Records Management Journal

Towards a theoretical construct for records management

Zawiyah M. YusofRobert W. Chell
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Zawiyah M. YusofRobert W. Chell, (2002),"Towards a theoretical construct for records management", Records Management
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Towards a theoretical
construct for records
management
Zawiyah M. Yusof and
Robert W. Chell
Introduction
Records management (RM) experts continue
to debate the theoretical issues underlying
their practices. On one hand, the literature of
RM suggests that the development of the
discipline has not been based on a discrete
theoretical foundation; rather it is based on
borrowed or applied theories from cognate
disciplines such as archive administration,
information science and management and
from the pragmatism of evolving practice.
From the findings of a survey of RM
courses worldwide by these authors[1] it
appears that the subject of RM has been
influenced by several streams of thought. It is
this diversity in the perceptions of the subject
that implies that RM lacks its own theoretical
basis, as well as the fact that it is a relatively
new subset of the information disciplines
when compared to archives and library
science. Cox (1995) suggests that
. . . the field is under-developed when theory is
concerned and . . . records management
textbooks reflect a limited body of knowledge
about the nature, theory and practice of records
management. Most records management writing
has been limited to textbooks for education and
for the dissemination of information about the
parameters of the field.
On the other hand, Pemberton et al. (1994)
argue that ``records management has evolved
around a specific body of knowledge which is
generally contained in textbooks''. Walters
(1995) is of the same opinion, admitting that
records management:
. . . has a base of theoretical knowledge that
informs the work of records managers. Records
management as a discipline is strongly supported
by the existence of its own theory. . . . the claim
that records management is lacking of theoretical
support is based on misunderstanding of the
disciplinary nature of the profession. The
discipline of a profession means that it has a
body of theoretical knowledge that informs the
methods and practices of its members.
Brumm (1992) goes on to suggest that:
. . . records management includes knowledge,
and if anything, it suffers from multiple theory
disorder, since it encompasses knowledge of
theories of information uses and users, concepts
of information search and retrieval, and
knowledge of the information life cycle theory
interwoven with theories of management . . .
problems arise when information professionals
seem not to understand the disciplinary nature of
their professions and that this can lead to the
misunderstanding of records management[2].
This misunderstanding may arise, as
Buckland (1990) suggests, as the result of:
The authors
Zawiyah M. Yusof is a Lecturer in the Department of
Information Science, Universiti Kebangsaan Malaysia.
Robert W. Chell is Principal Archivist, West Glamorgan
Archive Service, Swansea, UK.
Keywords
Records management, Organization and methods,
Discipline
Abstract
Records managers often complain that records
management is undervalued, suffers from the influence of
irrelevant traditional concepts, and is therefore
theoretically flawed. The findings of several surveys attest
to this situation, but do not explain the many reasons that
contribute to the lack of understanding and acceptance of
records management as a separate discipline. For any
field or discipline to be accepted, it must possess a strong
foundation in theory. This article will examine whether
there is an accepted body of theory underlying records
management methods and practices. An attempt is made
to develop a conceptual model that the authors believe
records managers need in order to explain the present
``state of the art'' of the discipline and justify their
contribution to the management of organisations.
Electronic access
The research register for this journal is available at
http://www.emeraldinsight.com/researchregisters
The current issue and full text archive of this journal is
available at
http://www.emeraldinsight.com/0956-5698.htm
55
Records Management Journal
Volume 12
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Number 2
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2002
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pp. 5564
# MCB UP Limited
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ISSN 0956-5698
DOI 10.1108/09565690210442926
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a body of records management theory
that has not yet been well-formulated;
.
parts of this theory are and will
increasingly be shared with other fields;
and
.
much of it is not yet properly recognised
as theory.
These remarks appear to reflect the situation
in RM education and training. There is as yet
no standard format in course content, and no
standard guide to RM training, as discovered
by Thurston (1992).
The problem faced by RM in acquiring its
own theory could be the result of two factors.
First, it is a professional practice and thus
tends to emphasise the practical over the
hypothetical (Dearstyne, 1993). Second, it is
clearly still evolving; (Robek et al., 1987).
In seeking to acquire a theoretical
foundation, records managers seem to wish to
identify a theory that is ``unique'' to their
occupation. Daniels and Walch (1984) affirm
that:
Records management . . . is part intellectual
discipline and part applied science . . .
[Practitioners] base their actions and judgements
on a framework of ideas. Yet within this
framework they apply concepts to their practice.
For a considerable time, RM has been closely
associated with archives, and this remains
valid even in studies of the future of RM. The
University of British Columbia (UBC)
project, The Preservation of the Integrity of
Electronic Records affirms the influence of
archives in records management, and the
archives influence in records management
remains evident in the work of the Edith
Cowan University project where ``the basic
principles of recordkeeping and archive
management continue to be a sound
framework for electronic records
management'' (Erlandsson, 1997).
However, RM distinguishes itself from
archives as a result of the need to respond to
the management of active records.
Consequently, RM has become increasingly
identified as an administrative tool, vital to
the efficiency of organisational management.
Indeed, many organisations adopt RM
practices simply to eliminate problems caused
by the inefficient and unsystematic
management of their records.
As RM has developed, it has also
incorporated principles integral to
information science, as ``the means of
processing information for optimum
accessibility and usability, . . . concerned with
the origination, collection, organisation,
storage, retrieval, interpretation,
transmission, transformation, and utilisation
of information'' (Vakkari and Cronin, 1992).
Such principles are adopted by records
managers in seeking to enhance the access
and use of records.
These principles and techniques extend to
the area of management information systems
methodology, where ``the effective
production, storage, retrieval and
dissemination of information in any format
and on any medium to support business
objectives'' (Touche Ross, 1994) is the focus.
Organisations need an approach to help them
identify clearly the internal sources of data
(the records) in contrast to the external
sources of data (information) (Keary, 1997).
This helps them to create a greater awareness
of what is available; where it is held; how to
match information to needs and what
information can be used to add new value for
the customer. Information management, for
that matter, is a methodology for identifying
all existing information resources within an
organisation, providing data to enable the
assessment of available sources, and to help
prioritise decisions for better delivery,
improved organisation and accessibility of
that information. Moreover, information
management can also be used to help
organisations to identify their own core
business and the sources of information
needed to support such activities. This will
then alert managers to the amount of
internally generated information that exists
and its potential for further use an often-
heard cry from hard-pressed records
managers.
The largely pragmatic way in which records
managers have adopted these principles
should not distract from the contribution that
each has made, and continues to make, to the
theoretical basis of RM. In many
organisations, the services of information in
general and RM are complementary.
Together they fulfil the information needs of
the organisation.
Current debates in RM
New arguments have been injected into the
field of RM as the impact of technology on
the subject has grown. The repercussions are
immense. The inappropriateness of the
approaches and concepts used in paper-based
RM systems to the electronic environment
has been discussed extensively. Projects have
56
Towards a theoretical construct for records management
Zawiyah M. Yusof and Robert W. Chell
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been carried out to define new approaches to
records management. The University of
Pittsburgh Recordkeeping Functional
Requirements Project was set up to seek a
new definition of records (Cox, 1995). From
the ICT viewpoint, only records that have a
functional role in the organisation qualify to
be called records. Others that do not have
such a role should be discarded.
Consequently, some Australian archivists
argue that electronic records do not have a life
cycle equal to that of records in paper form.
To them the concept of the life cycle is too
limited to cater for technology generated
records. They have argued that the concept of
the life cycle should be replaced by a records
continuum, and their verdict on the life cycle
and the emergence of agreement of the
concept of the continuum have been
considered as a basis for acquiring a new
framework for RM theory.
A new framework for RM theory
The authors have attempted to construct a
model for the current status of RM on the
basis of this argument. As pointed out above,
RM has, in the past, been formed on a
framework of two relevant bodies of
knowledge. One views RM as a management
technique (under the umbrella of RIM),
whilst the other is influenced by the archival
point of view. These conceptual frameworks
are well defined and continue to underlie
present RM practice.
However, it is clear that such a framework
needs some modification where RM is
confronted with issues brought about by the
use of ICT. Records managers are no longer
isolated from the advent of technology. In
practice they are already reviewing their
methods and principles to accommodate such
changes, in the same sort of pragmatic way
that they have done so in the past.
Figure 1 illustrates how RM fits into one
pre-determined theoretical model. Figure 1
follows the claim made by Cook (1993) that
the RM service has a place alongside other
information services, distinguished by the
nature of the materials on which the
organisation concentrates, and by the kind of
user service offered. This model is then used
in the construction of a new conceptual
framework that underpins the theories of RM,
as illustrated in Figure 2.
Figure 2 has several purposes. First, it
illustrates a new proposed model, which
reflects the present state of RM. The
inclusion of information systems had been
suggested by Mellody (1992) in that the
theory of information systems is as fully
applicable to RM as it is to information
science itself. This view also appears to be
supported by Hannabus (1995) who
concludes that theory may be imported from
one discipline to another.
Second, Fgure 2 concludes that RM is
based upon a body of theory that has resulted
in a set of principles or applications. This
conclusion is based on the definition of theory
by Weihrich and Koontz (1993) that theory is
a systematic grouping of interdependent
concepts and principles that gives a
framework to, or ties together, a significant
area of knowledge. Furthermore, according to
Jenkinson (1965), principles that become a
set of rules are the theories that are universally
applicable to archives or RM work. These
principles or applications have been widely
agreed, and are realised in working practice.
However, the advent of new technologies is
having an impact on RM practice. As such,
the structures of theories that underlie it need
to be modified. As Cook (1993) says, the
theory of a professional is not or should not be
rigid and narrowing. Instead it should provide
the guidelines on which future development
and change will be based.
Third, Figure 2 reflects the current practice
of RM. The influence of ICT is unavoidable.
The discipline has to recognise the rapid
changes in technology, but equally, this does
not mean that the discipline will have to
abandon its strong roots in archives, since
part of the ultimate aim in retaining records is
as historical evidence. Technology will not
deny the historical function of records;
instead it enhances the role of evidence. This
is perhaps the most distinctive feature of
records, and of the function of RM.
It therefore can be argued that a truly
comprehensive theory of RM derives from the
amalgamation of three areas of knowledge.
The theory and practices of records
management continue to be framed by a
chain of similar factors, which apply equally
to the practical and the theoretical sides of the
discipline.
Figure 2 also illustrates that, whilst these
three areas of knowledge are helping to shape
and direct RM, the accepted principles
supporting the practice fit both paper-based
records and electronic records. But the model
encapsulated in Figure 2 needs further
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elaboration to provide a clearer picture of
what RM is all about.
This requires the construction of Figure 3
within which the traditional understanding of
RM is visualised. This Figure elaborates the
fact that paper records management has
developed from archives, to IT, through
management. But the management of records
created and held in IT systems adds a
tremendous challenge. Many of the
conceptual issues need to be re-addressed,
since several concepts established for paper-
based records are inappropriate for electronic
records.
Figure 4 illustrates a ``life cycle view'' of the
continuum of electronic records. Figure 4
shows the activities that are shared among the
three areas of knowledge discussed above. In
the continuum, the appraisal of records
(represented by A in Figure 4) can be
implemented at any stage, from the
pre-creation, through records at the
utilisation stage, to their transfer to the
archive, and finally during the archival stage.
It indicates that, in practice, the ``stages'' are
overlapping and interwoven. Figures 3, 4 and
5 must be viewed together to form one single
linear projection, representing a coherent
whole of RM. They should not be regarded as
separate entities. The three figures are
simplified in Figure 6.
In the model, the term ``transactional'' is
used to refer to the state of records in an
electronic environment where records (or
rather the data comprising records) are ever in
a state of being manipulated, stored,
transacted and migrated as the result of
software and hardware control. In the
Figure 1 Looking for compliant theories of records management
58
Towards a theoretical construct for records management
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Figure 2 Three areas of knowledge underlying records management
Figure 3 The traditional understanding of records management
59
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traditional setting, electronic records are
perhaps perceived as records held in a
medium other than paper, such as magnetic
tape or optical disk. But this is an inaccurate
perception. Electronic records per se involve
many more complex issues of definition and
function. The term transactional in our model
is open to debate.
Figure 6 illustrates the concept of the
records continuum. The continuum has no
definite end point in the electronic
environment. Electronic ``records'' will need
to be regularly migrated to new hardware,
software and media (in accordance with
retention requirements) since succeeding
generations of both hardware and software
are relatively short-lived (perhaps less than
five years).
The concept of the records continuum is
closely associated with Australia, where the
concept was central to the establishment of
the Australian standard AS4390.1 (SAA,
1996). The continuum is defined as:
The whole extent of a record's existence. Refers
to a consistent and coherent regime of
management processes from the time of the
creation of records (and before creation, in the
design of recordkeeping systems), through to the
preservation and use of records as archives.
In the continuum approach, all facets of a
recordkeeping environment (current and
non-current records) are managed as an
Figure 5 The life cycle/continuum of electronic records
Figure 4 The records continuum
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integrated or single logical entity, rather than
as discrete parts which will never meet
(Pember, 1998) The concept was formed as
the result of the situation where electronic
records have lost physicality. McKemmish
(1993) asserts that:
. . . the loss of physicality that occurs when
records are held electronically is forcing
archivists to reassess basic understanding about
the nature of the records of social and
organisational activity, and their qualities as
evidence. Even when they are captured in a
medium that can be felt and touched, records as
conceptual constructs do not coincide with
records as physical objects. Physical ordering
and placement of such records captures a view of
their contextual and documentary relationships,
but cannot present multiple views of what is a
complex reality.
The management of electronic records poses
many challenges. One of the biggest
challenges is the ability to anticipate future
developments in technology. Records
managers need to be far sighted enough to be
able to decide what hardware, software,
storage media and documentation techniques
need to be employed in preserving records.
Media and format should not hinder access to
the records. The solution to this problem, as
suggested by Bearman (1993), is that
standards must be established for intellectual
control and documentation that rise above
software dependent norms. In addition, the
value of an electronic record should be
identified before a record is created. This
means that records having enduring value as
archives will need to be identified even before
the moment of their creation. Erlandsson
(1997) refers this to as the pre-creation or
conception stage. Failure to identify records
in this way means that records may not
survive. Thus, unlike paper records where
preservation is often considered at the end of
the life cycle, the decision to preserve
electronic records occurs before the record is
created.
The nature of electronic records also
demands that records managers must be
involved in the design of systems for the
creation, use, and preservation of records
produced by computers. Cox, through
functional requirements analysis, defines only
those records that are the product of a
transaction as qualifying records. This means
that it is vital to determine what function
these records document. The ability to
Figure 6 The simplified true records continuum (consists of Figures 3, 4, and 5)
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identify the function of the record is
important, so that only those records that
document business transactions are created
and maintained in the electronic
environment. This implies that an appraisal
process has been applied.
Figure 4 also elaborates the fact that
appraisal of records must start as early as at
their pre-creation stage. This is to avoid the
accumulation of unnecessary documents.
Decisions must be made as to what media and
what purpose records have in order for them
to be created. Those records that are required
to fulfil several functional requirements will
have to be organised to ease access. Indexing
is therefore essential to ensure access to these
records.
In order to counteract the effects of
hardware changes, records will have to be
migrated from one system to another, in order
to continue to be accessible and of use. As
records cease to be active, they will have to be
transferred to inactive storage. This process
involves the migration of records, probably to
different media, or to different systems. At
this point, records should be appraised again
so that only ``qualifying'' records for specific
compliance are retained. Although RM
control might be said to terminate at this stage
(after which records are under archival
control), nevertheless the appraisal process
will have to continue in the archives.
The model covers both paper-based and
electronic RM. The model suggests that the
components of paper-based RM should not
be ignored when considering electronic RM,
although the concept of the life cycle is likely
to be replaced with the concept of a records
continuum. The consolidation of both paper-
based and electronic RM principles is
unavoidable; indeed, they complement each
other. Thus the model suggests that RM
today should consist of the principles of both
record environments. Eliminating the
traditional environment would invite failure,
while avoiding technology would hinder
efficiency and effectiveness.
Indeed, most records exist in hybrid
systems that are a mix of physical and
transactional records or data. Introducing
RM through a paper-based RM programme
can be very helpful as a starting point,
following the model given in Figure 3.
However, the implementation of a paper-
based RM programme should only be seen as
one component of the RM system as a
whole[3]. Understanding how traditional RM
programmes work will help in understanding
the concepts and principles of RM. In these
systems, controls are largely physical, since
they are dealing with the physical entities of
paper records, and pragmatic. In the
electronic environment, the controls are more
intellectual, and more concerned with the
control of the recordkeeping systems than
with the records themselves. However, the
management of electronic records cannot be
ignored, as the advent of technology is
increasingly having its impact on many
aspects of administrative work. The
management of records in this environment
requires specialist knowledge, as is suggested
by Figures 4 and 5.
Records managers must be able to address
some of the conceptual and practical
problems of dealing with records in this
environment. They must be able to
accommodate the inevitable changes that will
occur in both software and hardware used to
process records, and to advise on the format
of electronic records, so that records remain
accessible over time. Thus RM includes a
conception or pre-creation stage. The
creation of records in an electronic
environment also involves the transaction of
data. But whilst records are the result of
transactions, the underlying data is ever ready
to be transferred or migrated from one format
or medium to another as technology matures.
The records will also have to change format to
enable them to survive as archives or will have
to be migrated to other systems following
changes in technology.
The combination of traditional RM (Figure
3) and electronic RM (Figure 5) forms the
totality or continuum of RM. As the authors
have argued above, this will require a different
paradigm. Electronic records (Figure 4) are
by their very nature different from paper
records, and are continually moved from one
format/medium to another as the technology
that creates them develops. Their
management requires a change of emphasis,
from a management system based on the
concept of the life cycle to one embracing the
concept of a records continuum.
Records managers will also need to take on
board concepts such as functional
requirements in the appraisal process, in
order to understand the RM function. Thus
the model attempts to bring together both
paper-based and electronic records
management systems, in order to create a
continuum of RM. It is hoped that the model
introduced will assist in formulating such a
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system and the ultimate structure of RM
programmes.
Conclusion
As a hybrid of archives, RM is sharing the
same experience as its originating discipline,
which has, in recent years, had to enrich itself
in adopting a relevant body of knowledge. In
pursuing its own development, the RM
discipline will have to be pragmatic and adapt
in line with the changes in the environment of
its users.
The conceptual model illustrated in Figure
4 tends to show that RM has moved from one
distinct domain to another leaving no
connection with the former. This is not really
true in practice. Inevitably, RM methodology
consists of a blend of several disciplines. It is a
fact that the discipline has moved away from
its origins in archive administration, and is
included in the management area. But the
appraisal process that fixes the value of
records and helps determine what records will
be retained means that archival principles still
remain crucial.
RM's adoption of information science
techniques is further enhanced by the use of
technology in order to increase level of
efficiency. But technology changes the
medium of the information carrier as well as
the nature of the information itself. Within
this environment, information is created on
technology-generated devices. The process
taken by records from their creation to a stage
yet to be defined is no longer defined. This
represents a new domain that is increasingly
becoming the concern of professional bodies
in the area. Such issues are being debated
now and are yet to be resolved.
Interestingly, RM seems ready to
compromise with the methodologies and
practices developed by other disciplines. The
new conceptual model proposed in Figure 2
can act as a bridge between the three main
areas of contributing knowledge to form a
foundation for RM theory. There is no single
discrete territory for the subject, but a
coalescence or convergence of related theory
and practice.
The historical development of RM
discussed above reveals that the management
of records should be incorporate both the life
cycle and the continuum concepts. Neither of
these concepts exists entirely independently,
although the general understanding of the
continuum concept is that it is associated with
electronic records, whilst the life cycle
concept is only appropriate for paper records.
These authors argue that at present and for
the foreseeable future, RM practices will
incorporate both concepts, since many
organisations deal with records in both
formats.
These authors also conclude that electronic
RM is still an issue of debate. RM will always
be pragmatic and tend to incorporate
changes, e.g. the adoption of the continuum
to replace the life cycle. While issues
pertaining to basic concepts have yet not been
resolved to everyone's satisfaction, discussion
has also moved to another level as a
consequence of impact of ICT. Although the
subject of electronic records has become the
new focus, it is evident that the various
debates and arguments in the discipline
remain the same, i.e. calling for a review of
key concepts, particularly the definition of
what constitutes a record and the life cycle/
continuum.
The model developed by these authors is an
attempt to create a more complete model,
which exhibits causal relationships among the
most relevant disciplines archives,
information management and information
technology. This appears to provide the most
suitable foundation for the construct of RM
theory. The model provides additional
insights and offers the basis for further
discussion. However, as it is a first attempt, it
is probably open to debate. As the discussion
of RM develops, it will undoubtedly be
improved upon in future.
Notes
1 In a separate publication, the authors reported their
brief survey of the nature of RM courses offered by
various departments worldwide. The survey
revealed that the subject of RM has been perceived
and influenced by several streams of thought.
Although these courses are predominantly offered
through Departments of Information and Library
Studies, they are also located, in some institutions,
in Business Schools, Computer and Mathematics
Departments, Management Schools, History
Departments and Archives Departments (Yusof and
Chell, 1998, pp. 25-54).
2 There are five areas of misconception about RM.
These include: filing equals RM; RM should be an
undergraduate course; one course in RM is
sufficient preparation for a records manager; RM
should be taught in business schools; and RM has
no theoretical or conceptual construct (Yusof and
Chell, 1998, p. 333).
3 Paper-based here is taken to mean a system that
depends on a physical link between data and
63
Towards a theoretical construct for records management
Zawiyah M. Yusof and Robert W. Chell
Records Management Journal
Volume 12
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Number 2
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2002
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media, and includes records on paper, or any other
physical medium such as film, as opposed to
electronic records, where there is a logical, but not
necessarily physical link between the data and the
medium.
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64
Towards a theoretical construct for records management
Zawiyah M. Yusof and Robert W. Chell
Records Management Journal
Volume 12
.
Number 2
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2002
.
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This article has been cited by:
1. zgr Klc, Hande Uzun Klc. 2009. The Records Management Capacity Assessment System (RMCAS) as a tool for
program development at the Turkish Red Crescent Society. International Journal of Information Management 29:6, 483-487.
[CrossRef]
2. Bibliography 245-259. [CrossRef]
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