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RAB/01/006: Transparency and Accountability in the Public Sector in the Arab Region

Project Advisory Group Meeting

30/31 May 2002

Concept Paper: Access to Information and Information Management in Promoting

Accountability

Draft: 24 May 2002

________________________________________________________________________ * UN DESA DPEPA would like to acknowledge the author of this paper, Mr. Fred Schenkelaars. The views expressed therein are entirely those of the authors and do not necessarily reflect the views of the United Nations.

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Table of Contents

The Right to Know (page 4)

International Legal Framework (4) National Legislation (4) General principles (4) Role of the Media (5) Access to Information (7) General (7) Government-citizen relations (7) To bridge the digital divide (8) What information is (not) accessible to citizens ? (8) How can information be accessed and/or received ? (8) Who provides information, who oversees, controls and enforces it ? (9) Access to Information in the context of Islam (9) Role of Information in the public sector (10) General (10) Records (10) -their link with accountability, transparency and good

governance (10) -definition (10) -their use (11) -poor handling (11)

Electronic records (11) -blessing or failure ? (11) -hackers and viruses (12)

-are they vulnerable ? (12) -versus paper-based records (13)

Keep paper-based records ? (14) Records management (14) -cornerstone for good management (14)

-a neglected function (14) -in developing countries (15)

Records managers - links with other disciplines (15) Foundation of financial accountability (16)

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Best Practices (17) Concept (17) Generic examples (17)

Human resources (17) Health Care (18) Land Management (18)

Best practices from countries in the Arab region (18) Lebanon (18)

Egypt (19) Saudi Arabia (20) Iraq (20) Freedom of Expression (20) Arab Region (20) Asia (22) USA/UK (22) Recommendations (24) Charter for a Free Press (24) Create awareness (25) Conduct an assessment (25) Build capacity including clean up (25)

-Establish an electronic document management systems (25) -Develop a framework for managing paper-based and electronic records (26)

Annexes (27) 1. Do the Arab countries have constitutional, transparent, accountable and participatory forms of governance ? (27) 2. Regulatory Framework (30) References (31)

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The Right to Know

International Legal Framework

1. The Universal Declaration of Human Rights, proclaimed by the United Nations

General Assembly on December 10, 1948, grants to everyone the right to seek, receive and impart information and ideas through any media and regardless of frontiers (art. 19).

2. The International Covenant on Civil Political Rights of 1966 repeats article 19

(above) but concedes that the exercise of this right may be subject to certain restrictions as far as these are provided by law and are necessary to respect the rights or reputations of others, or to protect national security, public order or public health or morals.

3. The same right is guaranteed by the European Convention on Human Rights of

1959. Other legislation: the American Convention on Human Rights 1969, African Charter of Human and the Peoples Rights 1981, and the European Union (Directive on processing of personal data 1995).

National Legislation

4. There are different traditions of legislation and rule-making. In common-law

countries, the courts have played the most important role in producing law; in other legal cultures, most judicial questions are answered by statute law which can be characterized as more abstract than case law

General principles

5. • Openness versus secrecy: neither total openness nor complete secrecy would be reasonable, and no country in the world has decided to adopt one of these extreme positions;

• Conditions of disclosure: o Closure periods: certain documents can only be opened under special,

restrictive conditions (varying from 25 to 50 years) o Legitimate interests: in certain countries potential users have to prove their

legitimate interest in documents (which purpose); o Exeption clause: most frequently cited are (a) national security, defence

and foreign policy and (b) privacy, trade secrets and others legitimate interests of third persons

6. Information is the basis for all strengthening of government-citizen relations.

Countries vary greatly in terms of laws on citizen’s access to information (often called Freedom of Information laws-or FoI laws).

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o Sweden introduced its first laws on this subject as early as 1766. o In France, at an early stage of the Revolution, “La declaration des droits de

l’homme” was adopted in August, 1789. o American Declaration of Independence, 1791, contains a similar right in

the first amendment. o Finland, in 1951, was the first to adopt modern legislation. o USA followed in 1966 with the Freedom of Information Act. o After a sharp rise from 1980 to 2001, now 4 out of 5 OECD Member

countries have legislation on this subject. o Austria, the Netherlands, Hungary and Poland have enshrined citizen’s

right to access information in their constitutions.

7. In designing these laws, countries face a double challenge: to balance the right of access to information, on the one side, with the individual right to privacy, and balance it, on the other side, with the need to keep confidential information, which if disclosed, would harm the public interest.

Role of the Media

8. The following article by Christopher Young (Canadian Institute for Peace and Security, 1991 working paper) is an example of the role of media in international conflicts:

9. Young draws on discussions held during a two-day seminar in Ottawa, Canada to

explore some of the issues that the media face in covering military conflicts, and to examine media roles in international conflict.

10. Security: there is an ongoing tension between journalists' desires to report on

conflicts and military actions, and military concerns about security. Generally journalists accept the need for some secrecy regarding military maneuvers. However many journalists have observed that "secrecy and controls on reporters are often imposed for reasons of political convenience, for example to avoid blame for military or political errors that deserve exposure."

11. In order to maintain military security and prevent a massive influx of reporters into

the war zone, reporters were confined to pools during the Gulf War. Representative journalists were included in the press pool, and their reports were made available to the rest of the media. Many journalists were dissatisfied with this system, since it greatly restricted most reporters' access to events, and since the military limited what even the pool reporters could cover. Retired General Sidle, who continues to work as a consultant to the Defense Department, argues that in dealing with the press, security and troop safety must be the military's first concern. Rather than pools, Sidle favors field press censorship, which he argues provides the maximum freedom for the press, while still maintaining troop safety. Sidle cautions however that if the media won't limit the number of reporters it send into a battle zone, the military will have to intervene and impose limits.

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12. Escalation: the media can contribute to conflict escalation, either directly or indirectly. Experienced war reporters observe that sometimes the very presence of cameras will prompt the sides to start shooting. Terrorists often rely on the media. Terrorist attacks may be calculated to draw media attention, and so draw attention to their cause. In the absence of media coverage, many types of terrorism would be useless.

13. Video media in particular tend to focus on dramatic and violent events. It was

observed that "more than ever in terms of news, war is better than peace, violence is better than non- violence." This tendency to focus on violence and conflict, and to further sensationalize violent events can distort the public's perceptions of the situation.

14. It was felt that the American press, in particular, failed to adequately investigate

the Gulf War, or to report on the causes of the war. Instead the media "became the mouthpiece for the government, it gave up its privilege of free criticism, reinforced the us- versus-them syndrome." Grave concern was expressed that the public seemed quite willing to accept such a "tame" press. Milton Viorst of the New Yorker argued that, as a result of this "Congress didn't obtain, and the American people didn't obtain the information needed to challenge the president on the subject of a war which I believe could have been avoided."

15. De-escalation: the media can also contribute to conflict de-escalation. Many

people believe that the media coverage of the conflict played a key role in turning U.S. public opinion against the war in Vietnam. Lack of popular support eventually forced the U.S. to withdraw from that conflict. It was suggested that the constant live coverage in the early stages of the Yugoslavian conflict helped to contain that conflict by allowing the parties to publicly vent their emotions and positions. It was also observed that the Gulf War "is the first war in the history of humanity where a representative of the other belligerent appeared almost nightly in the homes of the world. Can you imagine interviews with Ho Chi Min in American living- rooms at the height of the Vietnam war?" The media can offer better communication with and better information regarding the adversary. By allowing each side to see the other relatively directly, by bringing the opponent into our living-rooms, the media can help to prevent the demonization of the other side.

16. Hostages: former hostage and journalist Roger Auque argued that the media

should cover hostage- takings. The safety of the hostages depends in part on their being remembered by their own governments and by the broader community. Auque also observed that "Americans have a kind of naive belief in not negotiating with terrorists, but they benefit as much as anyone else." The media often serves as a needed channel of communication between the terrorists and the target government. However, another journalist observed that media sensationalism can escalate a hostage situation. When a U.S. television station described the Iranian hostage situation as "America held hostage," their exaggeration simply puffed up the already inflated self-image of the hostage-takers.

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17. Press as go-between: the media can also serve as a channel of communication

between leaders, and between leaders and their constituencies. Ted Turner of CNN recalled that when Philippine President Marcos wanted to appeal to key U.S. legislators he would ask CNN to broadcast his speech. CNN would alert the appropriate legislators and then solicit their comments after the broadcast. Turner said "when we were doing a follow-up story we would find them quoting each other based on what they had seen on CNN." Many analysts argue that Saddam Hussein's Gulf Crisis speeches and appearances were directed primarily toward developing a stronger Arab constituency.

18. Selective focus: media response to conflict is shaped, and some say distorted, by a

number of factors. Many journalists observed that in the age of video, if there is no picture, there is no story. Situations which cannot be captured on film, or to which photographer cannot get access, tend to be under-reported. Visually dramatic, acute events (such as battles or bombings) receive more coverage, while longer-term, wide-spread situations (such as famine or poverty) get less. It was observed that while the Gulf War got extensive coverage, the deaths of over 140,000 Bangladeshis due to spring flooding went virtually unreported.

19. This emphasis on the visual also leads to "escalation by anchor man." In the age of

satellite video the relevant live backdrop comes to represent journalistic authenticity and credibility. "If I am standing here live, and there is a minaret behind me, then I am a journalist and you should believe me." This leads to competition among the various media outlets to get their "man on the scene," even when the "scene" has no real relevance to the story. Referring to the blue domes which were a favorite backdrop for televised Gulf War reports, one participant noted that "everybody thought it was part of a mosque, but you know the blue domes are over the pool [of the Dhahran Hotel]." Another factor which shaped coverage of stories is the cultivated preference of both the media and the public for good-guy, bad-guy stories. The Iran-Iraq War resulted in over a million deaths and was of major political importance but received relatively little media coverage in the West. Both parties were out of favor with the American public, and so there was no clear "good- guy" in that conflict. In contrast the Soviet-backed Afghani civil war received much more coverage at least until the Soviets withdrew from the conflict.

20. Search for truth: finally, the traditional role of the media as reporters of the truth

can play an important role in international conflicts. As noted above, a key function of the media is to give the public the information necessary to make good decisions. The media can seek to confirm official accounts, reveal official deceit, and correct errors of omission. When officials claim that there was an oil spill eighteen times as large as the Exxon Valdez spill spreading off the coast of Kuwait, one reporter hired a helicopter to look for the spill. She found no evidence of a spill of that magnitude, and revealed that the official claims were greatly exaggerated.

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21. Veteran journalist Ann Medina stressed the importance of being a first-hand witness. Official sources, even when they agree, may simply be wrong. She recounted a time where Canadian and British embassy officials and the Ugandan government all assured the press that the government still held a key town against rebel forces. However, when she was finally able to get there in person she found rebel forces in complete control.

Access to Information

Public records define the relations of an accountable government to the governed.

In a democracy archives are of the people, by the people and for the people. Archives are the memory of the nation and should be preserved and made available to

support the democratic needs of society

General

22. Freedom of Information (FOI) has become a technical term that describes a particular class of legislation that defines and supports the rights of citizens to demand access to specified types of documents.

23. Strengthening relations with citizens is a sound investment in better policy-

making and a core element of good governance. It allows government to tap new sources of policy-relevant ideas, information and resources when making decisions. Equally important, it contributes to building public trust in government, raising the quality of democracy and strengthening civic capacity. Such efforts help strengthen representative democracy in which parliaments play a role.

24. Access to information requires sound legislation, clear institutional mechanisms

for its application, and independent oversight institutions and judiciary for enforcement. Finally, it requires citizen’s rights to know and understand their rights-and to be willing and able to act upon them.

Government-citizen relations

25. Ideally, government-citizen relations are interactive: • one-way relation in which government produces and delivers information:

o laws: free access to information should be the rule, and secrecy the exception (e.g. 80% of the OECD countries have now Freedom of Information laws (FoI laws);

o policies: basic legal rights are given substance through government commitment to provide objective and reliable information;

o institutions: access to information laws generally apply to all administrative units, and are subject to external oversight, e.g. the Ombudsman;

• two-way relation in which citizens provide feedback to the government

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o laws: e.g. petition rights, referenda, consultations with trade unions etc.; o policies: governments may rely on formal or informal rules, practices, etc.; o institutions: governments may have institutional arrangements for

consultation (e.g. the Dutch polder model) or have ad hoc advisory bodies and commissions that include CSOs;

• partnership with government in which citizens actively engage in the policy-making process:

o laws: in some OECD countries, citizens have the right to propose new legislation or policy; this generally requires the prior collection of signatures from a proportion of eligible voters;

o policies: of some OECD countries ensure a degree of active participation by citizens in policy-making;

o institutions: there is yet no single institutional interface;

To bridge the digital divide 26. It is felt that the new information and communication technology (ICT) is

considered as a powerful tool to engage citizens in policy-making. Although today, governments remain to traditional tools, many of them are working to bridge the “digital divide” to ensure that all citizens enjoy equal rights of participation in the public sphere, by providing information through websites and portals, to facilitate consultation (e-mailing, on-line chat events), and active participation (on-line discussion groups, interactive games). Integration with established “off-line” tools is needed to make the most of ICTs.

What information is (not) accessible to citizens ? 27. Legislation gives citizens access to information. Legislation may explicitly state

that access is the rule, and secrecy the exeption. 28. However, legislation generally foresees exemption for citizens’access to

information in the following areas: national security, private company data, individual privacy, legal procedding while some countries extend this to minutes of Cabinet meetings, annual budget proceedings, etc.

How can information be accessed and/or received ? 29. Legislation may require no identification and justification from citizens when they

approach government with a request for information; the law may oblige authorities to give a written explanation of the reasons for rejecting a request.

30. Legislation may demand the government to disseminate key information actively-

without a specific request by citizens (laws, rules, procedures, services provided, organizational structures), in all official national languages, within established time limits for delivery.

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Who provides information, oversees, controls and enforces ?

31. Government information services in each ministry or public organization,

generally coordinated by offices under the Prime Minster or Council of Ministers. Independent institutions may play an important role in controlling that laws on access of information, data protection and privacy are respected: they investigate filed complaints, and act on these (Ombudsman, Commissioners, etc.).

Access to Information in the context of Islam

32. Traditionally, the Arab world, like most of the developing world has been wary of

introducing ‘western’ governance reforms. However, economic and political changes have forced many nations around the world to give serious consideration to the issue of Governance. Civil society, the media and different international players as well as events have also played a part in accelerating this process for change. Additionally, the ‘Financing for Development’ conference in Monterey, earlier this year and the announcement by President George Bush of USA to link aid with governance will also contribute to this acceleration process.

33. Shafeeq Ghabra, a professor of Political Science at the University of Kuwait sums

it up: “While definitions will vary, the term "democracy" minimally presupposes three essential elements: transparency, accountability, and equality. Transparency denotes free access to governmental political and economic activities and decisions. Accountability entails a state being held responsible, by both its people and its elected bodies, for its choices and actions. And the concept of equality incorporates citizens being treated equally under the law, as well as some degree of equal political participation among them in their own governance. Calls for transparency, accountability, and equality have emerged in the Arab world, with citizens summoning their governments to reveal their incomes and expenditures, as well as strategies and ambitions. Among the instruments of promoting greater degrees of transparency and accountability are a free media and either a parliament or a consultative assembly. The methods established for obtaining equality include insistence on the rule of law and a vote for each and every citizen, including women.”

34. With globalisation most of the Arab Nations are looking towards foreign

investment to boost their economies. Allegations of corruption, mismanagement and fraud have hampering economic development in the region. But the rhetoric of change is sweeping the region, accompanied by the emergence of electronic media that foster increased transparency. Governments’ control of information and the pace of change are growing less sure. Even though access to information seems to be very low in the list of priorities for the region, with very few exceptions, countering corruption, mismanagement and fraud has forced almost all the countries in the region to work towards an acceptable level of transparency and

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accountability. Of course, the degree of commitment to change varies from nation to nation. But that the entire region is responding to the need to enter the mainstream of acceptable governance practices is a positive step. Work is being done to convince both, foreign investors as well as the local population that many of these countries are committed to not just ‘acceptable limits of governance’ but eventually to ‘good governance’.

Role of Information in the public sector

General

35. Citizens, civil society and media legitimately claim access to information. The

government should facilitate this access by maintaining adequate records as evidence base, and by ensuring to have an infrastructure in place to provide them the information they legitimately request.

Records - its link with accountability, transparency and good governance

36. Accountability has been defined as the obligation of anyone handling resources, public office or other position of trust to report on the intended use of the resources of the designated office. Stakeholders in the accountability process cannot effectively fulfill their accountability obligations nor be held properly accountable unless the evidence of their actions is made available through organized, secure, yet easily accessible means. To achieve this, consistent provision of reliable documentary evidence in the form of records must be ensured. Records are the indispensable foundation of the accountability process. Without reliable and authentic documentary evidence underpinning all essential accountability processes, government, civil society and the private sector cannot ensure transparency, guarantee accountability or allow for the exercising of good governance.

37. Accountability and good governance have become key development objectives in

recent years. The management of recorded information is the cornerstone of any government’s ability to ensure the degree of probity and transparency that is necessary to fulfil the government’s basic responsibility to govern effectively, in a manner worthy of public trust.

38. Accountability and transparency depend upon complete, accurate and legally

verifiable records. Without reliable records, officials cannot be held accountable and fraud cannot be prosecuted. Freedom of information legislation and computerization programs are undermined.

39. Records, as evidence, are essential to underpin the function of:

• financial management • auditor general • parliament legislature

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• public accounts committee • ombudsman • civil service • judiciary

Records - definition

40. Records can be defined as recorded information regardless of form or medium

created, received and maintained by institutions or individuals in the pursuance of their functions, legal obligations or in the transactions of their business. Quite simply, records provide the evidence of events and transactions. A transaction is an economic event or contractual relationship that leads to a financial exchange. A transaction is not necessarily a physical activity. Any event that has financial implications calls for the creation of a record.

Records - their use 41. Records are primarily used to provide evidence that an event or transaction

occurred. However, records are also used as references to support decision-making and document compliance when analyzing risk. To be authentic, reliable and available to users, records must be complete, authorized and accurate. They must also comply with the laws and regulations governing record keeping. In addition, the system(s) in which they are maintained must be secure and implemented consistently. Finally records may be created on any physical form or medium, such as paper records and computerized records. The format in which a record is captured, maintained and accepted as evidence is determined by a country's laws and regulations.

Records - poor handling 42. In many developing countries the system of formal record keeping is poor, or has

broken down. Lack of well trained staff and lack of emphasis on the need for accountability are mentioned as the main reasons. Instead, an informal system of record keeping has emerged which leads to gaps in information, slow retrieval time, opportunities to manipulate information, valuable space occupied by redundant paper files, and duplicated and wasted effort. In addition, it triggers an informality in the public sector which leads to unfair treatment of citizens, difficult performance monitoring, auditing and fraud detection. Policy is not evidence-based and legal compliance cannot be demonstrated.

Electronic records - blessing or failure ? 43. The major driver behind both the need and the urgency, is the impact of the

electronic revolution and its attendant telecommunications and computer industries, which has spawned a new technocracy. Virtual transactions are now the

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norm in commerce, industry and government in the developed world. As a result, donors are including computerization in technical assistance projects, hoping, with a single stroke, to provide an opportunity for economically disadvantaged countries to “leapfrog” onto a higher level of economic development for a relatively low level of investment. Computerization is expected to bring large productivity gains in government service, with greater transparency and accountability. Any country that doesn’t establish computerized information structures, risks an insurmountable development gap. This belief in information technology-led empowerment rests upon a common assumption that an infusion of modern technology will solve a plethora of social, political and economic problems. While it is true that technology, properly designed and applied, is an invaluable tool for successful development, the operative words are “properly” and “tool”.

44. Unfortunately, in many cases, excessive emphasis on information technology as a

tool for manipulating data, rather than on sound information management, has merely compounded the problems. Computer projects which can be among the most expensive development projects, have failed, not only as a result of inadequate local infrastructure, e.g. intermittent power supplies and lack of trained computer personnel but also because the source data held on paper records is difficult to access and is incomplete. Attempts to layer computerized systems on top of collapsed paper-based systems have led to wasted expenditure and placed the countries concerned at even greater risk by leaving them with unreliable paper and electronic systems. Moreover, virtually no attention is being given to the legal and accountability implications of attempting to hold information in electronic form. The requirements for ensuring the reliability, integrity and authenticity of electronic records in support of the requirements of good government and accountability are only beginning to be articulated and understood, and it is essential to address these issues if there is to be a successful approach to computerization.

45. The citizen’s rights are at risk and the governance process is undermined.

Electronic records - hackers and viruses 46. There is the perception that the impressive development in the information and

communications technology (ICT) for creating records has not been matched by a technological development for managing them. Computer-hackers all around the world have been able to disorganize and disrupt electronic systems that were considered to be safe and secure. Reasons why developers and users of electronic systems alike, feel less secure, be it for different reasons: the developer because (s)he cannot fully guarantee to have provided an absolute safe and full-proof system while the user is often reluctant to “surrender” vital records to such a system, e.g. a credit card number. A surprising note: these hackers are often young individuals, acting alone from often remote areas using sometimes even limited hardware and software, but are able to disrupt global systems that have been developed by teams of experienced technicians who have ample technical and financial facilities at their disposal. And every time, the world is highly surprised

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that this could happen: the young inexperienced hacker did it again, his/her target being the supposedly safe and secure system, the creator of which is the experienced and capable technician. Creating viruses is another disruption of a smooth functioning of ICT. Viruses may affect records in terms of existence, continuity, contents and accessibility. The ICT community is more reactive than proactive in this field despite the existence of powerful anti-virus systems such as Norton and McAfee, which have their limitations and have to be upgraded more and more often as the new viruses continue to occur.

Electronic records - are they vulnerable ? 47. Electronic records are far more vulnerable than paper records, and must be

carefully managed to ensure their accuracy and to maintain an audit trail of their handling. The current technology of scanning, copying, imaging, and color printing make it possible to create documents that are indistinguishable from their originals. This technology opens up the possibility to manipulate, falsify and forge contents in documents.

48. In addition, electronic systems can create increased opportunities for corruption

and fraud: users may collude with ICT technicians, ICT technicians may take advantage of information monopolies, or local managers may remove controls that existed in paper systems. The current situation does not warrant that ICT applications adequately replace the existing paper record management systems unless it is proven that electronic records can be preserved and maintained through time in a reliable and authentic form to meet accountability and legal requirements. Finally, many if not most users of ICT systems including legal experts, auditors, and accountants are not always fully aware of the issues involved, and of the operational, legal and accountability implications and risks involved in capturing, holding and managing records in electronic form.

Electronic records - versus paper-based records

49. The rapid growth in information and communications technology (ICT), and the

increasing tendency to use computers to streamline administration, has highlighted the requirement for access to information in paper and electronic formats. It is often assumed that computers solve information problems. Computerization is expected to bring large productivity gains with greater transparency and accountability. In addition, the convergence of computer development with advances in telecommunications capabilities has revolutionary consequences for global trade and investment.

50. However, the transition to an electronic evidence base must be gradual, with due

care to censureer that records are authentic, reliable and verifiable. Emphasis on information technology as a tool for manipulating information, without parallel attention to the way the information is managed as evidence of decisions, processes and activities, can inhibit accountability rather than enhance it. The reality is that all governments still carry out most operations on paper. Paper

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records will continue to be, in the foreseeable future, a critical source of evidence. They provide a legally verifiable data source, in a relatively stable medium, which can be managed regardless of problems with power supplies, servicing and telecommunications. They are independent of changes in software and hardware, and can be controlled by staffs that do not have an ICT background. At present, many countries operate obsolete or collapsed paper-based systems for keeping recorded evidence, with the result that records are disorganized, incomplete or difficult to access. They cannot, therefore, provide the authoritative source data required to build sound computerized systems. Attempts to layer computerized systems on top of collapsed paper-based systems not only lead to wasted expenditure but also place the countries concerned at even greater risk by leaving them with the compounded problem of both unreliable paper and unreliable electronic systems. Although electronic transactions are in principle no different in nature from their paper counterparts, they are far more vulnerable than paper records, and must be carefully managed to ensure their accuracy and to maintain an audit trail of their handling. As said earlier, electronic systems can create increased opportunities for corruption and fraud. Senior officials may collude with ICT technicians, ICT technicians may take advantage of information monopolies, or local managers may remove controls that existed in paper systems. Money laundering and fraud in an electronic environment can result in a very rapid movement of money away from its intended purpose.

51. Therefore, the transition to an electronic evidence base must be a process in which

due care is taken to ensure that records are and remain authentic, reliable and verifiable. The deterioration of the evidence base in societies is a global issue, which can be compared to the deterioration of the environment – insidious, slow, but catastrophic in its cumulative effect. As it stands now, many records of vital importance such as contracts, correspondence, minutes, reports, memoranda, etc are kept in paper form because in paper form they provide a legally verifiable data source in a relatively stable medium, which can be managed regardless of problems with power supplies, servicing and telecommunications. This is specifically the case in the public sector of the developing world where ICT has not been entirely understood and fully implemented. Paper records are independent of changes in software and hardware, and staffs that don't have an ICT background can control them.

Keep paper - based records ?

52. Managers must be very cautious about relying upon computerized systems without

keeping paper originals of documents where the records will be needed for longer periods and their loss could have significant financial implications. These include personnel records, pension records, records relating to loans which may have long repayment periods, records relating to land or property titles, contracts or records relating to policy decisions. Until it is possible to ensure that electronic records can be preserved and maintained through time in a reliable and authentic form to meet accountability requirements, ICT applications should be used to supplement rather than replace the existing paper record keeping systems. As said earlier, impressive developments in technology for creating records have not been

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matched by technological developments for managing them. Outside the records profession, there is still a widespread lack of understanding of the necessity of managing records competently as a prerequisite to successful deployment of information technology.

Records management - cornerstone for good management 53. Leading global organizations in this field such as IRMT, the International Records

Management Trust, London and ICA, the International Council on Archives, Paris have stated in their publications that recognition has grown recently that recorded information is the cornerstone of any entity’s ability to fulfill its responsibility for good management; these two international professional networks continue to state that without reliable, verifiable and authentic records, decisions and official actions and transactions cannot be traced; rules would not be known and cannot be enforced; and transparency does not exist. Neither integrity nor abuse can be demonstrated and nobody can be held responsible for his/her actions.

54. In the world of financial accountability, practitioners are often, if not always,

confronted with records and records management. As mentioned above, records and records management have not been given the status that it deserves, and has been neglected for too long despite its acknowledged importance for accountability and transparency. This research aims at allowing records and records management to assume the status that it deserves, and include them as an integral part in the cycle of financial accountability.

Records management - a neglected function

55. Records management is one of the three professions that provide the layers of

control, essential to ensuring transparency, probity and integrity in financial management systems; the other two are: accounting and auditing.

56. Records management is also the least understood of these professions but it is the

basis for sound accounting systems and for protecting essential documentary audit trails. Global initiatives to improve performance in the public and private sector, to enhance accountability and to inhibit corruption are based on the assumption that reliable evidence exists in the form of records. The records management function has been neglected as a fundamental part of the checks and balances of the accountability process with implications for every aspect of financial management. There is little recognition for the fact that in many countries the quality of official records has eroded steadily, leaving an inadequate evidence base.

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Records management - in developing countries 57. In some developing countries, the operational effectiveness of financial

management systems are frequently undermined by the following deficiencies/constraints:

• Low awareness of the role of records management in supporting organizational

efficiency and accountability • Absence of legislation to enable modern records management practice • Absence of core competencies • Overcrowded and unsuitable storage of paper and electronic records • Absence of purpose built record centers • Absence of a dedicated budget for records management • Poor security and confidentiality controls • Absence of vital records, disaster recovery and preparedness plans • Limited capacity to manage electronic records

Records managers - links with other disciplines

58. Records managers can only be effective through a close working relationship with other professionals, such as information technology professionals, librarians, lawyers, auditors, accountants, and senior management to develop interdisciplinary linkages. They must therefore establish, through effective service delivery, client relationships based on integrity, reliability, objectivity, and usefulness. Performing those duties requires the highest possible degree of professionalism.

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Foundation of financial accountability

Function/process Objective Resulting Records Planning & Budget

• Long term investment planning

• Fiscal planning • Annual budgets for capital, recurrent & revenu • Obtaining resources

Ascertaining policy objectives and needs for financial resour- ces, and the strategy for revenue and expenditure

Budget papers/files, estimates, draft budgets, reports on (non) tax revenu collections, fiscal plans, external economic reports, expenditure reviews, debt service projections records

Budget execution • Release of funds • Collection of revenues

Allocating funding to specific areas and items of expenditures; raising loans and acquisition of funding other that revenue; collecting of revenue and expen- diture of funding

Commitments: purchase orders, invoices, special (budget) war- rants, expenditure statements, periodical requests Debt management: loan agreements, ledgers, repayment schedules, debt service pro- jection, debt records Cash management: cash books, receipts, payment vouchers, bank statements, cash requirements forecasts

Accounting • Recording of financial transactions • Establishing an internal

control system (safeguar- ding)

• Providing financial and statistical data for reporting

• Documenting financial transactions including re- ceipts and payments

• Ensuring the proper conduct of financial activities in ac- cordance with established standards and procedures

• Providing financial and statistical information from analysis of financial transactions

• Recording: receipts, checks, payment vouchers, warrants, purchase orders, cash books, bank statements • Safeguarding: audit reports,

queries,operating procedures manual, civil service con- duct staff rules and proce- dures

• Analysis and reporting: ledgers, reports, statements, balance sheets, accounts

receivable and payable led- gers, fixed assets ledgers, central bank inflow cash reports, cost accounting reports, expenditure autho- rizations, inventory accounts

Auditing • Compliance audit • Value-for-money audit (efficiency, economy, and

effectiveness of the opera- rations)

•••• Certification audit

Monitoring, evaluating, verify- ing and reporting on the proces- ses, outcomes and value of finan- cial management functions and activities to support reliability of provided financial information, and future policy development and planning

Inspection reports, fiscal reports, audit queries, reports on follow-up actions

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Best Practices

Concept

59. “Best Practice” (indicated by the World Bank as “good practices”) is an important

concept that needs to be applied at every stage of information systems, from design, through procurement, implementation, documentation and operation. Best practices have learnt from lessons in implementing major ICT projects and other studies. In the past, much good practice remained locked within a single organization. Best practice embraces the requirement to use at all stages of development, implementation and operation of information systems methodologies and approaches that incorporate the best of cumulative experience. Under best practice, organizations will have documented methodologies, training and quality management procedures in place to ensure that information systems are developed and operated in accordance with the best current practices.

60. A definition of best practice could be “the consistent application by an

organization of proven methodologies in relation to system specification, definition, design, procurement, implementation and operation; incorporating risk, quality and configuration management, as well as documentation and training.”

61. In the UK, best practices in information systems for government are the

responsibility of a government agency, the Central Computer and Telecommunications Agency (CCTA). The CCTA publishes standards on, for example, systems development, project management, security and other areas. It also provides certification as a basis for training and indication of competence. Other governments and some large information system companies have developed their own best practice standards. These different standards tend to be substantially similar, and adoption of and experience with any of them will usually be an indication that best practice is being observed. Application of best practice would avoid many of the problems that beset computer systems, e.g. inappropriate technology, technology not related to user or system needs, ad hoc systems development, lack of documentation, weak management controls of systems, and so on. Therefore, in evaluating information systems, a question to be asked at every stage is “has best practice been applied?”

Generic examples

Human resources

Awareness • clarify the policy on human resource management as a basis for defining

information flows and appropriate control systems. Assessment

• assess the quality of the records available to support human resource and payroll management

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• identify training needs and develop training materials for managing human resources

Capacity building • ensure that automated human resource information systems remain complete

and up-to-date • design and implement a policy and procedures for paper-based personal files • integrate electronic and paper systems • introduce procedures for cross-verifying payroll and human resource data

against rcords held on paper-based files • design and implement effective procedures, draft relevant guidance materials

and train staff

Health Care Awareness

• facilitate a dialogue between health care managers, medical professionals and records and information specialists, on standards and objectives for records and information systems

• develop a medical records policy to ensure uniformity of practice across the health service

Assessment • assess the quality of health care information available

Capacity building • improve the organizational structure for managing records and information in

health care facilities • introduce systems for the creation, maintenance, accessibility, security,

retention and disposal of medical records • restructure paper-based record systems and introduce or extend automated

systems to meet the requirements of clinicians and health care manageres • make information more widely available through networked systems • advise on training needs and develop training materials and programs to staff

responsible for medical records and clinical coding

Land Management Assessment

• assess requirements for land information • identify existing data sources • define requirements for links between various data sources

Capacity building • design and implement enhancements for information flows • develop policies, procedures and systems for managing land records • define control documentation and document procedures in guidance materials • develop automated systems to manage land information, ensuring that the

source data will be available and that the system will be sustainable • support the integration of paper-based and electronic systems • build staff capacity to manage land information

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Best practices from countries in the Arab region

Lebanon

62. Civil Society groups such as in Lebanon have started a campaign to educate the public as well as inform the government of the need to liberalise. Governments in the region, under intense international scrutiny and pressure, are slowly working towards achieving some sort of open political system. The difficulty of adapting to this change can be seen as some countries slide back to censorship and control while trying to move forward to reform and public access.

63. In June 2000, the Lebanese government signed an agreement with the United

Nations Centre for International Crime Prevention in support of a national strategy to fight corruption. The US $300,000 project will take place over three years. A UN-commissioned report released in January 2001 estimated that the Lebanese State squanders over US $1.5 billion per year through pervasive corruption.

(Al-Safir (Lebanon), 24 June 2000. Middle East Intelligence Bulletin, February 2001) 64. A roundtable was organised in May 2001 to highlight the need for access to

information. This roundtable was the first event in Lebanon where the issue of access to information was dealt with. Salim Al-Azar, chairman of Lebanese Transparency Association (LTA) and former member of the Constitutional Council, emphasised the ability to pursue public documents as being the best way to expose governmental fraud. Several anti-corruption activists, including lawyers and academics, participated in the discussion and highlighted the obstacles citizens’ face when trying to examine public data. The discussion also included ways to safeguard the right to know by improving and implementing legislation. Ziad Baroud, Lebanese lawyer and member of LTA’s board, presented the current situation of information secrecy in Lebanon, and the way it prevents transparency and accountability.

65. The roundtable was followed by a project aiming at publishing a book on the

citizens’ right to access information. The book revolves around a document delineating the general principles of the public’s right to know, which was prepared by the British NGO Article 19. A workshop on Access to Information and Public Documents was held in March 2002 within the framework of this project. The workshop included the presentation of several papers, and a model Access to Information law, which was also prepared by Article 19.

Egypt

66. In May 2000, an Egyptian court convicted four Members of Parliament of

involvement in a multi-million dollar scandal, sentencing them to 15 years hard labour. This was the first case against sitting politicians ever prosecuted to the point of imprisonment and, since parliament is perceived as very corrupt, ordinary Egyptians welcomed it. But in a development that illustrated the difficulty of implementing sentences in politically sensitive cases, the High Court ordered they be released on bail and set a date for a re-trial.

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(Al Sharq Al Awsat (UK), 20 March 2001) 67. In May 2001, the Egyptian political scientist Saad el-Din Ibrahim was sentenced to

seven years imprisonment on charges that included embezzlement and receiving unauthorised funds from foreign donors. Twenty-seven of his colleagues were also sent to prison. Ibrahim was working on a project to monitor electoral fraud. Unfortunately several conditions come to the fore in situations like this. While championed by activists as the victim of a corrupt political system, his case was complicated by independent voices casting doubt about his integrity.

(Financial Times (UK), 30 May 2001. Al-Arab (UK), 7-8 December 2000)

Saudi Arabia 68. In Saudi Arabia the government has tentatively embarked on a reform Programme,

though civil liberties remain severely curtailed. In late 2000, a Family Council to oversee reform was established under the chairmanship of Crown Prince Emir Abdullah Ben Abdel Aziz and his deputy, Prince Sultan Ben Abdel Aziz. The step surprised observers both inside and outside the kingdom.

(Al-Jazeera (Qatar), 12 December 2000)

Iraq 69. News from Iraq and Libya, which suffer from international sanctions and crippling

economic embargoes, is particularly hard to obtain, though it is perceived that transparency and accountability are almost non existent in both countries. In May 2001 the Associated Press news agency reported a story based on official sources that President Saddam Hussein had expelled 100 top officials from the ruling Ba’ath party on charges of corruption and incompetence, but no further details were available.

Freedom of Expression

Arab Region 70. The biggest advantage of the information age is the access it has given to people

all over the globe, of differing points of view. Access to both satellite and the Internet has opened the doors to debate in regions where this was almost unheard of. Knowledge of Taliban Afghanistan, however scarce, whenever smuggled out, could be aired and viewed all over the planet, creating strong public opinion, mostly against the regime.

71. In the Middle East we have seen the birth of Al-Jazeera in Qatar. This not only

opened up the airwaves in the region, but created a second opinion during the

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Afghanistan conflict. Despite strong censorship requests by the US and UK viewers where given the benefit of using their own judgement to decide right from wrong. In the region it is one of the only free and fair mediums of information. Internet news, such as elsohof.com has also emerged, giving the ‘computer class’ access to information and an outlet to debate issues, usually left untouched.

72. “The Long and Winding Road”, an article by Anthony Löwstedt and Glenn

Leaper, in IPI World Press Freedom Review, tells us the following:

There was an increase in violence against journalists in the region; however, the media environment continued to open up particularly in the Persian Gulf states. The war between the USA and the Afghani Taliban regime, with its allied Al-Qaeda militia, involved two countries outside this region. Yet it often seemed as if the war really was about the Middle East. As examples, the suicide attackers of 11 September were all from the Middle East, Osama bin Laden is a Saudi fugitive and the leader of the suicide squads, Mohammed Atta, was an Egyptian. In fact, all of the alleged attackers were from Middle Eastern countries whose governments are supported, to a greater or lesser extent, by the USA and other Western powers. All of these Middle Eastern countries have governments that proffer little or no democracy, and which possess scant respect for human rights, including freedom of expression. The sole exception is possibly Lebanon, which is the country least dependent on the West, and perhaps the least undemocratic in the region. Nonetheless, Lebanon’s press freedom climate worsened considerably over the past year. 73. In Israel, Ariel Sharon started his premiership by taking an even harsher position against Palestinians than that of his predecessor, Ehud Barak. Israel allows almost complete impunity in the many cases of journalists and other civilians being shot, beaten and harassed by its soldiers. This has resulted in an avalanche of protests to Israel on press freedom issues, yet with little effect. In particular, Palestinian journalists were victimised and subjected to selective discrimination. Three Palestinian journalists were killed in the tragic and spiralling violence in the territories. Indeed, when compared with the previous year, the region witnessed a threefold increase in the number of journalists killed. Increased violence against journalists, more incarcerations of journalists and other kinds of legal action were in juxtaposition with the increasing openness in many countries in the region. Bahrain, Iran, Kuwait, the United Arab Emirates, Qatar and even Saudi Arabia are witnessing unprecedented progress with regard to freedom of expression. Much of it is dependent on the spread of the Internet and satellite television. Most of the governments in these countries have long realised there can be no return to their old restrictive practices. Gradually, they are accepting the new ways. These countries also realize they will garner greater influence over their subjects if the domestic mass media (which is readily accessible and more amenable to government control) triumphs over the transnational media giants. Iran’s reformist president, Mohammed Khatami, referred to this explicitly when trying to protect his country’s independent media from the assaults of hardliners. In the case of Iran, conservative hardliners continued their suppression of

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journalists, ensuring it had the largest number of jailed media workers in the world. Khatami and his liberal followers, on the other hand, won a second overwhelming election victory. This and the incredible courage of scores of journalists, such as Akbar Ganji or Hamid Kaviani – some risking death for what they write – has produced a stalemate between reformers and hardliners; the latter led by the de facto head of government, Supreme Leader Ayatollah Ali Khameini, and his notorious Revolutionary Guards. One might conceivably trace a link between the escalation of violence and the gradual economic and political liberalisation which the majority of the countries in the region are experiencing. From this, it may be inferred that the increasing availability of information in areas previously labouring under restrictive practices invokes the unfortunate, albeit natural, side-effect of anger. An anger manifested in the response to information, which induces the spurt of initial violence monitored this year. It is hoped that this outburst will be confined to the initial stages and that public reaction to information will be more measured once freedom of expression has taken root.

74. Another group of countries remains enmeshed in traditional ways. As usual, Libya

and Iraq are brief entries in this year’s World Press Freedom Review because there have been few developments. Political insulation ensures that information is extremely difficult to access; censorship and self-censorship are commonplace and render further violence and legal action against journalists superfluous. The governments of Syria and Tunisia profess greater openness, but it is misleading and both countries are engaged in the suppression of its media. Indeed, the oppression of indigenous journalists and media continued unabated this year. After a tentative opening in Syria, including the launch of the first privately-owned newspapers in 40 years, the authorities appeared frightened and clamped down on the media and their political opponents. They introduced press licensing which amounts to censorship and held on to the state broadcasting monopoly. The politically orchestrated and cowardly persecution of the family of the exiled journalist, Nizar Nayyouf, reveals how little human rights mean to the Syrian political elites. Parallel harassment by the Tunisian authorities of the family members of the brave brothers and journalists, Taufik Ben Brik and Jalel Zoghlami, also points to serious shortcomings in the rule of law in this country. The same can be said of the Palestinian Authority and Egypt, who continue to criminalise journalists or media who try to report on events that the elites do not consider to be newsworthy. Furthermore, these groups attempt to prevent coverage of news perceived as dangerous to their interests. In Algeria, a similar situation applies and it is further compounded by economic pressures being exerted on the independent media by the authorities. Oman also showed no essential changes. Sudan, on the other hand, by removing pre-publication censorship, improved considerably, but, more arbitrary harassment of journalists increased. In Yemen, legal pressure on the media intensified and led to the imprisonment of a number of critical journalists. Along with many other countries in the region and around the world, Jordan introduced new legal restrictions on the media in the name of combating terrorism. As a result, a promising trend in that country, starting in 1999, was broken. Today the Middle East and North Africa are at a historic crossroads. If the West continues to support undemocratic regimes for short-term goals, resistance to oppression is likely to end up as Muslim militancy. That is

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already the case in Algeria, Palestine and Egypt, where legitimate concerns for basic human rights are being both safe-guarded and hi-jacked by fundamentalist groups. More than ever before, it is now imperative that human rights in the region are prioritised, especially over strategic and business interests. Some Middle Eastern governments have started to allow greater press freedom and it is essential that they are supported and encouraged in this endeavour. But many countries continue to have a long and winding road ahead.

Asia

75. Even countries with a free press have Internet and satellite alternatives playing a

vital role in access to information. In India, tehelka.com created an uproar in 2001 by secretly filming senior defence officials accepting bribes for contracts. Even in China, we see the Inside China Today give Internet users access to news on China which was very difficult to access in the past.

USA and United Kingdom 76. In their article “The Best Answer to Terrorists: the Trick of Truth", James H.

Ottaway, Jr. and Ronald Koven from The World Press Freedom Committee, give us the following review:

You could have bet on it. Dictators and authoritarians all over the world used the excuse of the need to fight back against terrorism after the horrendous attacks of September 11 to try to limit freedoms of all kinds that stand in the way of full control over their countries. Just as predictably, one of the first liberties to come under fire was freedom of the press. Even governments of great democracies like the United States and Great Britain urged the press to refrain from broadcasting or printing the self-justifying messages of Osama bin Laden and his collaborators. Such calls for self-censorship were greeted with ironic satisfaction by spokesmen for governments like Singapore that are veterans at press control. Singapore's UN delegate praised the White House's exercise of what he called "healthy guided censorship" in National Security Advisor Condoleeza Rice's call on October 10 for US television networks to refrain from rebroadcasting statements by Osama bin Laden. The Washington Post noted editorially a Russian reporter's question to US President George W. Bush about "why he still bothered to express concern about media freedom in Russia, now that he was trying to curtail the flow of information himself." The pressures on the press after September 11 were renewed proof that virtually any government will, under the right circumstances, try to limit free speech from a narrow view of self-interest - at the expense of such a government’s own credibility. This press controller approach is counterproductive. The democratic faith holds that citizens must be informed, even of unpleasant realities, to make mature judgments. Afghanistan's Taliban government, allied to bin Laden, showed how much it feared independent journalism by barring almost all foreign correspondents and by arresting and threatening with dire consequences those journalists who tried to slip into the areas it controlled. We believe that citizens need to see and hear all of an Osama bin Laden's rantings and ravings.

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That goes for the dictators in power, too. A free press holding them up to the light exposes their real natures, and their irrationality. This also forces the confrontation of ideas, opinions and facts in open public debate. As always, the true remedy to bad speech is more speech. Most of the world's democratic press reacted to pressures to conform after September 11 with healthy demonstrations of independence. The Los Angeles Times editorialized October 12: "For all the risks a free press poses, stifling the media is more dangerous still. Information is what allows people to make solid decisions." The nine-member Coordinating Committee of Press Freedom Organizations adopted a resolution September 21: "The evil that terrorism represents will best be defeated by full public exposure. Censorship, restriction on the movement of journalists, and limitations on news content can interfere with this necessary public exposure." The three main British TV networks answered a request from Alistair Campbell, Prime Minister Tony Blair's director of communications, not to transmit bin Laden statements by saying they would maintain their independence of editorial judgment. Richard Sambrook, the BBC's head of news, recalled the ridicule to which the British government exposed itself when former Prime Minister Margaret Thatcher imposed rules against the voices of Irish Republican Army spokesmen being broadcast directly. Broadcasters skirted that censorship by having actors read out the words of the militants, to match pictures of the original speakers. The Bush Administration showed that it apparently learned some lessons after it was rebuffed by the ruler of the Gulf Emirate of Qatar, home of the independent Arabic-language al-Jazeera TV satellite network. The U.S. State Department had asked the Emir to press the company to stop broadcasting its world scoops in the form of statements by bin Laden. After the Emir's refusal, the U.S. Administration came up with a much better solution. It provided Arab audiences with public condemnation of bad ideas by making high-level interviewees, including Condoleeza Rice and particularly effective Arab-speaking diplomats, available to present the U.S. side to the station's far-flung Arab viewers. Concerns about preserving press freedom have hardly been limited to the press itself. UNESCO Director General Koichiro Matsuura addressed the Executive Board of the International Press Institute October 20 to stress the need to avoid using the campaign against international terrorism as a pretext to limit free speech and press freedom: "[My] concern [is] that freedom of expression, media freedom and democratic processes risk being caught in the cross-fire between transnational terrorism and the search for security. The context in which UNESCO's Constitution was formulated offers some useful lessons in this regard. UNESCO’s founders recognized that Nazism had transformed the media into an instrument of political control, racist ideology and hate-mongering. They placed their faith in completely untrammeled freedom of expression and the free flow of information. UNESCO's founders, in effect, were convinced that in the long run such freedoms are the best defense against racism and prejudice. ... "I emphatically reject the view that to obtain security, we must abandon our freedoms. Anxieties induced by terrorist threats may lead to laws and regulations which may undermine the very rights and freedoms that the anti-terrorism campaign is supposed to defend."

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Recommendations

Charter for a Free Press 77. A free press means a free people. To this end, the following principles, basic to an

unfettered flow of news and information both within and across national borders, deserve the support of all those pledged to advance and protect democratic institutions.

• Censorship, direct or indirect, is unacceptable; thus laws and practices restricting

the right of the news media freely to gather and distribute information must be abolished, and government authorities, national or local, must not interfere with the content of print or broadcast news, or restrict access to any news source;

• Independent news media, both print and broadcast, must be allowed to emerge and operate freely in all countries;

• There must be no discrimination by governments in their treatment, economic or otherwise, of the news media within a country. In those countries where government media also exist, the independent media must have the same free access as the official media have to all material and facilities necessary to their publishing or broadcasting operations;

• States must not restrict access to newsprint, printing facilities and distribution systems, operation of news agencies, and availability of broadcast frequencies and facilities;

• Legal, technical and tariff practices by communications authorities which inhibit the distribution of news and restrict the flow of information are condemned;

• Government media must enjoy editorial independence and be open to a diversity of viewpoints. This should be affirmed in both law and practice:

• There should be unrestricted access by the print and broadcast media within a country to outside news and information services, and the public should enjoy similar freedom to receive foreign publications and foreign broadcasts without interference;

• National frontiers must be open to foreign journalists. Quotas must not apply, and applications for visas, press credentials and other documentation requisite for their work should be approved promptly. Foreign journalists should be allowed to travel freely within a country and have access to both official and unofficial news sources, and be allowed to import and export freely all necessary professional materials and equipment;

• Restrictions on the free entry to the field of journalism or over its practice, through licensing or other certification procedures, must be eliminated;

• Journalists, like all citizens, must be secure in their persons and be given full protection of law. Journalists working in war zones are recognized as civilians enjoying all rights and immunities accorded to other civilians.

Create awareness

• create a dialogue between government, civil society and the media about access to

information

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• educate citizens about what information is available, and how to obtain it, as well as about what is not available and why not

• sensitize government officials about the importance of well-managed and accessible information

Conduct an assessment

• assess, measure and evaluate the existing provisions and capacity of records systems to meet citizen’s requirements

• develop a policy for the management of electronic records; in addition, establish a legislative and regulatory framework for managing electronic records (e.g. to ensure legal value)

• identify linkages and information flows between paper-based and computerized parts of financial systems

• identify records and information needs at the regional and local level in addition to establishing and maintaining policies and procedures at the regional and local level

Build capacity including clean up

• design systems to organize and control current records and information, and

introduce programs to ensure that the infrastructure is in place (see below) • process large backlogs of disorganized records to allow for the introduction of new

systems • revise financial orders, accounting manuals and disposal schedules to take account

of new procedures and information requirements • develop and implement systems for managing semi-current records including

defining retention requirements (see below) • improve systems for managing archives as a permanent record of national

development (see below) • develop plans for protecting of vital records and archives in the event of a disaster

or emergency • harmonize freedom of information and public records legislation • design and support the construction of effective storage facilities • establish training needs and develop training materials and programs

Establish an electronic document management systems 78. or EDMS, that are used to manage the storage and retrieval of electronic

information do not capture the administrative context and usually fail to record the connection between information and actions. Relying on EDMS is risky because of its lack of evidential value. The problems involved in maintaining control of electronic evidence over time are compounded by the fact that the computer industry tends to focus on short-term objectives. The rapid obsolescence of equipment and software application is taken for granted. In the past this was a relatively limited problem because computers were used to automate numerical transactions such as payroll and accounting functions. Data from these

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applications are relatively easy to migrate to new systems. Moreover, the records that these systems generate are usually required for relatively short periods of time. Computerization is now moving into areas where this is no longer the case.

Develop a framework for managing paper-based and electronic records 79. Many government agencies lack the expertise and resources to manage the records

generated by computerized systems. Many senior officials, legal experts, auditors and accountants are still unaware of the issues involved and of the operational, legal and accountability implications and risks involved in capturing and managing records electronically. A framework for managing paper and electronic records is needed. The lack of a clearly recognized body of regulations, practices, policies and procedures for managing records as evidence, in paper or electronic form, must be addressed if the accountability movement is to succeed. While the preparation of international accounting and auditing standards is well underway, the records management profession must receive the same attention as part of an overall accountability framework. Work is needed to ensure that there is agreement on the target elements and core requirements for record keeping in a mixed paper/electronic environment in support of the evidentiary requirements of governments and citizens. This should include defining best practices for creating, maintaining and verifying records as evidence for accountability; ensuring that adequate training is available; and developing means of evaluating and testing records and records systems for best practice and corruption risk.

80. A framework for managing records, paper and electronic, as evidence for

accountability, will provide a basis upon which accounting systems, external audit and performance appraisal can be built. It will, in addition, underpin the key accountability objectives of strengthening the rule of law and enhancing the delivery of services to citizens. Most significantly, it will enable citizens to hold governments accountable for their actions on the basis of reliable evidence.

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Annex 1

Do the Arab countries have constitutional, transparent, accountable and participatory forms of governance ?

81. As a clear directive in the Quran, knowledge, information and the access to it, is

one’s right as well as one’s duty:

“O men! Behold, We have created you all out of a male and a female, and have made you into nations and tribes, so that you might come to know one another. Verily, the noblest of you in the sight of God is the one who is most deeply conscious of Him. Behold, God is all-knowing, all aware.“

(Al Qur'an, Al-Hujurat 49:13) 82. Traditionally, the Arab world has been wary of introducing ‘western’ governance

reforms, content with their own interpretations of Islam and its form of governance; however, Islamic Governance has very clear guidelines of participation, democracy and accountability. In reality, though, they have relied more on tribal governance and its absolute control on the population. Pockets of wealth and power in the midst of deprivation, poverty and an unbalanced partnership between the state and the people is leading to a quiet movement for change taking root in the Arab region. Civil society, the media and different international players as well as events have accelerated this process slightly.

83. Shafeeq Ghabra, a professor of Political Science at the University of Kuwait sums

it up: “While definitions will vary, the term "democracy" minimally presupposes three essential elements: transparency, accountability, and equality. Transparency denotes free access to governmental political and economic activities and decisions. Accountability entails a state being held responsible, by both its people and its elected bodies, for its choices and actions. And the concept of equality incorporates citizens being treated equally under the law, as well as some degree of equal political participation among them in their own governance. Calls for transparency, accountability, and equality have emerged in the Arab world, with citizens summoning their governments to reveal their incomes and expenditures, as well as strategies and ambitions. Among the instruments of promoting greater degrees of transparency and accountability are a free media and either a parliament or a consultative assembly. The methods established for obtaining equality include insistence on the rule of law and a vote for each and every citizen, including women.”

84. It is still necessary, though, to accept that this region is heavily influenced by

Islamic law, however secular, the governments are perceived to be. We have seen that in the case of Syria, Iraq, Jordan, Lebanon and several other nations where Islamic laws of Governance are traditional and cultural rather than solely religious laws. It has therefore allowed vested interests to formulate laws to appease the more fundamentalist and permit the authoritarian rulers to maintain a status quo in terms of governance.

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85. So while it is important for many different players to come together in accelerating

the promotion of change in the region, researching and propagating Islamic Governance are both crucial and necessary. This will ensure that immediate change is not just a ‘fire-fighting’ exercise but a long-term strategy for change acceptable to the people as well as the political and religious leadership. Islam has clear-cut definitions of participation thus strengthening the call for greater accountability and transparency.

Islamic law is based upon five factors: a. The Quran, which the Muslim believes is the word of God, b. Example (Sunnah) and saying (Ahadeeth) of prophet Mohammad, c. Consensus among the learned (Ijmah), d. Logical deduction and e. Individual reasoning (Ijtihaad) or common sense.

86. Islamic government is essentially a "constitutional" government, where

constitution represents the agreement of the governed to govern by a defined and agreed upon framework of rights and duties. For Muslims, the source of the constitution, as mentioned earlier, is the Quran, the Sunnah, and anything deemed relevant, effective, but not inconsistent with Islam. No authority, except the governed, has the right to put away (abrogate) or change such a constitution.

87. An Islamic political system is participatory. From establishing the institutional

structure of governance to operating it, the system is participatory. It means that the leadership and the policies will be conducted on the basis of full, gender-neutral participation of the governed through a popular electoral process. Muslims can use their creativity using the Islamic guidelines and human experience to date to institute, and continuously refine, their processes. This participatory aspect is the Islamic process of Shura.

88. This is an essential corollary to a constitutional/participatory system. The

leadership and the holders of authority are accountable to people within an Islamic framework. Islamic framework here means that all Muslims are accountable to Allah and his divine guidance. But that is more in a theological sense. The practical accountability relates to people. Thus, the Khulafa ar-Rashidoon was both Khalifatur Rasool (representative of the prophet) as well as Khalifatul Muslimeen (representative of the Muslims). What happens when the society and leadership face a conflict ? For example, if the majority of the society does not want to uphold Islam, the leadership cannot coerce the society into what it does not want. Coercion never delivers sustainable results, and the foundation of Islam cannot be based on coercion.

89. Islam is incompatible with monarchy, military rule, dictatorship, or any other type

of authoritarian political system. Islam envisions a constitutional, participatory, and accountable system of governance. This is the Islamic concept of Khilafat. Better understanding and appreciation of this would be beneficent to all sides.

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90. With globalisation even the most cushioned of the oil rich Arab Nations are looking towards foreign investment to boost their economies. The lack of accountability and transparency has led to widespread allegations of corruption, mismanagement and fraud, thus hampering economic development in the region. But the rhetoric of change is sweeping the region, accompanied by the emergence of electronic media that foster increased transparency. Governments’ control of information and the pace of change are growing less sure. Even though access to information seems to be very low in the list of priorities for the region, with very few exceptions, countering corruption, mismanagement and fraud has forced almost all the countries in the region to work towards an acceptable level of transparency and accountability. Of course, the degree of commitment to change varies from nation to nation. But that the entire region is responding to the need to enter the mainstream of acceptable governance practices is a positive step. Much needs to be done to convince both, foreign investors as well as the local population that many of these countries are committed to not just ‘acceptable limits of governance’ but eventually to ‘good governance’.

(Imran Ahmad, The Hague, Netherlands)1

1 Imran Ahmad of TagG (Transparency, Accountability and good Governance) is working towards establishing an International Center for Islamic Governance, to research as well as to consolidate existing work on the issue. The Center would develop educational and other tools for use in both MMCs (Muslim Majority Countries) and MMinCs (Muslim Minority Countries)

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Annex 2

Legal and Regulatory Framework 91. Organizations are required by law to create and maintain records for the purposes

of financial accountability in the form of statutes or case law. Legislation may be supplemented by more detailed regulations. This applies to both the public and private sectors, but the legal requirements for the public sector are generally more stringent, reflecting the greater need for ensuring public accountability.

92. Most countries have legislation that defines official or public records and

establishes agencies (National Archives, National Records Service) responsible for overseeing implementation of its provisions. Typically it will require that records of permanent value be transferred to a place of deposit (usually a public archives) where records are made available for public inspection under certain conditions and safeguards.

93. Legislation should authorize the destruction of records when an audit is no longer

required for administrative purposes. Destruction must be carried out in an authorized environment and a record of the destruction maintained.

94. The associated risks of ensuing litigation and regulation must be managed

carefully. Even if it does not eliminate risk, gaining systematic control over records can significantly reduce exposure. An effective records management program will compile relevant legislation (including case law) and regulations, including actual citations and record series specifically referred to in the text. The program must also take into account Rules of Evidence, including those governing the admissibility of computerized or electronic information.

Typical legislation and regulations for the public sector may include such publications as: • Public Records Legislation • Finance and Audit Legislation • Freedom of Information Legislation • Data Protection Legislation • Privacy Legislation • Statute of Limitations • Financial Instructions • Accounting Manual • Auditing Manual Typical legislation and regulations for the private sector may include such publications as: • Companies Legislation • Data Protection Legislation • Privacy Legislation • Investment Legislation • Statute of Limitations

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• Industry Specific Legislation (including Banking Legislation) • Intellectual Property Legislation • Financial Instructions • Accounting Manual • Auditing Manual

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References -UNDP/BDP/IDG: Country Assessment in Accountability and Transparency (CONTACT), August, 2001; -Journal of Research Methodology and African Studies, 1997 volume 2 no 1; -OECD/PUMA: Citizens as Partners, July 2001 (Policy Brief); -IRMT (International Records Management Trust, London): articles on Information for Good Governance, August, 2001; -IRMT: From Accounting to Accountability, an interactive forum discussion on the Internet, 2000 -Various publications, authors, journalists, etc. as indicated in the relevant paragraphs, such as IPI World Press Freedom Review, World Press Freedom Committee, etc.