Poor recordkeeping can negatively impact governance. Records are recorded information that provides evidence and serves some purpose, regardless of format. Records must be managed throughout their lifecycle from creation to eventual disposition. Using records properly supports transparency and accountability, while repelling corruption. Electronic records require special management to ensure authenticity, reliability, integrity and usability over time.

1. Governance & Records Management Emerson O. St. G. Bryan Information and Document Management Officer Caribbean Regional Negotiating Machinery (CRNM) 2008 February 27

2. Session Outline: First Things, First… What is a Record Using Records to repel Corruption Electronic Records 07/06/09

3. First Things, First…

4. How can poor recordkeeping affect governance?

5. Notable examples of information mismanagement: HM Treasury Data Leak (UK) Enron-Arthur Anderson (US) ‘ Cuban Light Bulb Scandal’ & ‘Sandals Whitehouse’ (Jamaica) ABC Highway & ‘Hardwood’ Situations (Barbados) Piarco International Airport (Trinidad & Tobago) Missing Millions Scandal (Belize) FOI legislation (Antigua & Barbuda, Belize, Jamaica, St. Vincent & the Grenadines, and Trinidad & Tobago)

6. What is a Record?

7. Record Can be defined as "Information created, received and maintained as evidence and information by an organization or person, in pursuance of legal obligations or in the transaction of business". (ISO 15489-1, 2001) All recorded information, regardless of media or physical characteristics, made or received and maintained by an organization or institution in pursuance of its legal obligations or in the transaction of its business. In machine-readable records/ archives, two or more data fields in predetermined order and treated as a unit. (International Council on Archives General International Standard Archival Description (ISAD(G)) 1993 07/06/09

8. What is a Record? Records are recorded information giving evidence, and serving some kind of purpose , regardless of medium or characteristics.

9. Record Life Cycle Concept Records are current from their creation and for as long as their administrative value remains at its highest. After which they become semi-current when their administrative value declines and references to them become irregular and less frequent. When a record has ceased to have any administrative value at all it is non-current after which it reaches the disposition stage, where it is either destroyed or if it has any other value that is consistent with the archives policy, placed for permanent preservation in the archives. This is known as the Records Life Cycle Concept.

10. Records Life Cycle Diagram illustrating the Records Life Cycle

11. Anatomy of a Record Basic Principles of Records Management Content Context Structure

12. Anatomy of a Record Content is what the record says. Structure relates to both the appearance and arrangement of the content (for example, the layout, fonts, page and paragraph breaks, tables, graphs, charts and so on) and the relationship of the record to other related records in the system (i.e. the links). This includes structural information about the application software used to create the record’s content and information about the system (the platform, hardware and so on) that manages the links between records. Context is the background information that helps explain the meaning of the document. This includes two types of information. Firstly, there is information that identifies the particular document, such as the title, author and date of creation. Secondly, there is information about the creator and the purpose of creation, for instance, the nature of the business function or activity, the creating agency and unit concerned

13. What is Records Management? “ 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 in the form of records” AIIM Responsibility of management Sense of order Full lifecycle Records disposed of Evidence needs to be credible Records

14. The International Organization for Standardization (ISO), officially launched the International Standard on Records Management, ISO 15489 , on October 2001. This Standard, which is based significantly on the previous de facto international standard, the groundbreaking Australian Standard AS 4390-1996: Records Management promulgates international best practice records management. ISO 15489 comprises of two parts: ISO 15489.1 Records Management - Part 1: General, ISO 15489.2 Records Management - Part 2: Guidelines. NB. Developed from former Australian Standard – AS4390:1-6 International Records Management Standard – ISO15489

15. “ Records management and recordkeeping has to be seen as part of the broader Public Sector Reform agenda, and should not be treated as a separate entity.” Sahr Kpundeh (2002) Governance and Anti-corruption Specialist World Bank Institute

16. What Exactly is Corruption…?

17. Definition: Corruption … behavior on the part of officials in the public sector, whether politicians or civil servants, in which they improperly and unlawfully enrich themselves, or those close to them, by the misuse of the public power entrusted to them. This would include embezzlement of funds, theft of corporate or public property as well as corrupt practices such as bribery, extortion or influence peddling. Transparency International (TI)

18. Definitions cont’d Corruption The promise, offering or giving to a public official, directly or indirectly, of an undue advantage, for the official himself or herself or another person or entity, in order that the official act or refrain from acting in the exercise of his or her official duties; The solicitation or acceptance by a public official, directly or indirectly, of an undue advantage, for the official himself or herself or another person or entity, in order that the official act or refrain from acting in the exercise of his or her official duties. Article 8 of the Convention against Transnational Organized Crime

19. Good Governance "Good governance is epitomized by predictable, open and enlightened policy-making, a bureaucracy imbued with a professional ethos acting in furtherance of the public good, the rule of law, transparent processes, and a strong civil society participating in public affairs. Poor governance (on the other hand) is characterized by arbitrary policy making, unaccountable bureaucracies, unenforced or unjust legal systems, the abuse of executive power, a civil society unengaged in public life, and widespread corruption." (World Bank,2006)

20. Using Records to repel Corruption

21. Information “ Information is critical in governance. It is through it that the government relates with the public. It is thus a bridge between the government and the people.” Charles Nandain (2006) Head, ICT, Library and Coordinator of Makerere University Kenya

22. Information Information as ‘Power’ to the citizenry Access to information via publishing of government information builds accountability and inclusiveness State monitoring of Information PAC Sittings, Commissions of Enquiry etc. MIS as an Administrative tool in Government Used to monitor routine functions and processes to determine performance and forecasting Integrity Legislation FOI, Declaration of Assets, & Data Protection

23. Access to Information/ Freedom of Information These laws are currently within five (5) countries of the Caribbean Region: Freedom of Information Act (2000) - Belize Freedom of Information Act (2000) - Trinidad & Tobago Access to Information (2002) Act – Jamaica Freedom of Information (2003) - St. Vincent & the Grenadines Freedom of Information (2004) – Antigua & Barbuda

24. How will these types of legislation affect Records Management?

25. Access to Information/ Freedom of Information Some of the services under a FOI Act that affect people managing information are that they must:- locate and acquire information promptly upon request; select all types of appropriate media to service the information needs of the organization; assist and co-operate with other staff members within the organization who maintain personal or divisional information files or retrieval systems; Last but not least… Have the Records in ORDER

26. Electronic Records

27. “ Poor people around the world suffer daily because systems for creating, organizing, disseminating, and preserving accurate and reliable official information have broken down. The situation will be even harder to manage in an electronic environment.” Evidenced-based Governance in the Electronic Age Project World Bank/ International Records Management Trust

28. Most of us keep our data/ information on computer systems, therefore, we must ensure that we can: protect , access and share them. RECORDS MANAGEMENT STANDARDS

29. Use of Technology Most of today’s records start out in electronic form Letters E-mails Faxes Web transactions Other transactions etc...

30. Formats of record Electronic Physical Note : ERM focuses on ‘unstructured’ records R

31. Electronic Mail “ Email is a source of risk exposure” Bryant Duhon, Editor AIIM E-Doc Magazine The cost of eDiscovery is often enough to cause a company to settle rather than undergo the financial expenses and loss of productivity involved in this process. Some Standards that address E-Mail: DoD: 5015.2 – section C2.2.4 – Electronic Mail requirements for ERMS ISO: 15489 – clause 9 – RM processes and controls for ERMS ANSI/ARMA 9-2004 – Requirements for managing emails as records

32. Metadata Metadata is “data about data” or “data concerning data characteristics and relationships” (Rob and Coronel, 1995) Metadata is a relatively new notion for the archival and records profession. Interest in metadata stems from the realisation that electronic records do not contain enough contextual information to enable future users to fully understand the record. Metadata is an attempt to capture this information in a systematic and structured manner that can be stored in electronic format and easily migrated with the record over time.

33. Metadata may be categorized as: Descriptive: information describing the content Structural: information that ties items, such as pages in a book, or documents in case folder Administrative: information used to manage and control access

34. An example of Metadata:

35. An example of Metadata:

36. Electronic Records Electronic records and information should also conform to the following basic RM principles: Authenticity – record can be proven Reliability – record can be trusted Integrity – record is complete and unaltered Usability – record can be located, retrieved, presented and interpreted. See: ISO: 15489-1:2001, section:7.2

37. The benefits of goods records are many, but usually it results in: increase efficiency and productivity; protect the organization from litigation; evidence of transactions/ events for audit purposes; preservation of the institutional memory of the organization; facilitation of the resumption of operations in the event of a disaster; and ensuring that employee benefits can be supported via information maintained in personal records . Government and organizations being accountable to their constituency and stakeholders. Benefits of Good Recordkeeping

38. Good Luck!

39. Any Questions?

40. Thank You Want to know more About Records?: http://www.lorsonresources.com/seminar1.asp Contact : Emerson O. Bryan [email_address] Tel: +1246 430 1677 Fax: +1246 228 9528