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Recordkeeping for Good Governance Toolkit Workshop. PARBICA 14 Evidence and Memory in the Digital Age. Programme. Programme. Background to the Recordkeeping for Good Governance Toolkit. United directions – the need for a Toolkit Nadi 2005 resolutions. Weak Recordkeeping Frameworks.

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Recordkeeping for Good Governance Toolkit Workshop


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    Presentation Transcript
    1. Recordkeeping for Good Governance Toolkit Workshop PARBICA 14 Evidence and Memory in the Digital Age

    2. Programme

    3. Programme

    4. Background to the Recordkeeping for Good Governance Toolkit • United directions – the need for a Toolkit • Nadi 2005 resolutions

    5. 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

    6. 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

    7. Development Methodology

    8. Checklist Recordkeeping forGood Governance Toolkit GUIDELINE 1:Recordkeeping Capacity Checklist • Is my organisation managing records to world standards? • Ten questions

    9. 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”

    10. Recordkeeping for Good Governance • Boîte à outils • “Records Management • La 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

    11. Programme

    12. Brochure & Poster Good RecordsGood Governance ADVICE FOR SENIORGOVERNMENT OFFICIALS • Promote the benefits of good recordkeeping • Aimed at senior officials

    13. Introduction Recordkeeping forGood Governance Toolkit INTRODUCTION • Background to the Toolkit • Explains efficiency, accountability and protecting people’s interests

    14. Checklist Recordkeeping forGood Governance Toolkit GUIDELINE 1:Recordkeeping Capacity Checklist • Is my organisation managing records to world standards? • Ten questions

    15. Recordkeeping Requirements Recordkeeping forGood Governance Toolkit GUIDELINE 2:Identifying Recordkeeping Requirements • What record must be made and how they should be managed

    16. Recordkeeping Policy Recordkeeping forGood Governance Toolkit GUIDELINE 3:Model Recordkeeping Policy • Overall guidance on how records should be managed

    17. Record Plan Recordkeeping forGood Governance Toolkit GUIDELINE 4:Administrative Record Plan • A system for titling files

    18. Adaptation guidance Recordkeeping forGood Governance Toolkit GUIDELINE 5:Adapting and Implementing the PARBICA Administrative Record Plan • How to use the records plan so it works in your organisation

    19. Record Plan for core business functions Recordkeeping forGood Governance Toolkit GUIDELINE 6:Developing and Implementing Records Plans for Core Business Functions • Developing your own plans

    20. Disposal Schedule Recordkeeping forGood Governance Toolkit GUIDELINE 7:Disposal Schedule • A system for making accountable decisions about when to dispose of files

    21. Disposal Schedule Recordkeeping forGood Governance Toolkit GUIDELINE 8:Adapting the Administrative Disposal Schedule

    22. Disposal Schedule Recordkeeping forGood Governance Toolkit GUIDELINE 9: Implementing the Administrative Disposal Schedule

    23. Appraisal Guidance Recordkeeping forGood Governance Toolkit GUIDELINE 10: Starting an Appraisal Program • Clearing out your backlogs

    24. Train the Trainer Recordkeeping forGood Governance Toolkit GUIDELINE 11:Train the Trainer • Guidance on how to train others on good recordkeeping using the toolkit

    25. Programme

    26. Why Develop a Checklist? • To understand what problems agencies have • To identify priorities for action • To convince others they need to take action

    27. What is Recordkeeping Capacity? • Having the: • Structures • Processes • Staff • Resources • Rules to create, find, preserve and dispose of records

    28. 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

    29. 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

    30. Group Discussion Discuss 2 questions • Q5: Does your organisation have procedures for managing its records? • Q6: Does your organisation know what it’s recordkeeping requirements are? Consider: • How are questions 5 and 6 of the Capacity Checklist relevant to your organisation? • What is one action that you could take to help achieve the benefit of having either of these capacities?

    31. Programme

    32. Programme

    33. What is disposal? • ‘Disposal’ means what happens to a record when it reaches the end of its life: Archive OR Destroy

    34. Creation & Control Information management life-cycle Distribution Active Use & Management Inactive Storage Final Disposal Decision We are here Permanent Retention Destruction

    35. What is Appraisal? • Appraisal means the process of deciding: 1. how long records need to be kept 2. how the record will be disposed

    36. 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?

    37. Programme

    38. Disposal Schedule Recordkeeping forGood Governance Toolkit GUIDELINE 7:Disposal Schedule • A system for making accountable decisions about when to dispose of files

    39. 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

    40. 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

    41. Benefits of using a disposal schedule • 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

    42. 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

    43. 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

    44. 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

    45. 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

    46. Adapting the Disposal Schedule Recordkeeping forGood Governance Toolkit GUIDELINE 9:Adapting the Administrative Disposal Schedule

    47. 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