Records Management Professionals Research Articles

Managing digital records in a global environment

Purpose This paper aims to widen as well as deepen the discussion on standards and good practice guidelines beyond just local or regional efforts and include international developments. Design/methodology/approach An extensive review of literature was used to develop an outline of existing standards and good practice guidelines that are used by records management professionals to manage digital records. Findings The analysis reveals that there has been a long tradition in standards and good practice guidelines development dating back to the 1980s. The study also reveals that there are two broad categories of standards and good practice guidelines, those with assessment mechanisms and those without such mechanisms. The choice of whether to have an assessment mechanism depends on the purpose for which a standard or good practice guideline is developed. Originality/value The paper explores an extensive array of standards and good practice guidelines, their utility and their geographical coverage. It demonstrates how different terms such as Electronic Records Management Systems, Electronic Document Management Systems, Electronic Document and Records Management Systems and Enterprise Content Management have been used without much clarity on how these terms relate to each other, and proposes a clarification framework.

Freedom of Information, Right to Access Information, Open Data: Who is at the Table?

Many national governments have adopted the idea of the ‘right to access information’ (RTI) or ‘freedom of information’ (FOI) as an essential element of the rights of citizens to freedom of opinion and expression, human rights, trust in public discourse and transparent, accountable and open government. Over 100 countries worldwide have introduced access to information legislation: 50+ in Europe; a dozen in Africa; 20 in the Americas and Caribbean; more than 15 in Asia and the Pacific; and two in the Middle East (Banisar, 2014). This article will provide an overview of access to information legislation and focus on the UK Freedom of Information Act 2000 as a case example. It will discuss the impact of the UK FOI Act on public authorities, with particular attention to records management implications, drawing on research undertaken by University College London. In the final section, it will reflect on relationships between access to information and open government data. If governments are moving to more openness, what implications might this have for those charged with implementing FOI and RTI policies, including for records management professionals?

Object-oriented diplomatics

Purpose – This paper aims to present a conceptual methodology, named herein as object-oriented diplomatics, based on a presentation given by the author at the Digital Diplomatics 2014 conference. This methodology centers on building digital records capable of supporting their authenticity over time and when removed from their original systems by extending archival diplomatics theory by leveraging object-oriented programming (OOP) principles. Design/methodology/approach – This paper presents new method for supporting the presumption of authenticity of digital records through extending archival diplomatics concepts into OOP principles when creating digital records within a record-keeping system. Findings – This paper is based on a preliminary research being conducted during the design of a government digital archives. This concept was used as a core design element for their digital archives and has thus far shown great promise in articulating and encapsulating those essential data elements that support the presumption of authenticity across a wide diversity of record types. Originality/value – This paper presents a new approach to support the presumption of authenticity of digital records by utilizing concepts from archival diplomatics leveraged with OOP principles. It is the hope of the author that this paper will initiate a deeper collaboration between archives and records management professionals and software developers in the design and implementation of digital repositories.

An exploration of the role of records management in corporate governance in South Africa

Background: Corporate governance maybe approached through several functions such as auditing, an internal audit committee, information management, compliance, corporate citizenship and risk management. However, most organisations, including governmental bodies, regularly exclude records management from the criteria for a good corporate-governance infrastructure. Proper records management could be the backbone of establishing good corporate governance.Objectives: Utilising the King report III on corporate governance as a framework, this quantitative study explores the role of records management in corporate governance in governmental bodies of South Africa.Method: Report data were collected through questionnaires directed to records managers and auditors in governmental bodies, as well as interviews with purposively selected auditors from the Auditor-General of South Africa. Data were analysed using various analytical tools and through written descriptions, numerical summarisations and tables.Results: The study revealed that records management is not regarded as an essential component for corporate governance. Records management is only discussed as a footnote; as a result it is a forgotten function with no consequences in government administration in South Africa. The study further revealed that most governmental bodies have established internal audit units and audit committees. However, records-management professionals were excluded from such committees.Conclusion: The study concludes by arguing that if records management is removed as a footnote of the public-sector operations and placed in the centre of operational concern, it will undoubtedly make a meaningful contribution to good corporate governance.

‘Some records manager will take care of it’ – Records management in the context of mobile work

Mobile work challenges organizational records management. This paper reports the results of a study in three case organizations on how the organizations’ records management meets and adapts to the increasing role of mobile work. Data was collected by interviewing mobile workers and record management professionals. Documentary materials were used to analyse official records management policies. The findings revealed that documented organizational policies do not take into account mobile work, and cannot effectively support personal or corporate records management in mobile work. Records management professionals were poorly informed of the extent of mobile work in the organization, and of the special problems related to managing records in mobile work. The overall conclusion is that organizations should pay more attention to the new requirements for records management caused by mobile work.

Shaping a profession?

Purpose – In order to work more efficiently with internal and external processes, public organisations are working with reorganisation and centralisation of documentation practices as part of a holistic approach to manage and control information flows. The registry function has a long tradition built on legislative requirements concerning registration of official documents in order to fulfil the citizens' rights to access information. The purpose of this paper is to demonstrate challenges related to recordkeeping legislative awareness within a public organisation and how a changing context may impact on the registrars' status. Design/methodology/approach – The data presented and analysed are based on a longitudinal case study of a centralised registry function project undertaken by a Swedish local government body (a municipality). Interviews have been used as the primary data collection method. Findings – The findings identify challenges that result from a lack of recordkeeping skills and recordkeeping legislative awareness that needs to be solved in order to reach a successful implementation. Even though the registry function is identified as strategically important, the registrars have not reached the status “expert”. Changing context does not necessarily lead to a change in status. It is a more complex process, which includes attitudes, knowledge and skills. Research limitations/implications – The research is limited by being a case study in a single organisation in the Swedish public sector context. Practical implications – The findings could be useful for public organisations that intend to reorganise and centralise documentation practices. Furthermore, the findings contribute to record keeping practitioners and also to stakeholders within public organisations. Originality/value – Registrars as an occupational group in Sweden have not been the focus of any extensive academic research. In view of its new strategic importance the registry function has benefitted from organisational restructuring; research is needed on registrars as a possible future “records management profession”, which does not currently exist in Sweden.

Designing an effective EDRMS based on Alter's Service Work System model

PurposeThe purpose of the paper is to develop a framework for electronic document and records management systems (EDRMS) as a Service Work System. This enhanced overview of EDRMS support strategies suggests that the increasing shift in recordkeeping responsibilities to users requires greater consideration of the core activities that should be supported by RM professionals. The paper seeks to examine the concept of records management (RM) service delivery using this model.Design/methodology/approachThe authors offer a complementary approach for EDRMS analysis, design and implementation augmenting the human computer interaction (HCI) approach. They show how ideas related to services can be incorporated into the existing RM domain and can enrich current approaches within this field.FindingsThe changing context from records management suggests a need to shift the RM orientation from a systems domain approach to a Service Work System model. A reorientation of records management emphasises stronger consideration of user needs and stakeholder expectations. The education of records management professionals to accommodate RM users' requirements will also encourage a stronger concern for the development of EDRMS that are “fit for purpose”.Practical implicationsRecords management theory and practice would benefit from a shift in orientation from a systems driven Work Systems Model to a Service Work Systems Model. The shift to a Service Work Systems Model will necessitate a stronger consideration of user needs and stakeholder expectations and increased focus and approach to learning and education of records management professionals and users.Social implicationsThe concept of Service Work Systems to the development of electronic document and records management systems is introduced.Originality/valueThe paper introduces the concept of Service Work Systems to the development of electronic document and records management systems for RIM professionals.

The contribution of records management to good governance

Purpose – The purpose of this paper is to present the relationship between records management (RM) and accountable and efficient governance.Design/methodology/approach – In this paper, the required framework and the prerequisites for planning and implementing an effective and efficient RM system are presented and a literature review and empirical studies are used to depict the interaction between good governance and RM.Findings – The following conclusions are derived from the bibliographic data analysis. Specific training by RM professionals for recordkeeping is useful for public servants. All levels of the administrative chain should be trained and involved in RM processes. Good governance, information security and RM are all deeply connected. The tendency of regarding archives only as cultural thesaurus or valuable historical resources and not also as products and assets of their originating organizations has to be abandoned. Electronic RM and preservation is a complex matter that requires interdiscipli...

What will be the next records management orthodoxy?

PurposeThe electronic document and records management system model (EDRMS) served for most of the noughties (the decade from the year 2000) as an orthodoxy that united the records management profession. The purpose of this paper is to address two questions: “Does the stagnation and retreat of the EDRMS model towards the end of the noughties call into doubt the theory that lay behind that model, namely DIRKS and the records continuum?”, and “Is a new records management orthodoxy likely to emerge over the course of the next five years, and if so what form might it take?”.Design/methodology/approachThe paper looks back at the author's readings of DIRKS and the records management continuum at different times over the period 1993‐2010, and links those readings with the prevailing fortunes of the EDRMS model that was build on top of that theory. It gives a personal perspective of a consultant/practitioner on the chances of a new records management orthodoxy arising in the course of the next five years.FindingsThe loss of momentum of the EDRMS model does not invalidate the insights of DIRKS and the records continuum. Both frameworks support alternative readings from those that underpinned the EDRMS model. But any future orthodoxy is likely to be less directly derived from theory. One possible future orthodoxy is the “records repository model” – where a business classification scheme is held in a back end system, and applied to content held in the various applications used by colleagues. However this model has not yet received sufficient practitioner attention, and there are unanswered questions as to how it would work in practice.Originality/valueThe paper looks at the ways in which the records management community has used orthodoxies in both theory and implementation models to keep itself united during an extended period of upheaval and change since the commencement of the networked digital age. It outlines the challenge of finding a records management orthodoxy that is both consistent with record keeping theory and also workable and sustainable in the rapidly changing world of enterprise computing.

Developing information architecture through records management classification techniques

Purpose – This work aims to draw attention to information retrieval philosophies and techniques allied to the records management profession, advocating a wider professional consideration of a functional approach to information management, in this instance in the development of information architecture.Design/methodology/approach – The paper draws from a hypothesis originally presented by the author that advocated a viewpoint whereby the application of records management techniques, traditionally applied to develop business classification schemes, was offered as an additional solution to organising information resources and services (within a university intranet), where earlier approaches, notably subject‐ and administrative‐based arrangements, were found to be lacking. The hypothesis was tested via work‐based action learning and is presented here as an extended case study. The paper also draws on evidence submitted to the Joint Information Systems Committee in support of the University of Abertay Dundee's...

Certification of archivists in The Netherlands

This article focuses on the certification of Dutch archival professionals as initiated by the Royal Dutch Association of Archivists, KVAN. This certification covers the full breadth of the records continuum and is meant for both records managers and archivists. Important points of reference are the sets of competencies for records managers and for archivists as formulated by the advisory committee of the Dutch Archives School. In this certification model the concept of life-long learning is incorporated. It is expected that in an indirect way, by certifying professionals, the quality of the education can be influenced. In order to consolidate certification, the KVAN plans to establish an independent register of archival and records management professionals.

Study on the Current Status and Improvement Plan for the Records Management of Local Government

Currently, not only central governmental agencies, but also local government started to hire records management professionals, and the records management became more systematic. This study tried to understand the current situation of local government's records management. Among the local governments' records management offices of in metropolitan area, i.e. Seoul, Gyonggi and Incheon where they hired records management professionals, 11 professionals were interviewed between September and October 2009. Based on the interview, the current situation and problems of the local government records management offices were identified in the areas of system related, administration related, and information service related. Suggestions for the improvement were proposed on those areas.

Culture and evidence: or what good are the archives? Archives and archivists in twentieth century England

Archives have the potential to change people’s lives. They are created to enable the conduct of business and accountability, but they also support a democratic society’s expectations for transparency and the protection of rights, they underpin citizen’s rights and are the raw material of our history and memory. This paper examines these issues in the context of the historical development of archives and archivists in twentieth century England. The research lays the foundations for understanding how and why the modern archives and records management profession developed in England. This paper will investigate the historical conflict (or is it a continuum?) between archives as culture and as evidence. The story identifies and highlights the contributions made by many fascinating individuals who established archives services and professional practice in England in the twentieth century. They shaped the archive in a very real way, and their individual enthusiasms, interests and understandings set the course of the English archival profession. To a great extent, it was these individuals, rather than government or legislation, that set the boundaries of English archives, they decided what was included (acquired) and what was not (of archival value.) The conclusion will consider the more fundamental questions: what are archives and what are they for, or perhaps, ‘what good are the archives’?

Records Management Research—Perspectives and Directions1

Records management professionals facilitate the management of records that are often a primary source of data for research; but what of research in the records management profession itself? This article explores different perspectives on and considers potential future directions for research in records management, by asking a series of questions. What do we mean by research? Why should we conduct research in a vocational and professional discipline like records management? What are the benefits and who are the beneficiaries? What research has been done and, crucially, what research is required? It draws conclusions about the future direction of records management research and argues that if those in the profession—academics, practitioners and suppliers—do not shape the research agenda and rise to the challenges then others will do so, to our cost.

Taking the Road Less Travelled By: The Future of the Archive and Records Management Profession in the Digital Age

The archive and records management profession has a critical decision to make: whether to continue to ignore the challenges posed by the creation of digital content, or to actively and enthusiastically demonstrate its relevance and skills in this area. In this article the author explores why archival theory is needed more now than ever, why this fact is largely being ignored and the risks of allowing this situation to continue. Ultimately it challenges the reader to embark on this new professional journey and to take ‘the road less travelled by’—whilst they still can.

Taxonomy development: assessing the merits of contextual classification

PurposeThe purpose of this paper is to share personal experience on the early stages of taxonomy construction, reflecting on the potential role of contextual classification techniques as applied by the records management profession as a tool in effectively organising information, resources and services within intranet and/or portal environments. The paper also aims to assess the additional benefits to be secured where linking content to business purposes can create or reveal new meaning.Design/methodology/approachThe paper draws on experience, personal opinion, published literature and discussions with peers to assess the applicability of contextual classification as a tool to support taxonomy development.FindingsThe paper concludes that classification of information, resources and services within intranet and/or portal environments using a citation order of function, activity, task, sub‐task is likely to be of significant value, requiring further investigation to fully assess impact and applicability. Contextual classification receives much discussion in general records management terms, however its applicability in supporting portal and/or intranet development appears to receive little attention. The requirement to generate improvements in information retrieval from a host of on‐line services (of which taxonomy development is one example) is reinvigorating the role of the informational professional. Given the criticality of improving the management and retrieval of information it is desirable that stronger interdisciplinary links are established across the information profession to further develop “information retrieval” as a subject discipline. Originality/valueThe article suggests that the role of contextual classification to organise information, resources and services within intranets/portals requires further investigation and reflection to assess its applicability, value and impact. Initial findings and reflection of the application of contextual classification in the design of elements of a university portal taxonomy have proven to be successful, suggesting that wider discussion and reflection is now required. It is also suggested that the information profession take steps to build stronger interdisciplinary links to advance the development of information retrieval as a subject discipline.

Training for the archival profession in Namibia

A discussion of the archival profession in Namibia cannot be done in isolation from the records management profession. This paper discusses training for the records and archives management professions in Namibia and the extent to which it is meeting the needs of the job market. The National Archives of Namibia, as the largest employer of archivists, and the institution charged with the responsibility of providing a records management service to Government, is mostly referred to, but where appropriate, references to other institutions are made. It outlines the factors which have shaped the current formal training in records and archives management being offered. Some suggestions as to how the job market can be satisfied are provided.

E-Records and the Technological Imperative

Electronic records present a challenge to records managers and archivists who find themselves attempting to translate professional practices based in physical artifacts to digital objects. The e-records challenge is perhaps the most pressing issue for these information professionals. However, in addressing such issues as how to ensure authenticity, record integrity, accessibility, and other management objectives with respect to digital records, records professionals may be falling into a trap that the ethicist Richard De George labeled the Imperative. Roughly speaking, the Technological Imperative (TI) describes a tendency to believe that, if it is possible to develop a technology, the technology will or should be developed. When we are under the spell of TI, we fail to reflect on the full range of ethical and value ramifications of a proposed technology, and as a result, lose the opportunity to influence its development in a way that will better harmonize with and promote fundamental norms and values.While records managers are rightly preoccupied with developing policies and choosing technologies that protect e-records from spoliation and guarantee their authenticity, a trend is emerging that does not seem to have generated the same degree of attention and concern. This trend has to do with the expansion of the concept of a record. Because more activities are taking place in a digital environment, and more detailed information is being captured about these activities, the notion of creating or capturing a record of an event is expanding drastically. This can be seen today in such areas as e-commerce, collaboration, and social computing. As virtual reality applications develop and mature, this trend will intensify to the point where the distinction between the activity and the information about it may be hard to discern.For records managers, the increasing abundance of information presents a strong temptation to capture whatever is available and seems relevant. In doing so, they can hope to create a fuller record of organizational actions and transactions. This in turn serves the goal of creating an authentic record from the somewhat mysterious and seemingly ephemeral digital messages and documents that reside in their computer networks. This concern to capture a credible record from digital content, however, seems to have distracted us from questions of how digital records management practices might impact ethical values. Such values include freedom from surveillance, privacy rights, and ownership of intellectual property. Further, even the professional values of the records management profession itself stand to be changed in the process of transferring records management practices to a digital environment. Failure to be aware of these value implications and to include them in the deliberative process of policy making would be a clear example of falling into the trap of the technological imperative.The way in which ethical and professional values may be impacted is visible in responses to current e-records challenges such as those posed by e-mail. However, the risks inherent in these responses lie more in the precedent they set for future communication and information technologies and the associated policies than their current effects. Hence, by attending to the value implications of current choices for current technologies, it will be possible to frame a debate that will better guide the development of new policies and new technologies in the future. The rest of this paper will develop these claims in more detail.The Technological ImperativeIn The Ethics of Information Technology and Business, Richard De George addresses a wide range of ethical issues related to the use and development of information technologies in business (De George, 2003). He frames these issues with a number of themes that run through thinking about information technologies in the form of presuppositions and perceptions. …

Bilgi Teknolojilerinin Belge Yönetimine Etkisi ve Elektronik Belge Yönetimi

Bilgi teknolojileri özellikle son on yılda çok hızlı bir gelişme sağlamış ve bu gelişmeler bilgi ve belge yönetimi mesleğini etkilemiştir. Bilgi teknolojilerindeki gelişmeler kurumsal yapı içindeki belge üretimi, depolama, iletim ve paylaşma anlayışlarında önemli değişmelere sebep olmakta, geleneksel belge yönetimi anlayışları yerini modern yönetim anlayışlarına bırakmaktadır. Bu noktada elektronik belgeler çözülmesi gereken önemli sorunlardan biri olarak karşımıza çıkmaktadır. Bu çalışmada, bilgi teknolojilerinin belge yönetimine etkisi ve bu etkinin doğal sonucu olan elektronik belgelerin yönetimi üzerinde durulmuştur.

Records Management in the Knowledge Management Age: The Namibian Context

Over the last decade organizations have attempted to transform themselves into knowledge – enabled operations that are able to tap into the intellectual capital they create, to help them learn and develop (Hughes 2003a). The question is what is the role of the records management profession in knowledge management? In answer to this question, Hughes (2003b) sees records managers as playing a key role in the management of knowledge. This paper looks at knowledge and knowledge management; information management, as well as related concept – e-sectors, specifically e-government, and the part played by records management in all these. The paper concludes that organizations should not just concentrate on formal, structured, internal data, leaving out the informal and unstructured external information that most decision makers require (Kim 1999). Most of this information is captured in records, and this is how records management becomes critical to the whole process. ESARBICA Journal Vol.22 2003: 64-71