The role of records management (RM) as a component of efficient e-government

DLM Forum Members Meeting

Budapest, Hungary, 12th – 13th May 2011

Anastasia Dikopoulou, Eleni Mamma

Association of Archivists and Librarians in Greece

Presentation Purposes

To present the relationship among records management and accountable and efficient government through the e-government services

To present and evaluate the records management initiatives and practices needed to be implemented in Public Administration

To raise awareness amongst all participants for emerging legal, fiscal and administrative issues involved with managing governmental information in order to achieve a close cooperation among archivists and those responsible for e-government services

Infocracy

The second part of the word “infocracy” comes from a Hellenic term and means the “power”.

Infocracy is the power of information and specifically the power

of those who obtain or are able to reach and successfully manage information.

The essential term is democracy: the power of people, equal participation, freedom of political expression-speech-press

In a democracy, people have to be adequately informed in order to exercise the above rights and all human rights = freedom of information.

Good Governance

“Good governance is broadly defined as a manner in which power is exercised in the management and utilization of a country’s economic and social resources for national development.

The elements of good governance are accountability, transparency, efficiency, participation, predictability and human rights, which includes the right of FoI. All these elements constitute an institutional environment in which citizens (persons and corporate bodies) interact among themselves and with government.

The capacity of such an environment is supported by a viable records management system (World Bank, 2002).

Good Governance

Freedom of Information (FoI) refers to the legal right of access to government information given to the public directly and freely, unlimited and uncensored. It comes from the need of government to be accountable to the public (Mazebe P., Sebina M., 2003).

A National Records Management Policy has to be established in all Public Agencies in order to consider Records Management as a specific corporate function within an organization with the necessary objectives, responsibilities, mandate and resources.

Public Sector Information (PSI) use and reuse is a significant factor reinforcing the proper functioning of the internal market and the free circulation of goods, services and people leading to the competitiveness of European Industry. Public sector is considered as the biggest single information content restore for the creation of value added information content and services (EU Green Paper on PSI).

E-Government (1)

Current economic and political crisis gives to governments no other way out than to ensure good governance.

E-government can be a way/a mean of attracting citizens and businesses, ensuring transparency and reliability of authorities to society, simplifying (or reforming) administrative procedures, eliminating barriers between power and people.

One of the most important prerequisites of successful e-government services is the effective, intelligent and ethical management and use of primary and secondary information deriving from governmental records.

E-Government (2)

“E-government involves using ICT to improve the delivery of government services and information, enhance the efficiency and accountability of the public administration and strengthen economic performance” (International Records Management Trust)

Electronic interaction between: Government to Citizens (G to C) Government to Businesses (G to B) Government to Employees (G to E) Government to Government (G to G)

E-Government TypologyThe typology of Electronic Government Services is briefly: Information Services, Communication Services and Transaction Services

The four stages growth model for e-government (in terms of complexity) is according to Layne K., Lee J., 2001: Cataloguing Transaction Vertical Integration Horizontal Integration

Successful E-Government

Features (Fang Z., 2002) Comprehensive Integrated Ubiquitous Transparent / easy to use Accessible Secure Private Re-engineered Interoperable Be developed to e-governance systems

Similar to GARP (ARMA)

E-Gov & Records Management

Records Management, according to ISO 15489 standard definition, is “the field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including processes for capturing and maintaining evidence of and information about business activities and transactions”.

The more the maturity of e-government increases, according to the previous growth model, the more complex the management of information, the

allocation of resources, and the relationships of administration functions and stakeholders become, and thus the most imperative the

implementation of the records management initiatives is.

To go further, the adoption of ERMS requirements at the early stages of the e-government systems’ planning becomes more essential as e-government

moves from the low maturity levels to the higher ones.

They serve the right of access to information deriving from records and archives that all citizens and all businesses have in an organized society. Organizations keep records to support accountability internally (prove performance) or externally (legal, fiscal compliance, audits, society expectations)

They serve the administrative, operational and informational needs of all public agencies (executive, judicial and legislative ones). Organizations keep records as part of their business, to enable decisions to be made and actions to be taken and to protect their rights and assets.

They serve the research, cultural and educational needs of the scientific and academic society.

They serve the social need of preserving and developing the collective memory and cultural heritage in national and international level.

E-records serve the same needs!

What do the records serve?

Records’ characteristics

Authenticity, reliability, integrity & useability1. Records are static in form (provide evidence of a particular action in

time)2. Records have authority (provide official evidence)3. Records are unique when in context (have meaning in relation to a

specific action or transaction)4. Records are authentic (their creation and use can be verified)5. Records are mot made for posterity but for the steering of decision

making processes (intellectual working tools).

Reliable e-records have to bear the same characteristics! Digital records are records only when they have a fixed form and

unchangeable content!

E-Records

E-records are the recorded information, data and documents that provide evidence of activities, transactions and policies carried out in e-government and e-commerce environments (IRMT)

E-records differ from the analogue ones in the following fields: Nature (no physical entities but linked digital components) Creation (no apparent context and structure) Diplomatics (the endogenous and exogenous characteristics of

each digital entity-record) Capture, retrieval & preservation (technological obsolescence and

technical specialties) E-records = strategic & operational assets!

Records Management and Public AdministrationPublic Administration, and thus, Government implements business

information, content and knowledge management systems to support e-government services and transactions without taking under consideration the principles of RM

Public services are not always able to provide authentic, accurate and reliable records, up to date information delivery and efficient use and re-use of public documents. The result is the lack of transparency for the governmental and administrative acts.

Although the archival community has developed serious proposals concerning ERMS requirements (e.g. Moreq2) and policies & standards for records management, in practice there are barriers in their adoption and implementation.

General problems that may exist

The Records Management Systems in Public Administration is not a common practice.

National Archives Agency (NAA) is usually the organization responsible for the public archives management but its responsibility is taken into force only after public records’ entrance in their third age (inactive records).

The convergence between archival and e-government legislation cannot be yet implemented.

Many agencies have realized the need of implementing RM programs but there are still obstacles (inadequate framework, incompatibility with national and European regulations, poor staff training).

RM professionals are not occupied in public sector agencies, except the case of NAA.

None public body implements a fully integrated RMS There is not a National RM strategy or policy in Public Administration or if exists,

it is not followed. E-Government activities are implemented without any provision or reference to

records management requirements. Private and industry sector act individually in information and records

management issues paying mostly attention to information security and social responsibility, having compatibility problems during their transactions with government.

Government Motives for embracing Records Management

Need for public administration reform and effectiveness E-commerce, electronic transactions, economic regeneration Need for interoperability in national and international level Web enabled government and industry Rising customer expectations Concern for computer and information security Concern for privacy Concern for accountability Increased litigation risks Social inclusion / E-society

Public Administration “embraces” records management: the ways…. (1)

Talk about the value of records for administration Improve the value of record ‘s information and knowledge held Show the clear relationship between archives and public sector ‘s well

functioning Build strong co-operations between public sector and archivists

professionals Build government ‘s capability in managing records, and by extension,

managing information and knowledge Develop educational programs on purpose to inform the “heads”

(hierarchy) of public administration about the substantial importance of the well keeping of records

Develop a professional program to support records management as a key corporate function of government

Public Administration “embraces” records management: the ways…. (2)

Prove the importance of the information, contained in the records, for government bodies to those seeking proofs, justice and evidence

Create a strong infrastructure to support and lead records management professionals across government

Use best practices and common standards Measure RM advantages in terms of economy, profit, performance,

development Convince governments that well-managed records are a basic

component of efficient e-government along with ICT infrastructure. Actually, RM capacity is part of the organizational infrastructure

E - Records Management System

Records Management System (RMS) is the information system which captures, manages and provides access to records through time. Records management systems are distinguished from information and document management systems (IMS /DMS) by the role they play in providing organizations with evidence of business activities.

Standardization:

ISO 15489, 2001 Information and Documentation –

Records Management

ISO 30300 (family), to be published by summer 2011

Management System for Records

(E-) RMS Components

An Info Audit (preliminary investigation and assessment of existing systems, records survey)

The records themselves that the organization creates or holds A business classification scheme of the organization / connected with

records (business system analysis) An access classification scheme (categories of users, terms and

conditions for accessing and using records) The metadata for records description and retrieval A disposal schedule for all functions and their records Implementation of interactive functions thesaurus Policies and procedures for management of records and systems A training program for the organization’s stakeholders An auditing program for the assessment of records management

procedures (e.g. RMCAS-IRMT, CHECK-UP 2)

(E-)RMS in E-Gov services and transactions offer: Support to decision making of government and

stakeholders Transparent awareness of government

actions/decisions Accountability via review of government actions,

transactions with people, audit controls Compliance with law and statutory framework Security of personal and corporate information Reduction of costs and litigation risks

RMS and E-GOV SynergyWho is responsible;

National Level National Government (Ministry of Interior Affairs, Ad hoc groups

of experts) National Archives Auditing Agencies

Organizational Level Senior Management RM Professionals Specific groups of staff (IT, Legal, Business Quality, Planning

and Coordination, Information Security) Managers and Team Leaders All staff of a public organization

Actions to be taken

Link e-readiness and e-government with an effective paper –based RMS

Reform RM in public sector, especially regarding HR and payroll and fiscal records systems to ensure accountability

Ensure systems are holistic and well integrated in order to have maximum benefit without unnecessary costs in a permanent way

Plan the managing of all types and mediums of records created by all public bodies and implement standards for RM

Provide archivists of national agency or archivists of organizations the authority and responsibility to apply RM policies, procedures and controls

Revise and expand archives legislation (including issues like RM practices in cases of privatization and decentralization)

Recognize the essential relationship between records and accountability particularly in electronic systems

Promote RM initiatives to all staff levels in organizations and provide them with adequate training in IT

Use experience and follow practices of international institutions and governments

Conclusions

Records are the mirror of each organization aims and activities. Records are not only cultural or historic thesaurus, they are mainly assets and

products of their originating organizations. Government should involve archivists in the information management of public

agencies and the planning and implementation of e-government, and should enhance the role of National Archives Agency

Government should set and apply a comprehensive national Records Management Strategy and a FoI Act. Physical and intellectual control over all records created and maintained in Government Agencies is the final purpose.

Only responsible and informed citizens, regarding their right to access in public information and the protection of private and sensitive data, can demand transparency and accountability by governments

ICTs are not the panacea of information management. Electronic records management and preservation is a complex matter that requires interdisciplinary action in order to be resolved

Institutional capacity and top-level support are key elements for success in providing efficient e-government services and transactions.

THANK YOU!

Records management ensures the quality and the efficiency of e-governance!