Report to The

Report to the

International Development Research Centre

______

Managing Records as Reliable Evidence for

ICT/ e-Government and Freedom of Information in East Africa

Burundi, Kenya, Rwanda, Tanzania and Uganda

International Records Management Trust

September 2011

Contents

Page
Executive Summary / 2
Introduction / 3
Research Problem / 4
Project Management and Implementation / 5
Dissemination Plan / 11
Appendix A: Programme / 15
Appendix B: Stakeholder Meeting Attendance List / 18
Appendix C: Summary / 20
Appendix D: Resolutions of the Stakeholder Meeting on Managing
Records as reliable Evidence for ICT/ e-Government
and Freedom of Information / 23
Appendix E: Photographs of Stakeholders’ Meeting / 24
Appendix F: e-Discussion Papers / 25

EXECUTIVE SUMMARY

Between February 2010 and September 2011, the International Records Management Trust conducted the Managing Records as Reliable Evidence for ICT/ e-Government and Freedom of Information in East Africa research project, with funding from the International Development Research Centre. The project, conducted by national teams in each of the five East African Community countries (Burundi, Kenya, Rwanda, Tanzania and Uganda), found that records management issues are not being addressed in relation to the ICT/ e-Government and Freedom of Information initiatives that are being planned and implemented within the region, and that this situation placed these initiatives at risk. The research consisted of a high level exploration of the extent of integration between national ICT/ e-Government and Freedom of Information initiatives and records management. An in-depth study of electronic court case management systems was undertaken in order, to assess the practical effects of integration or lack of integration on records, systems and citizens.

High Level Findings

Consensus is growing internationally that records are assets that need to be managed within a regulatory framework similar to those established for other valued assets such as financial and human resources. Just as ICT/ e-Government and FOI objectives and directions are similar around the world, records management problems and issues that arise because of missing or weak regulatory frameworks are also similar. This has led to the recognition that the solutions needed to address these issues should be established at the global level, which is why so many initiatives around the world are based on international partnerships and co-operation.

Within this context, the regulatory frameworks for managing public sector records in the East African Community countries were explored. An analysis was undertaken to consider the relationship between records management and the current and planned directions for ICT/ e-Government and FOI. The results of the analysis confirmed that across the region, governments are actively pursuing ICT and e-Government initiatives and are, to a greater or lesser extent, moving along the same general path towards building FOI regimes.

The results also suggest that these important government priorities are at considerable risk because there are significant gaps in the regulatory framework for records management, especially in areas such as policy, capacity and the position and strength of the records and archives authority. Records management issues in all five governments range from poorly positioned and weak records and archives authorities, to the absence of policy, the lack of capacity (especially to deal with electronic records) and the overall lack of awareness of records management and its importance. Although certain countries have taken major strides in building components of the required regulatory frameworks for records management, others have yet to take the first steps. All are far from having the basic building blocks of an adequate regulatory framework for records management in place. If the issues are as significant as they appear to be, steps will need to be taken to ensure that the risks are addressed before they have an irreversible impact on existing and planned ICT/ e-Government and FOI initiatives.

The project deliverables include a strategy for addressing the risks through developing the components of a strong regulatory framework for managing records that draws on a comparative analysis of regional and international situations. The strategy focuses on developing awareness, leadership, policy, authority, management, standards, practices, procedures and tools, and records management readiness. Given the significance of electronic records and the serious records management issues emerging from digitisation initiatives, recommendations specific to these two areas have also been provided.

A strategic planning exercise bringing together key stakeholders from across the region would provide an excellent opportunity to set out goals, objectives and priorities for how, by whom and by when the components of the regulatory framework would be built.

Court Case Study Findings

Court case studies were carried out as a ‘drill-down exercise’ to obtain more detailed information on the records management issues in relation to one key government function: the administration of justice. These studies assessed electronic case management systems, where they are in use. They revealed that records management functionality was often overlooked in records system design, with the result that the integrity and longevity of the electronic records that the courts are now creating, and will rely upon in the electronic environment, are in jeopardy. The research demonstrated that the integrity of the courts is at risk over time as a result of this situation.

INTRODUCTION

In February 2010 the International Development Research Centre (IDRC) approved funding for the Managing Records as Reliable Evidence for ICT/ e-Government and Freedom of Information in East Africa research project, to be carried out by the International Records Management Trust (IRMT) working closely with researchers in east Africa. The project focused on the essential evidence that records should provide in relation to ICT/ e-Government and Freedom Information (FOI), which are areas of interest to East African governments as they seek to develop their economies and engage more transparently with citizens. It explored the linkages needed to integrate records management with national and regional policy objectives. The findings demonstrate the crucial contribution that records management can make to current and future initiatives in these areas.

After the successful launch of the project in Kenya, Tanzania and Uganda, East African Community (EAC) Secretariat officials indicated their interest in the outcome of the research but noted that to have an impact on policy for the region all five EAC countries would need to be included. For this reason, an application was made to IDRC for additional funding to extend the project into Burundi and Rwanda. The funding was granted in October 2010.

RESEARCH PROBLEM

The Problem

New technology is making significant contributions to improving government programmes and services and achieving development goals. However, records management is not being given the attention it requires in the transition to the electronic environment. In too many cases, ICT systems are introduced without the essential processes and controls for the capture, long-term safeguarding and accessibility of electronic records. At a more fundamental level, little connection is being made between the need for a reliable evidentiary base and the drive to develop national ICT infrastructure, e-Government capacity and online access to information and services, in relation to development and poverty reduction. The essential underpinning of reliable and accurate information that modern records management systems provide is not in place.

Research Question

What is the impact of the lack of attention to records management in the planning and delivery of e-Government, ICT and FOI strategies and initiatives, and what value can records management add? How can records management make a practical contribution to the electronic environment, and what are the responsibilities of the various stakeholders involved?

Hypothesis

Government initiatives in the areas of e-government, ICT and FOI fail to reach their potential when records management systems and processes are neglected or discounted. Conversely, initiatives in these areas will have a greater impact when supported by records management processes.

General Objective

The general objective of the research is to improve service provision, strengthen decision-making and enhance accountability in the east African region by proposing strategies for the incorporation of records management into current and planned government initiatives in the areas of ICT/ e-Government, ICT and Freedom of Information.

Specific Objectives

To address the project objectives set out in the Research Support Grant Agreement. These were:

Assess the current status of initiatives in East Africa in the priority areas of Freedom of Information, e-Government, and ICT strategy development.

Determine to what extent records management has been factored into these initiatives as a means of improving the quality of the information contained in new systems and programmes, thereby maximising the benefits of these initiatives to the public and the government.

Develop widely applicable strategies for aligning records management with such initiatives, allowing gaps between good practice in record-keeping and existing planned technological solutions to be bridged.

Ensure strategies developed are scalable and suited to national and regional needs.

Influence the relevant government ministries, departments and agencies in their understanding of the benefits of applying these strategies to their initiatives.

PROJECT MANAGEMENT AND IMPLEMENTATION

Phase One: Background Research

The background research included a literature review and interviews with electronic records management experts to provide international context to the study. This phase of the research examined international experience of the challenges of managing electronic records and the good practice that has emerged; the findings are also related to ICT/ e-Government and FOI strategy development. The review examined the approach to managing electronic records in countries where there has been national recognition of the importance of records management to underpin e-Government. This phase resulted in an International Situation Analysis of these issues.

Phase Two: High-Level Investigation of User Perceptions

During this phase of the research, information was gathered and analysed as the basis for a qualitative assessment. The research team explored records management issues in relation to ICT/ e-Government and FOI in the five EAC countries. The aim was to enable a comparative analysis of the laws, policies, governance strategies and evaluation mechanisms needed to ensure that records management requirements are in place and to determine gaps in the records management framework. The analysis covered legal and policy frameworks, management structures, and records management strategies. This phase resulted in situation reports for the five EAC countries.

Country Teams

The African Project Leader, Professor Justus Wamukoya, and an IRMT Project Manager, James Lowry, made country visits to establish and work with country research teams as follows:

·  Kenya: May/ June 2010

·  Tanzania: July 2010

·  Uganda: July/ August 2010.

The African Project Leader, Professor Justus Wamukoya, and a Canadian French-speaking IRMT Project Manager, Anthea Seles, made country visits as follows:

·  Burundi: December 2010

·  Rwanda: February/ March 2011

The findings gathered during these visits were updated over the course of the research project, drawing on information gathered by the Country Teams and Internet research.

The country-based research teams, under the guidance of country team leaders, received formal terms of reference. The team leaders, who reported to the African Project Leader, divided their members to conduct detailed courts case studies; gather relevant legislation, government policy and strategy documents and prepare reports on the framework for records management that these documents establish in their countries.

The country team members were appointed as follows:

Burundi: Mr Jean Paul Ndayisaba

Mr Jean Bosco Ntungirimana

Kenya: Mr John Mreria

Ms Agneta Akhaabi, Mr Eliakim Azangu, Ms Mary Kuchio, Mr Francis Mwangi, Mr Richard Wato

Rwanda: Mr Emmanuel Karuranga

Mr Elias Kizari

Tanzania: Mr Charles Magaya

Mr Matthew Kilasi, Mr Peter Mazikana, Mr Peter Mlyansi, Mr Firimin Msiangi, Mr Yonafika Shaidi

Uganda: Dr David Luyombya

Mrs Lilian Ariso, Mr David Mukembo, Mrs Joy Nantongo, Mrs Joyce Nyumba, Mr Sylivester Sennabulya

Stakeholder Relationships

As a basis for delivering the research, links were developed with the national archival organisations in the five countries. In all cases, the national archives have statutory responsibility for the management of government records, although some perform these roles more effectively than others. Connections were also made with policy and decision makers in the areas of ICT and e-government including:

Burundi:

·  Ministry of Telecommunications, Information Communication, and Parliamentary Relations

·  Executive Secretariat of Information Communication Technologies

·  Ministry of Finance

·  Ministry of Justice

·  Ministry of Public Service.

Kenya:

·  National Communications Secretariat

·  Kenya ICT Board, the Directorate of E-Government, President’s Office

·  Ministry of Information and Communications.

Rwanda:

·  Rwanda Development Board

·  Chamber of Deputies and Outreach, Rwanda Parliament.

Tanzania:

·  ICT Infrastructure Development Section of the Ministry of Communications, Science and Technology

·  Management Information Systems Division of the President’s Office

·  Tanzania Communications Regulatory Authority.

Uganda:

·  National Information Technology Authority

·  Ministry of Information and Communications Technology

·  IFMS Project Management Team in the Ministry of Finance Planning and Economic Development.

Interviews with Government Stakeholders

Meetings were held with staff members in these and other agencies to gather information on government projects and initiatives in the region and to consider the challenges that the governments face in the areas of ICT/ e-Government and FOI. There was senior level interest in the project, and CEOs and permanent secretaries often personally attended meetings and provided access to key staff. By extending the research into MDAs, the teams were able to observe whether preparations had been made on the ground for integrating records issues with plan for ICT/ e-Government and Freedom of Information initiatives.

Interviews with Non-Government Stakeholders

Links were also established with a number of key players outside of the public service. For instance, in Kenya, the Honourable Engineer Rege invited researchers to meet him at Parliament House to discuss how the project could strengthen ICT initiatives in which he had a particular interest, such as the rollout of ICT infrastructure to remote parts of Kenya, with a particular emphasis on schools.

Leaders in the NGO and private sectors also participated actively in Phase Two. Observations on the current state of records management in the region, the accessibility of government information and the challenges posed by computerisation were gathered from private firms, for instance the Kenya Commercial Bank, eManage Africa, and Law Africa. Data gathered from these sources offered insights into the information collected from MDAs and provided alternative perspectives on the current situation.