imr 451 9/21/20151 week 8-9. irmp a. key stages in the development of an irm program & irmp b....

IMR 451

04/19/231

Week 8-9

IRMP

A. Key stages in the

development of an IRM

program &

IRMP

B. Structuring the existing

system.

A

1. restructuring existing systems1. restructuring existing systems

2. organising and controlling records2. organising and controlling records

3. providing physical protection for records3. providing physical protection for records

4. managing records in records centres4. managing records in records centres

5. managing archives5. managing archives

Key Stages in the

Development of an IRM

Programme

6. supporting and sustaining the IRM programme6. supporting and sustaining the IRM programme

B. Structuring the existing system

Reviewing and revising records legislation

Reviewing existing records services

Reviewing and revising national policies

Developing a strategic plan

1. Restructuring Existing Systems

1

Reviewing and revising

legislation and policies

2

Reviewing and revising

organisational policies and structures

3

Determining resource

requirements, such as

facilities and staffing

4

Developing strategic and

business plans

legislation is comprehensive and usable

definitions, responsibility and authority the life-cycle concept of records and the

continuum concept of records care care of local government records and non-

governmental records identification of places of deposit and

provisions for public access financial management and related legal

provisions

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REVIEWING AND REVISING NATIONAL POLICIES

Policies provide more detailed guidelines than can be included in legislation, but they must relate directly to legislative guidelines in order to ensure that the goals and objectives of an IRM programme are achieved: Develop a programme for the co-ordination of information management and

information technology programmes, ensuring compatibility across government between data and records and the technologies used to create and manage them.

Create mechanisms for the care of• Information, records in all media, including electronic records and archival records.

Determine centralised versus decentralised approaches to the physical

management of information, records and archives. Establish the organisational accountability of government agencies for the

management of information, records and archives.

• Define the roles of and relationships between• action officers• information managers• records managers• archivists• information technology managers.04/19/23 7

ORGANISATIONAL POLICIES AND STRUCTURES

Organisational policies should be established to do the following: Determine the placement of the records and archives institution. Determine the placement of the archival institution. Organise systems for the effective and efficient delivery of information and records

management services. Ensure appropriate linkages between the creation and management of information

and the execution of the agency’s functions. Establish information management standards. Identify those information systems and information technologies that require

improvement or restructuring. Create and maintain inventories of information resources, including records. Create and maintain inventories of available information technologies. Establish standards for the use of information technologies, including computers and

communications systems. Establish systems to ensure the security and physical protection of information and

records. Develop systems for the sustainability of the IRM programme.

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DETERMINING RESOURCE REQUIREMENTS

Resources such as staff, accommodation, equipment and finances are essential to the success of an integrated records management programme

Accommodation such: records offices for the storage and use of

current records records centres for the storage and retrieval of

semi-current records archival repositories for the preservation and

use of archival records.04/19/23 10

equipment file folders boxes shelving computer equipment and software programs office furniture.

Financial made in the annual estimates of capital and running

costs for sufficient funds to enable the records and archives institution and its departmental units to perform their functions properly.

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DEVELOPING A STRATEGIC PLAN

Strategic planning: The process of identifying an organisation’s mission, aims and objectives, determining its needs, capabilities and resources, and then developing strategies to achieve those goals.

The key steps in developing and implementing a strategic plan include identifying the organisation’s mission, goals and objectives determining opportunities and threats in the external

environment determining the organisation’s needs, capabilities and resources determining the organisation’s goals and objectives within the

time frame provided.

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2. Organising and Controlling Records

Managing the creation, maintenance and use of files

Building sound record-keeping

systems

3. Providing Physical Protection for Records

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4. Managing Records in Records Centres

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5. Managing Archives

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Supporting and Sustaining the IRM Programme

Promoting records services to the government and the public

Promoting education for records and archives personnel

Developing and expanding the records and archives professions

Dah abis dah…Any question…..

B. Restructuring Existing Systems

Part B examines the actions required to restructure existing records systems in order to develop an integrated records management (IRM) programme.

To restructure operations, it is necessary first to identify the goals and objectives of an IRMP.

Then it is necessary to consider the restructuring of existing services in order to maintain such a programme.

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Cont…

This restructuring will include review and revision of records legislation and organisational policies, procedures and systems.

Once that is completed, the implications for resource management, including staffing, must be considered. Finally, strategic plans need to be developed.

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Cont…

Topics discussed include: reviewing existing records services reviewing and revising records legislation reviewing and revising organisational policies

and structures determining resource requirements developing strategic plans.

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Reviewing Existing Records Services

To achieve the integrated management of records, it is first necessary to review and, as possible, restructure existing records services in order to frame them within an integrated information management context.

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Cont…

The goal of reviewing existing services is to determine if it is possible to restructure the archival institution to make it a component part of a records and archives institution that serves the organisation as a whole, whether it is a national or regional government, business or association.

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The Concept of a Records and Archives Institution The purpose of records and archives institution, whether

public or private, is not to manage the creation of an archival collection, important though this activity is. to organise the efficient and economical exploitation of

the information held in records. cares for records throughout their life cycle, and so it is

impossible to run such an institution unless it has an archival dimension.

Archival records are key research resources, and the archival institution is the specialist agency in which this kind of research is concentrated.

need to be strong links between the archival institution and all other aspects of the work of managing records and the information in them

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Cont… The Concept of a Records and Archives Institution

A records and archives programme will only function effectively if it is grounded within a general managerial environment that ensures that procedures will operate correctly, with the right activities being accomplished in the right way by the right persons at the right time.

Such an environment will provide the appropriate authority and necessary resources, including trained staff, suitable accommodation, necessary equipment and materials and adequate funding.

Establishing a positive environment for records management is largely dependent on the actions of people outside the field of records management itself

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Cont… The Concept of a Records and Archives Institution

In the public sector, these include senior government officials, politicians and legislators.

In the private sector, senior corporate officers, business people and consultants are key players.

However, it is possible for the records manager and archivist to make a significant contribution to the review and restructuring process, particularly if they are enthusiastic, well prepared and persistent.

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Reviewing and Revising Records Legislation

The first area to be reviewed and revised in the public sector is the archives-related legislation.

(In the private sector, policies and directives would be examined; the discussion below focuses on the public sector environment.)

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The basis of all records management authority is comprehensive and up-to-date legislation.

Records legislation must ensure complete protection for all government and para-statal records and give the archival administration wide powers for securing and protecting records.

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The following points are particularly important when reviewing existing legislation or drafting a new law.

In drafting new legislation, it is necessary also to review and revise any existing legislation affecting the care of records and information.

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While these points apply most directly to national governments, the ideas will be equally relevant to lower levels of government (and potentially also to the private sector).

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A comprehensive records law should provide for

the establishment of a records and archives institution with jurisdiction over records generated in the government service and responsibility for those records throughout their life cycle

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A comprehensive records law should provide for

the establishment, within the records and archives institution, of the archival agency as a public institution, responsible not only for records generated in the government service but also for any other para-statal or private records of national or regional importance

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A comprehensive records law should provide for

a public right of access to the holdings of the archival institution, including policies on the regular opening of government records under clear conditions and a workable procedure for appraisal and declassification

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A comprehensive records law should provide for

protection for the rights of individuals and organisations that may have provided information held in records, under terms of confidentiality

provision for public scrutiny of the programme of the records and archives institution and its success in achieving its targets.

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A comprehensive records law should provide for

Within the records law itself, the following areas should be clearly delineated to ensure that the legislation is comprehensive and usable:

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A comprehensive records law should provide for

definitions, responsibility and authority the life-cycle concept of records and the

continuum concept of records care care of local government records and

non-governmental records identification of places of deposit and

provisions for public access financial management and related legal

provisions.

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Responsibility for Records

In many countries, the existing national archival institution is regarded primarily as a cultural institution and is responsible to the Minister of Culture or equivalent.

However, the centrality and significance of public records care to sound administration throughout government, and the security implications of that work, make it imperative that ultimate responsibility should rest with the highest authority.

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The law should provide for the appointment of a director of the records and archives institution in accordance with the general legislation and other rules regulating appointments to the civil service.

The law should also establish his or her responsibility for implementing general records policies, for the day-to-day management of the records and archives institution and for other matters specified elsewhere in the legislation.

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It would be extremely useful to establish an advisory committee on records care.

Its purpose would be to advise the president or responsible minister on public records matters generally; establish a general policy for the management of public records; advise and support the director in his or her work; and play a role in the issue of retention schedules and the appointment of places of deposit.

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Reviewing and Revising National Policies

Once the legal and legislative issues relating to records care have been considered, it is next necessary to examine the policies affected by and affecting records management.

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Policies are basic guidelines that help government determine the overall course of action the government will take to ensure that the goals and objectives of an IRM programme are achieved.

Policies provide more detailed guidelines than can be included in legislation, but they must relate directly to legislative guidelines.

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The nature of the policies developed will depend on the level and nature of use of the government’s records and the degree to which it recognises information as a strategic asset.

As well, policies will be affected by the nature of available information and communications technologies.

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Policies should allow the records and archives institution to do the following. Develop a programme for the co-ordination of

information management and information technology programmes, ensuring compatibility across government between data and records and the technologies used to create and manage them.

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Create mechanisms for the care of information records in all media, including electronic

records archival records.

Determine centralised versus decentralised approaches to the physical management of information, records and archives.

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Establish the organisational accountability of government agencies for the management of information, records and archives.

Define the roles of and relationships between action officers information managers records managers archivists information technology managers.

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Establish priorities for the development and expansion of information systems and information technologies.

Establish mechanisms for planning and budgeting for information management activities.

Ensure appropriate staffing and training for personnel.

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Ensure appropriate resources for information management.

Protect staff against physical dangers or health risks associated with their work.

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Organisational Policies and Structures

Once legislation is in place and policies have been developed, the organisational structures and more specific policies required to conform to those legislative and larger policy changes must be considered.

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Just as national policies form the basis for national governmental action, organisational policies help the agencies and departments of government to fulfil the goals and objectives of an IRM programme.

And just as national issues will vary from country to country, organisational issues will vary across government departments.

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Organisational policies should be established to do the following.

Determine the placement of the records and archives institution. Determine the placement of the archival institution. Organise systems for the effective and efficient

delivery of information and records management services.

Ensure appropriate linkages between the creation and management of information and the execution of the agency’s functions.

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Establish information management standards.

Identify those information systems and information technologies that require improvement or restructuring.

Create and maintain inventories of information resources, including records.

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Create and maintain inventories of available information technologies.

Establish standards for the use of information technologies, including computers and communications systems.

Establish systems to ensure the security and physical protection of information and records.

Develop systems for the sustainability of the IRM programme.

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The Organisational Placement and Structure of the Archival

Institution

Information is the cornerstone of effective government operations and administration, and the placement of the records and archives institution should reflect its central role.

The archival institution should be recognised as a core component of this centrally managed records and archives institution.

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The Placement of the Departmental Records Management Units

Within each agency or department of a government (or corporation), such as personnel, finance, transportation or education, there will be a records management unit.

The head of this unit should have equivalent rank to the heads of other branches within that division, with clear lines of communication to the head of the division and the head of the agency. Ultimate responsibility for the effectiveness of records work will then rest with the head of the agency.

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When an agency operates an integrated information strategy, encompassing not only records but also internally and externally generated electronic data, library materials and other information sources, the respective professional branches should constitute a sub-division of the central management division.

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Determining Resource Requirements Staffing Accommodation Equipment and materials Managing financial resources

(discuss and elaborate this points)

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Developing a strategic plan

Once the national and organisational policy requirements have been considered and the available resources assessed, it is necessary to restructure existing systems and plan for current and future activities.

The best mechanism to make a change is through a strategic plan.

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What is strategic plan?

A strategic plan identifies the goals and objectives of the organisation and determines the best mechanisms for achieving those goals.

Whatever the existing nature of the organisation, a strategic plan helps move the organisation toward its short- and long‑term aims. It puts into action the information gleaned from the review of existing systems.

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Definition

Strategic planning: The process of identifying an organisation’s mission, aims and objectives, determining its needs, capabilities and resources, and then developing strategies to achieve those goals.

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This brief overview of the strategic planning process is intended to show how it can be a valuable tool in restructuring records services in a government.

However, it does not offer a complete discussion of the process of strategic planning or strategic management; see the appropriate module in this study programme for more guidance.

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The key steps in developing and implementing a strategic plan include identifying the organisation’s mission, goals

and objectives determining opportunities and threats in the

external environment determining the organisation’s needs,

capabilities and resources

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determining the organisation’s goals and objectives within the time frame provided.

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Strategic plans are intended to be developed, executed and evaluated according to a specific time frame, be it two years, five years, longer or shorter.

They are not intended to be permanent documents; they only work effectively if they are considered action documents, to be updated and extended regularly.

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Further, they are not business plans, which are detailed, short-term (one year) applications of the strategic plan.

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This strategic plan could serve as the basis for changing the organisational placement and focus of the archival institution; it would be used in conjunction with other planning tools needed to establish the records and archives institution, such as revised legislation, policy statements and procedural documents.

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