# Presentation: 314273

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

**Elisa Liberatori Prati, World Bank Group Chief Archivist**
- _[eliberatoriprati@worldbank.org](mailto:eliberatoriprati@worldbank.org)_** **
- Federal Information and Records Managers (FIRM) Council FORUM @FOSE 2007
- Washington, DC, March 20, 2007

## 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.

**Notes:**
The World Bank’s vision is a world free of poverty, and we try to achieve this by pursuing economic development of the world’s poorest countries.  The Bank is a multi-lateral institution comprising 184 member countries and was established in 1946.  (very young for most institutions – especially compared to Italian ones!) More specifically, the Bank provides low or no interest loans and grants to countries that have unfavorable or no access to international credit markets, and we also provide analytic and advisory services and capacity buildings to members.

When disasters strike developing nations, the World Bank proceeds to create and implement development projects that will help the recovery efforts of the country: including infrastructure development, strengthening government institutions, health and education services for the displaced, etc.  Occasionally record-keeping, archives or government information delivery objectives are included in the disaster recovery projects.  

##  Evidence?

- 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.

** ****Evidence?**
** ****Transparency?**
** ****Enforceable**
**  ****Civil Rights?**

## Accountability ? Anticorruption ?

- 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.

**Accountability ? Anticorruption ?**
**Programs effectiveness?**

## 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.

**Try to do an audit!**

## 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.

**Try to prove your claim to land!**

## 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.

**Try to find your pension records after 30 years of work !**

## Try to find your

- 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.

**Try to find your**
**medical records!**

## 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.

**Transitioning to e-records**

## 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

**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**

**Records Management: ****The Missing Link in Development Work?**

## Records Management: The Missing Link in Development Work?

**  **
**  ****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**** **

**Records Management: ****The Missing Link in Development Work?**

## RECORDS in Development

- ICA, IRMT, World Bank ISGIM, PRMPS, January 2000

**information**
**based on records**

**effective**
**decisions**

**effective**
**policies**

**effective**
**programs**

**effective**
**projects**

**effective**
**delivery**

**poverty**
**alleviation**

** ****i m p l e m e n t a t i o n**

**v e r i f i c a t i o n**

**Make**
**an impact!**

**Be**
**accountable!**

**Causality Chain**

**RECORDS in Development**

**Poverty Alleviation**

**records**

**records**

**records**

**records**

**records**

**records**

**records**

**Good**
**Governance**

**Equitable**
**Judicial**
**System**

**Accountable**
**Financial**
**System**

**Enforceable**
**Civil Rights**

**RECORD KEEPING INFRASTRUCTURE**

**Development relies on sound record keeping regimes**

## Evidence-based Governancein 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

## Records Management CapacityAssessment 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

## Slide 16

## 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.

## 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

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