Records, Archives, and Transparency in the Development Community Initiatives from the World Bank Gro

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Records, Archives, and Transparency in the
Development CommunityInitiatives from the World
Bank Group Archives

• Elisa Liberatori Prati, World Bank Group Chief
  Archivist
• eliberatoriprati_at_worldbank.org
• Federal Information and Records Managers (FIRM)
  Council FORUM _at_FOSE 2007
• Washington, DC, March 20, 2007

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Developing Nations WBG Projects

• 69 active projects that involve a record-keeping,
  archives or government information delivery
  component at the World Bank.
• The objectives of these projects primarily fall
  into three groups
• Rural development and promotion of industries
  from increased access to government services and
  market information via the Web or other
  connectivity.
• Enabling efficiency, transparency and
  accountability in government (Anti-corruption).
• Disaster recovery.

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• Evidence?
• Transparency?
• Enforceable
• Civil Rights?

Policy and operational files, Courtesy of
International Records Management Trust Photo
Archive, London. This picture is an example of
public sector record keeping before a records
management improvement program is undertaken.
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Accountability ? Anticorruption ? Programs
effectiveness?
Policy and operational files, Courtesy of
International Records Management Trust Photo
Archive, London. This picture is an example of
public sector record keeping before a records
management improvement program is undertaken.
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Try to do an audit!
Financial records, Courtesy of International
Records Management Trust Photo Archive,
London. This picture is an example of public
sector record keeping before a records
management improvement program is undertaken.
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Try to prove your claim to land!
Legal records, Courtesy of International Records
Management Trust Photo Archive, London. This
picture is an example of public sector record
keeping before a records management improvement
program is undertaken.
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Try to find your pension records after 30 years
of work !
Pension records, Courtesy of International
Records Management Trust Photo Archive,
London. This picture is an example of public
sector record keeping before a records management
improvement program is undertaken.
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Try to find your medical records!
Hospital records, Courtesy of International
Records Management Trust Photo Archive,
London. This picture is an example of public
sector record keeping before a records management
improvement program is undertaken.
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Transitioning to e-records
Courtesy of International Records Management
Trust Photo Archive, London. This picture is an
example of public sector record keeping before a
records management improvement program is
undertaken.
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Records Management The Missing Link in
Development Work?

• International efforts to
• reduce poverty
• control corruption
• protect civil and human rights
• strengthen democracy
• preserve the cultural heritage of nations
• are directly dependent upon properly managing
  records as evidence of accountability and as
  shared memory for governments and their citizens

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Records Management The Missing Link in
Development Work?

• Initiatives
• Since 2000, Awareness Raising Events Learning
  
• Program in the World Bank Archives website
• www.worldbank.org/archives
• Evidence-based Governance in the Electronic Age
  
• Indicators of Country Capacity
• Records Management Capacity Assessment
• System
• Available for download at
• www.NationalArchives.gov.uk/RMCAS

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RECORDS in Development
Causality Chain
information based on records
effective decisions
Be accountable!
effective policies
v e r i f i c a t i o n
effective programs
effective projects
i m p l e m e n t a t i o n
Make an impact!
effective delivery
poverty alleviation
ICA, IRMT, World Bank ISGIM, PRMPS, January 2000
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Poverty Alleviation


Equitable Judicial System
Accountable Financial System
Enforceable Civil Rights
Good Governance
records
records
records
records
records
records
records
RECORD KEEPING INFRASTRUCTURE
Development relies on sound record keeping regimes
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Evidence-based Governancein the Electronic Age

• World Bank DGF Grant Partnership Project --
  completed development of Records Management
  Capacity Framework
• http//www.irmt.org/evidence/
• http//www.nationalarchives.gov.uk/rmcas/
• TOOL Provide a standardized, systematic means
  of assessing the strengths and weaknesses, and
  associated risks, of records management systems
  against objective international standards of good
  practice
• Assist in planning the migration from poor
  practice to good practice for specific components
  of records management
• repair collapsed records management systems
• leverage ICT to improve records management
  quality and efficiency
• ensure that electronic records are properly
  managed and preserved

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Records Management CapacityAssessment System
(RMCAS)

• The RMCAS software tool has become the focal
  point of the Framework
• PURPOSE The RMCAS software allows users to
• gather data about records and information systems
  through stakeholder questionnaires and
  documentation analysis
• senior management and decision-makers
• records management staff,
• ICT staff,
• record creators/users
• analyse the data to identify strengths,
  weaknesses and major risk areas in records
  management systems
• identify training and self-study resources to
  build records management capacity in high-risk or
  sub-optimal areas

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RMCAS Capacity Levels

• Level 0 Records management policies, systems
  and processes are non-existent or informal/ad
  hoc/personal and ineffective. There is little or
  no use of IT for creating or managing records.
• Level 1 Basic records management policies,
  systems and processes are defined but are not
  consistently and effectively applied across the
  organisation. There is little or no connection
  between records management and business
  functions. There is little or no effective use
  of IT for managing records.
• Level 2 Key records management policies,
  systems and processes are in place across the
  organisation and are working. The organisation
  recognises the need to link records management
  policies, systems and processes to business
  functions but has not yet achieved this. IT is
  used for records and information management but
  its effectiveness is limited.
• Level 3 Records management policies, systems
  and processes are in place across the
  organisation, are working effectively, are linked
  to business functions and support organizational
  management goals. A mixture of IT and paper
  systems are used in the creation and management
  of records and information.
• Level 4 Records management policies, systems
  and processes are in place, applied effectively,
  are integrated with all business functions and
  support organisational governance and
  accountability. Policies, systems and processes
  are reviewed and improved regularly. Extensive
  use is made of IT to create, manage and exploit
  records and information.
• Level 5 A knowledge management environment is
  in place and used effectively to support all
  business functions and governance objectives and
  the needs of all stakeholders. A learning
  culture exists in which monitoring, compliance
  and improvement takes place continuously.
  Advanced technology systems and networks are used
  for the creation and sharing of records and to
  enable effective communication and collaboration
  within the organisation and with other partners.

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http//www.nationalarchives.gov.uk/rmcas/

• Records Management Capacity Assessment System
• (RMCAS) Presentation (Macromedia Flash 7- zipped
  file 8MB) Right-click on the link, 'save target
  as' to your computer and unzip the file to watch
  the presentation
• RMCAS 1.0 (Records Management Capacity
• Assessment System)
• RMCAS User Guide
• E-Records Readiness Assessment Tool