic characteristics that determine whether or not records should be archives –– evidence value– Information value

Disposal criteria

• Let’s look at the disposal criteria developed by the PARBICA working group

Group Discussion

• How will you these

guidelines in your

organisation or country?

Summing up and close of workshop

recordkeeping for good governance toolkit workshop

Documents

group exercise intro

disposal concepts1410

better governance

product overview1230

stronger national development

organisation managin

pacific heads of state

pacific island forum