Records Classification: Concepts, Principles and Methods

Information, Systems, Context

Umi Asma' Mokhtar, Zawiyah Mohammad Yusof

• Publisher: Chandos Publishing
• Year: 2017
• Print ISBN: 9780081022382
• eBook ISBN: 9780081022399
• Topic: Languages & Linguistics
• Subtopic: Business Intelligence
• Index: Languages & Linguistics

Records Classification: Concepts, Principles and Methods: Information, Systems, Context introduces classification, an early part of the research lifecycle. Classification ensures systematic organization of documents and facilitates information retrieval. However, classification systems are not prevalent in records management when compared to their use in other information fields. This book views classification from the records management (RM) perspective by adopting a qualitative approach, with case studies, to gather data by means of interview and document content analysis. Current development of  information systems do not take into account the concept of classification from a RM perspective. Such a model is required because the incorporation of information and communication technology (ICT) in managing records is inevitable. The concept of classification from an RM perspective ought to be extended to the ICT team to enable the development of a RM system not limited to storage and retrieval functions, but also with relation to disposal and preservation processes. This proposed model introduces function-based classification to ensure records are classified in context. - Gives a step-by-step functional model for constructing a classification system within an organization - Advocates for the importance of practicing classification for records, towards competent, transparent, and democratic organizations - Helps organizations build their own classification system, thus safeguarding information in a secure and systematic fashion - Provides local case studies from Malaysia and puts together a generic, globally applicable model

Chapter One

General Overview of Classification

Abstract

Records classification, a specific area in records management at large, needs to be further explored to discover the importance of classification to be practiced. Nevertheless, classification is closely associated with library and information science, which aids the searching and retrieval, processes. Classification should also be viewed from the records management perspective to ensure that the integrity and authenticity of records remain intact and secured—an area not prevalent to library and information science. The discussion in this chapter includes the theory underpinning records classification such as principles of provenance and respect des fonds, archival theory, and archival science. Records classification, particularly in Malaysia, has not been well practiced resulting in the information-related professionals being dominated by the technical team. The commencement of e-government becomes de facto to the needs of records classification, as records management is essential for government to provide high-quality information that enable the government to make decision and take action to improve economic development, ensure justice, protect the environment, provide security, and achieve other governance objectives.

Keywords

Archival science; Archival theory; E-government; Function-based classification; Malaysia; Records classification; Records management; Theory

Introduction

Classification is a key foundational element of records management. It is used to systematize information and facilitate its retrieval. Classification is more established in library science than it is in records management. However, while the aim of both is to arrange and keep information systematically, the model is applied differently.

This entire aim of this book is to extensively discuss the classification in the records management context. It has been noted in this regard that the concept of classification is both understudied and not well understood. Research has shown that good records management strengthens government services by supporting business continuity; security and risk management; legal compliance and accountability; evidence-based decision making and transparency; good governance and public trust; good performance and government capability building (An, Shuyang, & Wei, 2011). Without proper understanding of such classification, it may be difficult or impossible to implement an efficient and effective records management initiative that addresses the complete life cycle of records from creation to preservation. Although classification plays a key role in the preservation of records over time, such systems may be overlooked or neglected when information systems are developed and implemented in favor of those elements of the records life cycle that focus on earlier stages such as storage and retrieval. Consequently, vast quantities of digital records have remained poorly managed over time.

Classification in the Records Management Context

ISO 15489 has listed the processes of records management and determined how long it would take to retain, create, register, classify, store, control access, track, dispose off, and document the records management processes (ISO 15489, 2001). All the processes except for classification have not been given much consideration although many researchers have incorporated the concept into both the records life cycle and continuum models (Fig. 1.1). With the advances of information technology (IT), more and more (if not most) records are now created digitally or converted into digital format. Managing these records (electronic or digital) has become more challenging than the conventional ones.

Figure 1.1 Classification based on the life-cycle phases of records. Modified from Guercio, M. (May 6–8, 2001). Records classification and content management: Old functions and new requirements in the legislations and standards for electronic record-keeping system. Proceedings of DLM-Forum 2002 access and preservation of electronic information: Best practices and solutions, Barcelona: 432–439. Retrieved from http://citeseerx.ist.psu.edu/viewdoc/downloaddoi=10.1.1.122.1484&rep=rep1&type=pdf#page=434; Idaho State University. (2006). Records and information management. Retrieved from http://www.isu.edu/infomgmt/program_scope.shtml; Yusof, Z.M., & Chell, R.W. (2005). Issues in records management. Bangi: Penerbit UKM.

Various tools have been developed to store and manage electronic records, with the aim of ensuring speedy retrieval. However, these tools have often been designed by IT professionals and implemented by organizations with little understanding of fundamental records management principles including the provenance of records classification techniques based on the functions and context of records; the life span of records governing their retention; and assessments of the value of records based on appraisal practices. These systematic techniques have been used for centuries in records systems (Guercio, 2001) and are applicable to electronic records.

Classification in records management shares similar concepts with other fields such as library and information science and IT but differs in its application. In library and information science, the purpose of classification is to classify creative information such as books to be accessed by users. It is defined by Maltby (1975) as “a systematic arrangement by subject of books and other material on shelves or of catalog entries in the manner which is most useful to those who read or who seek a definite piece of information.” In IT, data are classified mainly for retrieval purposes. However, in records management, documents and records are systematically arranged for ultimate purpose of preservation. Moreover, records have evidentiary value, and losing them will put organizations at risk, and to retain this value, it is important to ensure the authenticity, reliability, integrity, and usability of records according to their business context in the organization (NARA, 2003).

When developing a system, IT professionals tend to focus on automating the creation and the management of active records with the aim of reducing space and to organize records, focusing more on system infrastructure matters such as protocol registers (a function used to identify and certify the existence and provenance of records) (Guercio, 2001; 2002). This has caused an imbalanced practice of excluding records management aspects while developing electronic system. To improve the situation, it is important for the IT and records management professionals to have balanced understanding and perception, and work hand in hand in designing the records management system (An et al., 2011). Furthermore, such collaboration is essential to produce reliable records from a systematic, complete, and supportive system that manages administrative and decision-making activities (Guercio, 2001). Many current electronic systems receive and store high volumes of data on a daily basis, but over time the quantity declines to minimum levels (RSD, n.d.). Documents that are declared as records, based on legal and retention requirements, are classified for longer retention and use, and these records are kept for future reference and evidence.

To qualify as evidence, records must be trustworthy (the concept is further depicted in Fig. 1.2) by maintaining the accuracy/originality (InterPARES1, 2002). Trustworthiness by definition is the quality of being dependable and reliable (Pearce-Moses, 2005). In the context of electronic records, trustworthiness implies that the system is dependable and produces consistent results based on established procedures. Records are trustworthy if they are accurate and genuine. The accuracy of records is the degree of precision to which records are correct, truthful, and free of error or distortion. Records are genuine or authentic if they are original (Garner, 2003). Authenticity is the quality of being genuine closely related with the creator of records, and could be maintained through its identity (creator) and integrity, which is the quality of being whole and unaltered. Reliability is the quality of being dependable and worthy of trust, which is able to produce consistent results, is created by competent authority according to established processes, and is complete in all format elements (Pearce-Moses, 2005). All these elements are related to each other to compose the concept of trustworthiness.

Figure 1.2 The concept of trustworthiness of records. Based on InterPARES1. (2002). Requirements for accessing and maintaining the authenticity for electronic records. Retrieved from http://www.interpares.org/book/interparesbookkapp02.pdf.

Not all documents are records, even though all records are documents. Documents consist of action, process, and a broader function of the records creator. On the other hand records consist of purpose, evidence, accountability, and memory creation and maintenance. However, both documents and records become virtual and destabilized in the electronic environment. Therefore, the management of both documents and records in an electronic environment requires far more significant actions and evidence throughout the records life cycle to determine their content and context (Cook, 2007).

One of the consequences of IT diffusion, through the massive use of personal computers and local area networks, the maturing of the internet, and the development of the World Wide Web and its enabling browser interface software, is the creation of electronic records in large volumes. These changes can be seen in the transformation of business functions, the way organizations and workers communicate, and the business records they create (Bantin, 2002). Communications have become less centralized and workplaces frequently virtual. Modern businesses processes have been significantly influenced by inter and intraorganizational information workflow and rapid transformations in the form of records such as hypermedia documents, dynamic documents, e-mails, and social media. This has led to records professionals debating about the theories, principles, and techniques that continue to guide them in their work. According to Cook (2007), new thinking and approaches are required for electronic records to reconceptualize traditional approaches, taking the best of these approaches and transforming them for the new age. Even so, the techniques and strategies of the custodial era, commonly applied during Jenkinson’s time, are still relevant, there is a need to change and adopt new techniques and approaches as suggested in the post-custodial and postmodernist era.

Theories Related to Records Management

Records management was induced by two prominent theories in archival science: the Jenkinson and the Schellenberg. These two theories were devised for managing archival materials since both Jenkinson and Schellenberg are archivists though holding different schools of thoughts. While Jenkinson has greatly influenced the records management in the UK, Schellenberg has the same effect in the United States. Records management in the United States prefers the modern approach where selection and classification processes are paramount to control the volume of documents.

Records management is a process of managing records in accordance with policies, procedures, standards, best practices, and to comply with legislation. The initiative includes elements in the records management theory such as creation, use, dissemination, classification, retention schedules, appraisal, preservation, and disposition (I...

Table of contents

• Cover image
• Title page
• Table of Contents
• Series Page
• Copyright
• About the Authors
• Preface
• Acknowledgment
• Chapter One. General Overview of Classification
• Chapter Two. What Is Classification?
• Chapter Three. Function-Based Classification
• Chapter Four. Records Management Models
• Chapter Five. The Records Classification Functional Model
• Chapter Six. Conclusion
• References
• Index