Anastasia Dikopoulou, Eleni Mamma

The role of records management
(RM) as a component of efficient
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
 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
 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
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
 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
 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
 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)
The 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 egovernment systems’ planning becomes more essential as e-government
moves from the low maturity levels to the higher ones.
What do the records serve?
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
E-records serve the same needs!
Records’ characteristics
Authenticity, reliability, integrity & useability
Records are static in form (provide evidence of a particular action in
Records have authority (provide official evidence)
Records are unique when in context (have meaning in relation to a
specific action or transaction)
Records are authentic (their creation and use can be verified)
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 are the recorded information, data and documents
that provide evidence of activities, transactions and policies
carried out in e-government and e-commerce environments
 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
Public 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
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
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
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 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
Build strong co-operations between public sector and archivists
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,
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.
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
Transparent awareness of government
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 Synergy
Who 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
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
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
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.
Records management ensures the quality
and the efficiency of e-governance!