Guideline 4 - Administrative Record Plan WHAT IS A RECORD PLAN? A record plan is a system for developing titles for files. Good file titling is important for efficient public administration and good decision-making because it makes government information easier to find and use. Record plans specify how records are to be organised and provide a kind of ‘roadmap’ to the records of the agency. They describe the types of files an agency has and provide guidance on how staff should title and organise those files. A good record plan is one of the essential components of a recordkeeping system. It will help you to: • document your activities effectively; • identify records consistently; • retrieve records quickly; and • decide which records are no longer needed. A record plan gives part of the title of each file, but lets staff, in consultation with records management staff, choose file titles that suit the topic of the file. This should mean that staff do not need to put lots of unrelated material on the same file. Instead, they can create a file that is more specifically about the work that they are doing. This Record Plan only covers administrative actions that all government departments carry out, such as managing staff and finances. As well as using this Record Plan for its administrative files, each government agency will also need to develop an additional record plan for its core business areas that no other agency carries out. For example, the Ministry of Foreign Affairs will need to develop a record plan for files about diplomatic relations with other governments, as no other ministry is responsible for this area of government work. The Pacific Regional Branch of the International Council on Archives (PARBICA) has produced guidelines on developing record plans for core business areas, which you can find on the PARBICA website at http://www.parbica.org/Toolkit%20pages/ToolkitIntroPage.htm. This Record Plan is designed to be used in conjunction with the PARBICA Disposal Schedule. The Disposal Schedule will provide guidance on how long governments may need to keep the types of administrative records they create. Using this Record Plan to give titles to administrative files will in turn make it easier to make decisions about how long to keep those files using the Disposal Schedule. You will be able to find the Schedule on the PARBICA website at http://www.parbica.org/Toolkit%20pages/ToolkitIntroPage.htm. THE IMPORTANCE OF GOOD FILE TITLING Official recordkeeping systems often fall into disuse when they are too difficult for staff to use. If staff cannot easily find the file they need, they may not be able to access information about past activities to inform their decisions. They may also be reluctant to place current papers on files if they are unsure that they will be able to locate the information again. Poor file-titling systems can also make it difficult for staff to find the correct file on which to place information, meaning that the record of a particular activity is fragmented across a number of files and cannot be easily pieced together. If government officers can find files quickly, they can be more efficient and not waste valuable time looking for the information they need. Good file titling makes it easier for staff to see if there is already a file on the subject they need. This leads to better decision-making because officers have access to all of the information they need to make the right decisions. It is also easier to make sure that all of the information about a topic is in the one place, so that you have the whole history of the process on one file. If everyone understands the file’s title, it is easier to make sure that staff do not create new files when the right file is already available. This Record Plan is designed to help all agencies to create titles for their administrative files so that everyone can understand what each file is about. One method for making filing systems simpler to use is to create a record plan that describes the activities documented in the filing system in a consistent fashion, using language that is familiar and meaningful to the staff who will use the system. A record plan can help government agencies to operate more efficiently and accountably. Well-described records are more easily located, providing efficiencies in administration because less time is spent locating vital records. Decision-making is often more effective because officers have access to relevant information about past actions and decisions. Agencies can also be more accountable because full records of their administration of a particular function or activity are able to be kept and used. Good file titling also helps organisations to make good decisions about which records they need to keep and which ones they no longer need. The PARBICA Administrative Record Plan is designed to be used with the PARBICA Disposal Schedule. A disposal schedule provides a transparent and accountable system for making decisions about how long records need to be retained for administrative, legal or historical purposes. The Disposal Schedule uses the same system for describing records as the one used in the Administrative Record Plan. By using both the Record Plan and the Disposal Schedule, it can be easier for government agencies to identify which records they need to keep and which ones are no longer needed. WHO IS THE PARBICA RECORD PLAN FOR? PARBICA has developed this Record Plan to provide a starting point for Pacific Islands governments and other organisations that wish to implement new or update existing file-titling systems. It was drafted in consultation with a working group, which was made up of representatives from the following countries: • Australia • Cook Islands • Fiji • Nauru • New Zealand • Palau • Papua New Guinea • Samoa • Vanuatu. This Record Plan should be considered a draft. It covers all of the kinds of administrative records that most government departments are likely to create and use. Each country that uses the Administrative Record Plan will need to make changes to some parts of the text to make sure that it fits in with its own legal, administrative and cultural requirements. PARBICA has also produced additional guidelines on how to tailor the Record Plan, and on how to implement it in your own organisation. You can find these guidelines on the PARBICA website at http://www.parbica.org/Toolkit%20pages/ToolkitIntroPage.htm. This Record Plan does not include information about the records of the core business of government departments. The core business of a government agency is the work it is responsible for which no other part of the government does. For example, only the Ministry of Health manages hospitals, and only the Ministry of Education runs schools. Each ministry or department will need to produce its own record plan that gives instructions on how to develop titles for files about these types of work. PARBICA has produced a guideline on how to develop a record plan for core business, which you can find on the PARBICA website at http://www.parbica.org/Toolkit%20pages/ToolkitIntroPage.htm. Once you have developed a record plan for your core business activities, you will also be able to develop a disposal schedule for those records. A disposal schedule provides a transparent and accountable system for making decisions about how long records need to be retained for administrative, legal or historical purposes. PARBICA is developing guidelines on how to develop disposal schedules for core business records. You will be able to find these on the PARBICA website at http://www.parbica.org/Toolkit%20pages/ToolkitIntroPage.htm. ADMINISTRATIVE RECORD PLAN Asset and Resources Management The function of managing the physical resources the organisation needs to carry out its business, including vehicles, land, buildings, equipment, services, technology (including software) and supplies. Activity Acquisition Consultation and Advice Disposal Evaluation and Reporting Maintenance and Operation Planning Policy Procedures Registration and Monitoring External Relations The function of communicating with external groups, including the public, professional and industry groups, and international sister organisations. For communications with unions on industrial relations matters, use ‘Personnel and Establishment – Industrial Relations’. For communications with other parts of government use one of the headings under ‘Strategic Management’. Activity Ceremonies, Events and Visits Conferences, Seminars and Workshops Complaints and Feedback Evaluation and Reporting Exhibitions Marketing Media Relations Networking, Liaison and Membership Policy Procedures Project Support and Cooperation Planning Publishing and Printing Financial Management The function of managing the organisation’s financial resources. Activity Accounting Audit Authorisations and Delegations Banking Budgeting Consultation and Advice Donor Funds Management Evaluation and Reporting Financial Statements Grants Insurance Investigations Payroll Administration Planning Policy Procedures Tendering Information Management The function of creating, acquiring and managing the organisation’s information resources and services, including its files and library materials. Activity Access Acquisition Control Consultation and Advice Disposal Evaluation and Reporting Intellectual Property Planning Policy Procedures Publishing and Printing Storage and Conservation Personnel and Establishment The function of managing the organisation’s staff, their entitlements and the structures they are employed in. Activity Authorisations and Delegations Consultation and Advice Grievances Industrial Relations Job Design Occupational Health and Safety Planning Policy Procedures Recruitment and Selection Restructuring Staff Case Management Staff Development and Training Strategic Management The function of setting long-term goals for the organisation and directing and managing the organisation’s overall activities, processes and resources so that it can achieve them. Activity Audit Consultation and Advice Evaluation and Reporting Internal Committees Legislation Parliamentary Liaison Planning Policy Procedures Relationship Management HOW TO USE THIS RECORD PLAN This Record Plan can be used to provide titles for files that document the administrative or support functions that every government agency carries out. The topics it covers are: • Asset and Resources Management: The function of managing the physical resources the organisation needs to carry out its business, including vehicles, land, buildings, equipment, services, technology (including software) and supplies. • External Relations: The function of communicating with external groups, including the public, professional and industry groups, and international sister organisations. • Financial Management: The function of managing the organisation’s financial resources. • Information Management: The function of creating, acquiring and managing the organisation’s information resources and services, including its files and library materials. • Personnel and Establishment: The function of managing the organisation’s staff, their entitlements and the structures they are employed in. • Strategic Management: The function of setting long-term goals for the organisation and directing and managing the organisation’s overall activities, processes and resources so that it can achieve them. Agencies may need to develop their own record plan for the work that they do that is not described in this list. This is likely to be their core business, or the work that they do that no other part of the government does. For example, only the Ministry of Health manages hospitals and only the Ministry of Education runs schools. There is information about how to develop a record plan for the core business of an agency on the PARBICA website at http://www.parbica.org/Toolkit%20pages/ToolkitIntroPage.htm. The parts of a file title The Record Plan works by providing consistent headings that staff can use to develop titles for the files that they create and use. Each file title should have three parts. The Record Plan provides the terms that should be used for the first two parts of each file title. It also provides guidance on how staff should develop the third part of the file title. The first part of each file title is a very broad heading from the list in this Record Plan that describes a part of the major work each government agency does. These are often called ‘functions’. The second part is another heading from this Record Plan that narrows down the topic in the first heading. These are often called ‘activities’. The third part of the title is a more specific description of the file, which you can create using the guidelines in this Record Plan when you need a new file. How to title a file using this Record Plan When you need a new file, find the main heading in the Record Plan that best describes the file you need. For example, if you are ordering a new photocopier for your office, you would use the heading ‘Asset and Resources Management’ because the photocopier is an asset that will be owned and managed by the government. Under each main heading is a series of secondary headings that belong to the main heading. Choose the secondary heading that best describes the work you are doing. There are descriptions of the types of records that belong under this heading that may help you. For example, if you are filing a copy of a request to the Department of Works for a new photocopier, you should already have chosen the main heading of ‘Asset and Resources Management’. From the group of secondary headings, ‘Acquisition’ would best describe the work of requesting a new photocopier. Under the secondary heading you have chosen, you will find some suggestions of how to make up a third level of heading for your file. Decide on a third level of heading that fits in with this description. The Records Management staff can then create a new file for you using the headings you have chosen. Your new file title should look something like this: • Asset and Resources Management – Acquisition – Photocopiers It is important to note that for your secondary heading, you can only use titles that belong with your first heading. For example, you cannot name your file ‘Asset and Resources Management – Budgeting – Photocopiers’ because the secondary heading ‘Budgeting’ is not on the list for the primary heading ‘Asset and Resources Management’. This is because the process of budgeting is part of managing the organisation’s finances. If the document you want to file is about setting a budget to buy new photocopiers, the correct heading would be: • Financial Management – Budgeting – Photocopiers If none of the headings in the Record Plan suits the file that you need, this may be because your document is about the core business of the organisation, or it may be because you need to tailor the record plan for your own country’s arrangements. This Record Plan does not cover records about the core business of each agency. Each agency will need to develop its own record plan that provides file title headings for the work that only it performs. There is more information about developing core business record plans on the PARBICA website at http://www.parbica.org/Toolkit%20pages/ToolkitIntroPage.htm. This Record Plan has been developed as a draft that countries around the Pacific can tailor to their own needs. If you have a document that is not about the core business of an agency and still cannot find a heading in this Record Plan that suits it, this may be a sign that you need to make changes to the record plan so that it suits your government’s arrangements. There is more information about tailoring the Record Plan on the PARBICA website at http://www.parbica.org/Toolkit%20pages/ToolkitIntroPage.htm. WHAT NEXT? This Record Plan should be considered a draft. It covers all of the kinds of administrative records that most government agencies are likely to create and use. Each country that uses the Administrative Record Plan will need to make changes to some parts of the text to make sure that it fits in with its own legal, administrative and cultural requirements. PARBICA has produced additional guidelines on how to tailor the Record Plan for your country. You can find these guidelines on the PARBICA website at http://www.parbica.org/Toolkit%20pages/ToolkitIntroPage.htm. Once you are confident that the Administrative Record Plan is appropriate for your organisation, you should think about how you are going to implement it. PARBICA’s guideline on tailoring the Administrative Record Plan also provides information on how to implement the Record Plan in your organisation. You can find this guideline on the PARBICA website at http://www.parbica.org/Toolkit%20pages/ToolkitIntroPage.htm. This Record Plan does not include information about the records of the core business of government departments. The core business of a government department is the work it is responsible for that no other part of the government does. For example, only the Ministry of Health manages hospitals and only the Ministry of Education runs schools. Each ministry or department will need to produce its own record plan that gives instructions on how to develop titles for files about this type of work. PARBICA has produced a guideline on how to develop a record plan for core business, which you can find on its website at http://www.parbica.org/Toolkit%20pages/ToolkitIntroPage.htm. Once you have developed a record plan for your core business activities, you will also be able to develop a disposal schedule for those records. A disposal schedule provides a transparent and accountable system for making decisions about how long records need to be retained for administrative, legal or historical purposes. PARBICA is developing guidelines on how to develop disposal schedules for core business records. You will be able to find these on the PARBICA website at http://www.parbica.org/Toolkit%20pages/ToolkitIntroPage.htm.