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This article examines the various definitions accorded to the two key terms in records management - the records and records management. Variations in their definition have lead to confusion which affects the formulation of theory to underpin the discipline. Part 1 discusses the changing definition of the'record' as it evolves from an archives perspective, through a management perspective to an information technology perspective.
This article examines the various definitions accorded to the two key terms in records management - the records and records management. Variations in their definition have lead to confusion which affects the formulation of theory to underpin the discipline. Part 1 discusses the changing definition of the'record' as it evolves from an archives perspective, through a management perspective to an information technology perspective.
This article examines the various definitions accorded to the two key terms in records management - the records and records management. Variations in their definition have lead to confusion which affects the formulation of theory to underpin the discipline. Part 1 discusses the changing definition of the'record' as it evolves from an archives perspective, through a management perspective to an information technology perspective.
is a universally acceptable denition possible? Part 1. Dening the record
ZAWIYAH M. YUSOF AND ROBERT W. CHELL
Abstract
This article examines the various denitions accorded to the two key terms in records management the records and records management. Variations in their denition have lead to confusion which affects the formulation of theory to underpin the discipline. This problem is to be discussed in two separate parts. Part 1 discusses the changing denition of the record as it evolves from an archives perspective, through a management perspective to an information technology perspective. These changes have lead to changes in the status of records. This is discussed as records as objects vs records as electronic objects. However, this is not a new issue. I t was recognised by J enkinson as early as 1922. The debate on the denition of records concludes that any new denition needs to take account of the component parts of a record: the information, the medium and the function. Part 2 will discuss the various denitions of records management.
Introduction The topic will be discussed in two parts: Part 1 will dene the term records while Part 2 will be on the denition of records management. The main aim of these two articles is to investigate whether there is a universally accepted denition of the two key concepts in the records management eld: what do we mean by records and records manage- ment? A search of the literature in the eld reveals that these concepts
Records Management J ournal, vol. 8, no. 2, August 1998, pp. 95112
Records Management Journal, Vol. 8, No. 2, August 1998 Aslib, The Association for Information Management. All rights reserved. Except as otherwise permitted under the Copyright, Designs and Patents Act 1988, no part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying or otherwise without the prior written permission of the publisher. Aslib, The Association for Information Management Staple Hall, Stone House Court, London EC3A 7PB Tel: +44 (0) 171 903 0000, Fax: +44 (0) 171 903 0011 Email: pubs@aslib.co.uk, WWW: http://www.aslib.co.uk/aslib have been accorded various denitions and that the concepts have changed over time. This leads only to confusion; especially when records management is seeking a separate identity as a distinct discipline. These articles take an overview of the various denitions of records and records management as reected in the literature. In Part 1, consideration is also given to dening records in an electronic environment as this area is of growing concern to records managers. Denitions of terminology Dening terminology is crucial to better understanding; both for those who are new to the subject and for those who are already familiar with the field. At the present time, most organisations regard a records manage- ment programme as a non-essential activity: it is not the organisations prime purpose, it does not produce prot and it is discretionary (Robek, Brown and Stephens, 1995: 15). I n addition, organisations seem unaware of the importance of the function. McCarthy (n.d.: 1) points to this by saying that: businessmen expect to have ready access to relevant records, espe- cially in crisis, but they may not take kindly to having other people organise their records, and once organised often do not give a second thought to those records, i.e. le destruction requests are often given very low priority, or le retention periods are made unnecessarily long just to be on the safe side. Consequently, many organisations tend to ignore the evidence that organisations without records management programmes are at risk. Hare and McLeod (1997: 12) report that, for organisations without records management programmes, 40 per cent of those that suffer a disaster go out of business within a year; 43 per cent never re-open; and 29 per cent cease business within two years. There are several reasons why many organisations cannot see the benets of records management. A comment by Charman (1984: 6) probably best explains the situation: differing administrative and archive traditions as well as lack of a uniform terminology and the fact that English records management texts are not readily available in other languages, may be one rea- son why these techniques are not better known internationally. They are, however, capable of universal application, regardless of language differences. As a new phenomenon, the concept must be made clear so that business can foresee the advantages and benets to be gained. I n these articles, 96 Records Management J ournal vol. 8 no. 2 Records Management Journal, Vol. 8, No. 2, August 1998 Aslib, The Association for Information Management. All rights reserved. Except as otherwise permitted under the Copyright, Designs and Patents Act 1988, no part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying or otherwise without the prior written permission of the publisher. Aslib, The Association for Information Management Staple Hall, Stone House Court, London EC3A 7PB Tel: +44 (0) 171 903 0000, Fax: +44 (0) 171 903 0011 Email: pubs@aslib.co.uk, WWW: http://www.aslib.co.uk/aslib various denitions of terminology pertaining to records and records management will be considered, in order to arrive at a denition that can be easily understood, particularly within business organisations. I n that respect, our consideration of the concepts is not intended to enhance the philosophical debate relating to records or information and its relation to wisdom. I n a pragmatic, records management way, it is used broadly to refer to recorded information created as the result of business activities. Records One of the many problems facing any serious study of records and infor- mation management (RI M) work is probably that of terminology. Words and concepts such as data, information, knowledge, documents and records are sometimes confused with each other, and many times may mean different things to different people. The same word may be interpreted differently by different people with varied backgrounds. This is particularly true of records. Even amongst the RIM group, there is not as yet a unied and generally accepted denition for the word. One conclusion of this fact is that this is a relatively new subject, is still evolving and there is not as yet a widely acceptable denition to its scope and structure. When discussing records management, either as a management tool or as a profession, there seems to be a fundamental problem of how to dene the core element of the subject in the eld the records. Denitions of records seem to be continually debated in the literature. Some denitions are based specically on the function of the records, whilst others treat records as physical objects for posterity. I t is not our intention to list all the various denitions of records, but a few are required to show that there is a range of different perspectives in dening the term. Problems in dening records have been discussed in length by Cox. He observes that many denitions of records are complex and problematic (1994: 3). He suggests that most archival and records management literature suggest authors and readers know a record when they see one, yet the essence of a record may be contrary. There is still a fundamental problem with how both sets of practitioners (archivists and records managers) dene records, though both are engaged in managing the same type of resource (the records) as their main activity. As such, Cox suggests that the denition of records should be continually debated. The difculty in dening records is not only restricted to practitioners; it extends to other writers in the eld. Some writers on records management are often bogged down with the problem of establishing or agreeing a comprehensive denition of records. Langemo (1995: 415) regards records 97 August 1998 The eluding denitions of records and records management Records Management Journal, Vol. 8, No. 2, August 1998 Aslib, The Association for Information Management. All rights reserved. Except as otherwise permitted under the Copyright, Designs and Patents Act 1988, no part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying or otherwise without the prior written permission of the publisher. Aslib, The Association for Information Management Staple Hall, Stone House Court, London EC3A 7PB Tel: +44 (0) 171 903 0000, Fax: +44 (0) 171 903 0011 Email: pubs@aslib.co.uk, WWW: http://www.aslib.co.uk/aslib as the memory of the organisation; the raw material for decision making; and the basis for legal defensibility. Langemos opinions represent one of many views about what records are. The variety of denitions that one encounters in the textbooks makes it essential in this article to achieve an understanding of what records are before we can be in a position to develop the idea of records management. I t can be argued that any denition of records is a pragmatic one. The denition has changed with the passage of time and as the profession gets involved with more complex issues. This is particularly true when one considers the subject from the perspectives of those involved with paper, as the main records medium, and those working in an electronic environment. Traditionally, differences in denition are based around the records function and the records preservation for posterity. Each of these denitions reects an existing school of thought as illustrated in Figure 1. The denition of records from the functional standpoint is clearly pictured by Gagnon (1987: 299). He says records are: all recorded information regardless of media or characteristic, made or received and maintained by an organisation or institutions in pur- suance of its legal obligations or in the transaction of its business. This functional based denition has been adopted by the School of Library and I nformation Science, University of Pittsburgh for its record- keeping functional requirements project (Cox, 1995). However, the Association of Records Managers and Administrators (ARMA I nternational), as cited by Robek, Brown and Stephens (1996: 4), rejects Gagnons denition. This professional society denes records as recorded information regardless of medium or characteristic. I n considering the denitions by Gagnon and ARMA I nternational, Cox comments that those denitions are actually describing records as a physical tangible object. One provides a specic function while the other is rather vague. The latter is trying to include anything similar to what a record might be (Cox, 1995: 22). I t appears that the denition of what a record is begins to vary and expand as the profession has developed and shifted its emphasis from the traditional function ling and storage to retrieval and dissemination; and to the handling of records in electronic systems. The function of the record has also changed from that of documenting organisational activities to that of providing information for decision-making, and providing evidence and compliance. This function is likely to become more complex as advances in technology urge the profession to handle more complicated materials and issues. 98 Records Management J ournal vol. 8 no. 2 Records Management Journal, Vol. 8, No. 2, August 1998 Aslib, The Association for Information Management. All rights reserved. Except as otherwise permitted under the Copyright, Designs and Patents Act 1988, no part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying or otherwise without the prior written permission of the publisher. Aslib, The Association for Information Management Staple Hall, Stone House Court, London EC3A 7PB Tel: +44 (0) 171 903 0000, Fax: +44 (0) 171 903 0011 Email: pubs@aslib.co.uk, WWW: http://www.aslib.co.uk/aslib A variation in denition is found where records are viewed in the broad- er context of information. This is best represented by Penn, Pennix and Coulson (1994: 3) whose denition focuses on the informational content of the record. Their denition includes any information captured in reproducible form that is required for conducting business. This is at variance with Smith who makes the point that: records contain data, ...therefore are the substance of information. I nformation is contextual, that is one cannot have information with- out data, but one can have data without information. A record must be viewed within the context of an organisation to be meaningful and have value. I n isolation, a record of specic transaction, discussion, or agreement is often meaningless. Because records are form or medi- um oriented, whereas information is contextual, blurring the distinc- tion between the two can create problems. While records are static and nite, information is changing and on going. (Smith, 1986: 10) 99 August 1998 The eluding denitions of records and records management Records Management Journal, Vol. 8, No. 2, August 1998 Aslib, The Association for Information Management. All rights reserved. Except as otherwise permitted under the Copyright, Designs and Patents Act 1988, no part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying or otherwise without the prior written permission of the publisher. Aslib, The Association for Information Management Staple Hall, Stone House Court, London EC3A 7PB Tel: +44 (0) 171 903 0000, Fax: +44 (0) 171 903 0011 Email: pubs@aslib.co.uk, WWW: http://www.aslib.co.uk/aslib Figure 1 Records Management and its Conceptual Framework Conceptual denition of records and records management Views records from archives perspectives Views records from information management perspectives While Smith suggests drawing a clear distinction between records and information, Penn, Pennix and Coulson would like to blend both together. Apart from the denition by Gagnon and ARMA I nternational, Gill (1993: 5) puts a sense of archives in his denition. He denes records as: any media... documenting communication in an enduring format that preserves the communication and can be recalled. They are facts to support decisions, ... and facts upon which to base future decisions; facts to communicate to employees, to customers, to potential cus- tomers, to the government, and to stockholders; facts to document the history of a company. Gills denition species a business environment. However, Emmersons denition is more comprehensive. I t states: records are all those documents, in whatever medium, received or created by an organisation in the course of its business, and retained by that organisation as evidence of its activities or because of the information contained. Records, it must be stressed, are, rst and foremost, products of the activities of which they form a part. They arise naturally from the functions, activities, processes and trans- actions, substantive and facilitative, of the creating organisation. I ndeed, records have no existence other than as a product of business activity, without which they have no context or meaning. (Emmerson, 1989: 5). Whatever denitions have been given to records it seems that the deni- tion of the term is likely to be continually debated especially when elec- tronics records come into existence. The differing views in the denition of records are related to the existence of two schools of thought underlying records management practice. One school views records from a functional or management standpoint while the other views it from the standpoint of archives (Cook, 1993: 24). To date, the problem of dening records still persists. Realising this, Cox (1994: 12) calls for the need to develop a rm denition of records. This is crucial and essential in order to provide better understanding of what records management is all about. What is needed, he argues, is a degree of tolerance in order to arrive at an acceptable denition of records, which emphasises the commonalities of the missions between the various segments of the information management professions. As mentioned earlier, the issue of dening records is getting more complex as records managers become involved with technology-dependent record 100 Records Management J ournal vol. 8 no. 2 Records Management Journal, Vol. 8, No. 2, August 1998 Aslib, The Association for Information Management. All rights reserved. Except as otherwise permitted under the Copyright, Designs and Patents Act 1988, no part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying or otherwise without the prior written permission of the publisher. Aslib, The Association for Information Management Staple Hall, Stone House Court, London EC3A 7PB Tel: +44 (0) 171 903 0000, Fax: +44 (0) 171 903 0011 Email: pubs@aslib.co.uk, WWW: http://www.aslib.co.uk/aslib systems. I n this electronic environment, records must be able to meet certain organisational, legal, and compliance criteria (Cox, 1995: 2). (These are contained in the University of Pittsburgh Recordkeeping Functional Requirements Projects: Reports and Working Papers Progress Report Two. Cox, 1995). The project investigated the problems of records managers in confronting increasingly complex recordkeeping systems. Its aim was to focus on a precise denition of records applicable to the electronic environment. An appropriate denition, it argued, would enhance the potential use of electronic recordkeeping and information technology. Such a denition is required by records managers in the electronic era so as to ensure they keep records able to meet the same organisational, legal, regulatory, professional and other requirements that apply to paper records. As such, the project emphasised the impor- tance of records as recorded transactions providing evidential value, and the signicance of the system that produces the records. Such value is seen as central to electronic records, particularly as these records are technology dependent. Cox (1995: 22) rejects the standard textbook denition of records as inadequate, and suggests that functional requirements, derived from the University of Pittsburgh project, provide an excellent conceptual frame- work in which a practical means of managing records can be developed. He also claims (1995: 6) that in this latest conceptual framework, the management of records requires sophisticated, technical knowledge. This includes knowledge of recordkeeping systems, the juridicial and organi- sational aspects of such systems, and the manner in which such systems are used. Coxs suggestion is based on the notion that, whilst recognising that it is the informational content of records that is managed by such systems, not all information contained in them are records. Using a similar premise, Ricks, Swafford and Gow (1992: 3) recommend that the terms information and records can be used interchangeably, though this view is not supported by the authors of this article. The only point that makes records different from the other types of information, is the requirement that it be managed 1 (Penn, Pennix and Coulson, 1994: 3). Cox (1995: 2) argues that there is a distinction between record-keeping systems and information systems within organisations. He observes that each of these information segments will have a different role to play in providing organisations with evidence of business transactions. Before the advent of electronic systems, the relationship between information and records had been seen in much simpler terms by Cook (1993: 2). He distinguishes information as something current, up to date and which will eventually disappear. But, he argues, some kinds of infor- mation have much more static, permanent or long-lasting qualities. 2 Cook (1993: 5) sees records as information media which are created in the course of business organisation. They are kept because organisations 101 August 1998 The eluding denitions of records and records management Records Management Journal, Vol. 8, No. 2, August 1998 Aslib, The Association for Information Management. All rights reserved. Except as otherwise permitted under the Copyright, Designs and Patents Act 1988, no part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying or otherwise without the prior written permission of the publisher. Aslib, The Association for Information Management Staple Hall, Stone House Court, London EC3A 7PB Tel: +44 (0) 171 903 0000, Fax: +44 (0) 171 903 0011 Email: pubs@aslib.co.uk, WWW: http://www.aslib.co.uk/aslib need to use them. Cooks denition, however, emphasises the role of paper-based documents, though he states that the medium can be anything such as recorded sound, machine-readable disks, microform and parchment. Cooks denition is expanded upon by Penn, Pennix and Coulson (1994: 3) who, as discussed earlier, focus on the informational content of records and state that: business records are any information that is recorded on any phys- ical medium; generated or received by a business enterprise as evi- dence of its organisation, functions, policies, procedures, operations, and internal or external transactions; and valuable because of the information it contains. They stress there are three key factors the physical form, evidence and value that differentiate records from other type of information partic- ularly that used in data processing. Records in the electronic era I n the computer era, the problems in dening records are becoming even more critical. Skupsky (1995: 475) admits that, with the widespread use of information management technology, it has become more difcult to determine exactly what is a record. He questions the fact that traditional denitions of records that have emerged from paper-based concepts have merely been applied to these new technologies. This can handicap the records manager today. The same point is made by Clubb (1991: 1). She concludes that it was relatively easy to provide a denition of a record a generation ago, however, with advances in technology, the denition of the term needs to be reviewed. Duff (1994: 141) claims that records in an electronic environment are transitory, unstructured and insubstantial, as their form and content can change with changes in the software that controls them. The principles applied to paper-based records are no longer applicable to those in electronic form. I n the paper environment, records are tangible, their coming about and what function they serve can be easily recognised (Management of electronic records; issues and guidelines, 1990: 20). But this is not the case with electronic records. Records managers are not in a position to see records as they are created and transmitted. The records exist under software and hardware control. The authors believe that with the rapid changes in technology, and the challenges and substantial risks faced by organisations in this latest environment, records management should incorporate another stream of 102 Records Management J ournal vol. 8 no. 2 Records Management Journal, Vol. 8, No. 2, August 1998 Aslib, The Association for Information Management. All rights reserved. Except as otherwise permitted under the Copyright, Designs and Patents Act 1988, no part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying or otherwise without the prior written permission of the publisher. Aslib, The Association for Information Management Staple Hall, Stone House Court, London EC3A 7PB Tel: +44 (0) 171 903 0000, Fax: +44 (0) 171 903 0011 Email: pubs@aslib.co.uk, WWW: http://www.aslib.co.uk/aslib thought. The archival and information management approaches, although they have resulted in the presently accepted principles and practices in records management, are inadequate to cater for changes brought about by information technology which strongly impacts upon todays records. A blend of existing principles which comprise theories of archives and information management, integrated with the principles and practices of information systems, will result in improvements to the quality and success of records management. Figure 2 illustrates the streams of thought comprising these three elements. As I T is incorporated into the new approach, OShea (1996: 1) realises there are two areas that require immediate attention. Firstly, the denition of records need to be updated, and secondly, there needs to be a re-evaluation of the techniques required to capture and preserve records as evidence of organisational transactions over time. Most importantly, the records that are the main interest of both records management and archive professionals, need to be more precisely dened in these contexts as the term is commonly used by other information professionals. 3 103 August 1998 The eluding denitions of records and records management Records Management Journal, Vol. 8, No. 2, August 1998 Aslib, The Association for Information Management. All rights reserved. Except as otherwise permitted under the Copyright, Designs and Patents Act 1988, no part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying or otherwise without the prior written permission of the publisher. Aslib, The Association for Information Management Staple Hall, Stone House Court, London EC3A 7PB Tel: +44 (0) 171 903 0000, Fax: +44 (0) 171 903 0011 Email: pubs@aslib.co.uk, WWW: http://www.aslib.co.uk/aslib Views records from archives perspectives Views records from information management perspectives Views records from information technology perspectives Conceptual denition of records and records management Figure 2 Records Management and its Conceptual Framework The rapid changes in technology have changed many aspects of records, particularly in respect of their physical status. In the electronic environment, records seem to have lost their physicality. In such an environment, the focus of attention is on the records system life cycle rather than the record itself (Management of electronic records: issues and guidelines, 1990: 21). OShea (1996: URL) asserts that the exponential rate in technological change and the instability of the media means that traditional approaches 4 to both records management and archives have not been satisfactory for electronic records. I n this article, he identies several risks associated with the management of electronic records. These include: 5
uncontrolled accumulation of records, documents and data
inadvertent destruction of records, documents and data
unauthorised tampering with records and documents
lack of or absence of systems documentation and associated
metadata, and
poor uncoordinated recordkeeping and duplication caused by
the maintenance of parallel paper and electronic systems. Traditionally, and practically, records have been viewed as physical objects such as paper les, tapes, disks etc. Such descriptions present a major problem for electronic records since in electronic systems, records are neither purely documents nor objects. They are dependent on the medium on which they were originally or currently held. I ndividual records and their component parts may not be physically located in a logical sequence (OShea, 1996: URL). Based on such characteristics, the concept of the life cycle, which forms the primary conceptual framework for paper-based records management, is no longer appropriate for electronic records, although, clearly, the concept is also central to the management of these records. The above argument is supported by the Society of Australian Archivists. In the Australian Archives Act 1983 records are dened as physical objects: a document (including any written or printed material) or object (including a sound recording, coded storage device, magnetic tape or disc, microform, photograph, lm, map or graphic work) that is, or has been, kept by reason of any information or matter that is con- tains or can be obtained from it or by reason of its connection with any event, person, circumstance or thing. In contrasting this denition with the denition of records in an electronic environment, we will refer to this as the records as objects environment. 104 Records Management J ournal vol. 8 no. 2 Records Management Journal, Vol. 8, No. 2, August 1998 Aslib, The Association for Information Management. All rights reserved. Except as otherwise permitted under the Copyright, Designs and Patents Act 1988, no part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying or otherwise without the prior written permission of the publisher. Aslib, The Association for Information Management Staple Hall, Stone House Court, London EC3A 7PB Tel: +44 (0) 171 903 0000, Fax: +44 (0) 171 903 0011 Email: pubs@aslib.co.uk, WWW: http://www.aslib.co.uk/aslib The denition does not adequately serve as a denition of records in an electronic environment. This is because electronic records are neither pure documents nor objects, but are independent of the medium, and not necessarily located in a logical sequence or in the same physical space. Furthermore, the denition does not provide any evidentiary test (OShea, 1996). The records as objects denition needs to be further expanded by meeting the requirement, particularly in electronic systems, for records to qualify as evidence of business transactions. The concept of evidence is central to this new denition. OShea (1996) stresses that for a document to be useful as an evidential record, it therefore, must possess content, structure and context and be part of a recordkeeping system. A document in an information system which is, used ... for consultation only, has limited value as evidence. Realising the problems of applying the Australian statutory denition to the electronic environment, the Society proposed to update the denition. Their new denition is: a record is that which is created and kept as evidence of agency or individual functions, activities and transactions. To be considered evi- dence, a records must possess content, structure and context and be part of a recordkeeping system. Dening records in an electronic environment poses conceptual problems. On the one hand, Cox suggests that the functional approach is an excellent conceptual framework in which a practical means of managing records can be developed, whilst Duff holds that the transactional nature of the record is the core concept in dening records (1994: 141). On the other hand, Bearman emphasises the aspect of evidence. He rmly asserts the importance of the characteristic as central to the electronic records management issue (Bearman, 1995b: 201). Bearman calls for a review of the approach and concepts used in managing records as a result of the increasing proportion of records now in electronic formats. He observes that in the records as objects environ- ment, the discipline depends on the study of original texts, images and multimedia sources. The emphasis has always been centred on the ability to view sources which have been created in the past, the certainty of authenticity and ascertaining provenance. However, the electronic environment raises questions about how to create and preserve electronic records with provable authenticity. Authentication is important to ensure records serve their evidential function. Records will only be evidence if the content, structure and context information (metadata) required to satisfy the functional requirement is captured, maintained and usable (Bearman, 1995b: 201). Since electronic records can be easily 105 August 1998 The eluding denitions of records and records management Records Management Journal, Vol. 8, No. 2, August 1998 Aslib, The Association for Information Management. All rights reserved. Except as otherwise permitted under the Copyright, Designs and Patents Act 1988, no part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying or otherwise without the prior written permission of the publisher. Aslib, The Association for Information Management Staple Hall, Stone House Court, London EC3A 7PB Tel: +44 (0) 171 903 0000, Fax: +44 (0) 171 903 0011 Email: pubs@aslib.co.uk, WWW: http://www.aslib.co.uk/aslib amended, leaving no trace of the original version, special precautions need to be taken. The issues raised by Bearman have prompted OShea (1996: URL) to suggest that there is a need for a re-evaluation of the techniques required to capture and preserve records as evidence of organisational transactions. Bearmans views are supported by Duranti; Eastwood and MacNeil (s.d.). They agree that in the records as objects environment, a record needs several components such as medium, content, form, persons and actions. Records must consist both of the information and the carrier. Since most records are created on paper, so records have traditionally received treatment as physical materials. In other words, it is the medium that has been the concern in the past and records are not affected by their state of transmission. Cook agrees that the situation discussed above is no longer practical as electronic methods come to dominate administration. He says that in this situation, records are both objects and components in dynamic systems (Cook, 1993: 24). A record itself is not a physical substance, but an abstract commodity which takes real form only when captured and put on to a carrier. As such, the basic idea of records has been trans- formed signicantly and the standard means of describing records are inadequatefor electronic records. Records in electronic environments are different in physical form, technological dependence, use and custodian- ship (Cox, 1994: 2). This records as electronic objects environment now seems to offer the best way forward for an acceptable, and universal denition. That there is now a degree of agreement can be seen in the denitions used in the Australian Standard, the European view and the I CA Committee on Electronic Records. Records are dened as recorded information, in any form, including data in computer systems, created or received and maintained by an organisation or person in the transaction of business or the conduct of affairs and kept as evidence of such activity by The Australian Standard (AS 4390.1 1996:6). The European view on records as expressed in the I NSAR document is that a specic piece of recorded information generated, collected or received in the initiation, conduct or completion of an activity and that comprises sufcient content, context and structure to provide proof or evidence of that activity (I NSAR, 1997: 12). This denition agrees with that of the I CA Committee on Electronic Records. The I CA denition of a record is recorded information produced or received in the initiation, conduct or completion of an institutional or individual activity and that comprises content, context and structure sufcient to provide evidence of the activity regardless of the form or medium (Erlandsson, 1997: 7). 106 Records Management J ournal vol. 8 no. 2 Records Management Journal, Vol. 8, No. 2, August 1998 Aslib, The Association for Information Management. All rights reserved. Except as otherwise permitted under the Copyright, Designs and Patents Act 1988, no part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying or otherwise without the prior written permission of the publisher. Aslib, The Association for Information Management Staple Hall, Stone House Court, London EC3A 7PB Tel: +44 (0) 171 903 0000, Fax: +44 (0) 171 903 0011 Email: pubs@aslib.co.uk, WWW: http://www.aslib.co.uk/aslib Conclusion The conceptual issues brought up by both Bearman and Duranti are not new. They had been raised by J enkinson as early as 1922 when he wrote A Manual of Archive Administration. Though not specically talking about computer generated records, he strongly asserted that: any form of transaction where they have any result upon the business transacted by the ofce shall be readily assimilated to the ordinary paper recorded document. Thus whatever system is employed shall secure authentication of the copy or original preserved. (1965: 139) Both Bearman and J enkinson are stressing the same issue the authentication of records. The only difference is that Bearman raises the matter in relation to electronic records whilst J enkinson was concerned with establishing archival concepts. With hindsight, J enkinson appears futuristic when he remarks that the techniques of Archive Making recommended in the Manual are not all practicable under modern conditions, but the principles behind them remain sound (1965: x). Even in a less complex environment, he concluded that dening a document was a difcult task. Regardless of the environment in which records are created and managed, as Hare and McLeod (1997: 3) correctly point out, there are three aspects common to all records. These are the message or the information they carry, the mediumor the physical carrier of the information, and the context or the purpose for which they were created. The most recent denitions referred to above (the Australian Standard, INSAR and ICA) all support the concept of the separation of the message from the carrier, and the need to concentrate on the carrier as the means of providing authenticity and evidence. References 1. There are several distinguishing characteristics of records laid out by Penn, Pennix and Coulson (1994: 4) such as:
Records must be managed by the organisation that originates
them; the importance of records lies on the information they contain which then becomes the main consideration of records management; and a record has its own life cycle from the creation through the use and maintenance and nally ultimate disposal or archiving. 2. This indicates that information has two uses. One relates to the present and the other relates to the past. I nformation that passes 107 August 1998 The eluding denitions of records and records management Records Management Journal, Vol. 8, No. 2, August 1998 Aslib, The Association for Information Management. All rights reserved. Except as otherwise permitted under the Copyright, Designs and Patents Act 1988, no part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying or otherwise without the prior written permission of the publisher. Aslib, The Association for Information Management Staple Hall, Stone House Court, London EC3A 7PB Tel: +44 (0) 171 903 0000, Fax: +44 (0) 171 903 0011 Email: pubs@aslib.co.uk, WWW: http://www.aslib.co.uk/aslib out of currency should be distinguished from current information. This is the concern of records management. 3. This is particularly true of the management information systems (MI S) professionals. Records, to MI S, mean an aggregate that consists of data objects, possibly with different attributes, that usually have identiers attached to them. 4. The traditional approach to records and archives management has had the following general characteristics: I . archivists deal with both records and archives management. This is derived from the perception that archives are dumping grounds for records I I . signicant records management and archives dichotomy where records management is at the beginning and middle while archives is at the end of the records life cycle I I I . both records and archives are physically held by archival institutions I V. appraisal of physical accumulations of records V. preservation of the original media VI . luxury of time VI I . records managers and archivists as separate professions VI I I .descriptive practices based on records with the same numbering system or physical characteristics I X. comprehensible without the need for machinery X. large physical storage space for records is required; and the provision of passive access to electronic records (i.e. access to the media not the contents) (OShea, 1996. http://www. inter- gate.bc.ca/nepac/provenance/ vol.1/no.2/features/erecs1a.htm#5) 5. I f these characteristics are present, they can cause the following: I . system paralysis or hindrance in accessing information I I . purchase of additional storage incurring additional costs I I I . increased risk of wholesale, unsystematic and possibly illegal destruction I V. loss of valuable business and archival records V. increased risk of security breaches VI . unauthorised alteration or deletion of records (loss of evidence) VI I . public embarassment VI I I . unnecessary delays in or breakdowns in the business process; and lack of public accountability (I bid). 108 Records Management J ournal vol. 8 no. 2 Records Management Journal, Vol. 8, No. 2, August 1998 Aslib, The Association for Information Management. All rights reserved. Except as otherwise permitted under the Copyright, Designs and Patents Act 1988, no part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying or otherwise without the prior written permission of the publisher. Aslib, The Association for Information Management Staple Hall, Stone House Court, London EC3A 7PB Tel: +44 (0) 171 903 0000, Fax: +44 (0) 171 903 0011 Email: pubs@aslib.co.uk, WWW: http://www.aslib.co.uk/aslib Bibliography AS 4390.1. Australian standard: records management: Part 1: general. Homebush, NSW: Standards Australia, Standards association of Australia, 1996. Bearman, David. 1994. Archiving and authenticity. http://www.ahip.getty.edu/agenda/archiving.html Bearman, David. 1995a. Towards a reference model for business accept- able communications. I n: Richard J . Cox (ed.). University of Pittsburgh recordkeeping functional requirements projects: reports and working papers progress report two. (LI S057/LS95001). Pittsburgh: School of Library and I nformation Science, University of Pittsburgh. Bearman, David. 1995b. Interim reection on tactics for satisfying record- keeping functional requirement. I n: Richard J . Cox (ed.). University of Pittsburgh recordkeeping functional requirements projects: reports and working papers progress report two. (LI S057/LS95001). Pittsburgh: School of Library and I nformation Science, University of Pittsburgh. Becker, L. G. 1980. I nformation resource management (I RM). Bulletin of the American Society for I nformation Science6,6(August): 26-27. Charman, Derek. 1984. Records surveys and schedules: a RAMP study with guidelines. Paris: Unesco. Clubb, Clare. 1991. Records management: the theory. I n: Gregson (ed.). I ntroducing records management. Proceedings of one-day conference enti- tled I ntroduction to records management, at the Shakespeare Memorial Room, Paradise Circus Complex, Birmingham 24 May 1990. [s.l]: records Management Group of the Society of Archives. Cook, Michael, 1993. I nformation management and archival data. London: Library Association Publication Cox, Richard J . 1994. The records: is it evolving? Records & Retrieval Report 10,3 (March):1-16. Cox, Richard J . (ed.) 1995. University of Pittsburgh recordkeeping functional requirements projects: reports and working papers progress report two. (LI S057/LS95001). Pittsburgh: School of Library and I nformation Science, University of Pittsburgh. Duff, Wendy. 1994. Dening transactions: to identify records and assess risk. I n: Cox, Richard J . (ed.). University of Pittsburgh recordkeeping functional requirements projects: reports and working papers progress 109 August 1998 The eluding denitions of records and records management Records Management Journal, Vol. 8, No. 2, August 1998 Aslib, The Association for Information Management. All rights reserved. Except as otherwise permitted under the Copyright, Designs and Patents Act 1988, no part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying or otherwise without the prior written permission of the publisher. Aslib, The Association for Information Management Staple Hall, Stone House Court, London EC3A 7PB Tel: +44 (0) 171 903 0000, Fax: +44 (0) 171 903 0011 Email: pubs@aslib.co.uk, WWW: http://www.aslib.co.uk/aslib report two. (LI S057/LS95001). Pittsburgh: School of Library and I nformation Science, University of Pittsburgh. Duranti, Luciana; Eastwood, Terry; and MacNeil, Heather. (s.d.) The preservation of the integrity of electronic records. http://www.slais.ubc.ca/users/duranti. Emmerson, Peter. 1989. What is records management? In: How to manage your records: a guide to effective practice/edited by Peter Emmerson. Cambridge: I CSA Publishing. Erlandsson, Alf. 1997. Electronic records management: a literature review. Paris. I nternational Council on Archives. Gagnon, Marlene. 1987. Glossary of technical terms. I n: Carol Couture and J ean-Yves Rousseau. The life of the document: a global approach to archive and records management/translated by David Hamel. Montreal:Vehicule Press. Gill, Suzanne, L. 1993. File management and information retrieval systems: a manual for managers and technicians. 3rd ed. Englewood, Colorado: Libraries Unlimited, I nc. I NSAR. 1997. Guidelines on best practices for using electronic informa- tion: how to deal with machine-readable data and electronic documents. Updated and enlarge edition. INSAR (Information Summary on Archives) Supplement I I I . Luxembourg: DLM-Forum Electronic Records, 1997. Hare, Catherine E. and McLeod, J ulie. 1997. Developing a records man- agement programme. London: The Aslib Know How Series. J enkinson, Hilary. 1965. A manual of archives administration (A reissue of the rev. 2nd ed. with introduction and bibliography by Roger H. Ellis). London: Percy Lund, Humphries & Co. Ltd. Langemo, Mark. 1995. Successful strategies for establishing or strength- ening a records management program. I n: Proceeding your highway in information management: ARMA I nternational Annual 40th Year Conference, October 22-25, Nashville. Prairie Village, K.S.: ARMA I nternational. Management of electronic records: issues and guidelines/prepared by the Advisory Committee for the Co-ordination of I nformation Systems (ACCI S). New York: United Nations, 1990. McCarthy, J . D. [s.d.]. Records management in business. I n: Business Archive Council: Records Aids No. 1. London: Business Archive Council. 110 Records Management J ournal vol. 8 no. 2 Records Management Journal, Vol. 8, No. 2, August 1998 Aslib, The Association for Information Management. All rights reserved. Except as otherwise permitted under the Copyright, Designs and Patents Act 1988, no part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying or otherwise without the prior written permission of the publisher. Aslib, The Association for Information Management Staple Hall, Stone House Court, London EC3A 7PB Tel: +44 (0) 171 903 0000, Fax: +44 (0) 171 903 0011 Email: pubs@aslib.co.uk, WWW: http://www.aslib.co.uk/aslib Mellody, Michael. 1992. Records management and librarianship. Mousaion 10,2: 3-24. OShea, Greg. 1996. Keeping electronic records: issues and strategies. Provenance the Electronic Magazine 1,2(March). http://www.intergate.bc.ca/netpac/provenance/vol.1/no.2/features/erecs1a.htm Penn, I ra A.; Pennix, Gail B.; and Coulson, J im. 1994. Records manage- ment handbook. 2nd ed. Hampshire: Gower. Robek, Mary F.; Brown, Gerald F.; and Maedke, O. Wilmer. 1987. I nformation and records management. 3rd. ed. Encino, California: Glencoe Publishing Co. Robek, Mary F.; Brown, Gerald F.; and Stephens, David O. 1996. I nstructors manual for information and records management: document- based information systems 4th ed. New York: Glencoe. Skupsky, Donald S. 1995. Legal requirements for records management programs: advanced issues. I n: Proceeding your highway in information management: ARMA I nternational Annual 40th Year Conference, October 22-25, Nashville. Prairie Village, K.S.: ARMA I nternational. Smith, Milburn D. 1986. I nformation and records management: a decision-makers guide to systems planning and implementation. New York: Quorum Books. Wallace, Patricia E.; Lee, J o Ann; and Schubert, Dexter R. 1992. Records management integrated information systems. 3rd ed. Englewood Cliff, New J ersey: Prentice Hall. Walters, Tyler O. 1995. Rediscovering the theoretical base of records management and its implications for graduate education: searching for the new School of I nformation Studies. J ournal of Education for Library and I nformation Science36,2(Spring): 139-154. Whitehead, Terry. 1985. What is records management? Proceedings of a one-day seminar held at the Westgate Hotel, Newport, Gwent 22nd Nov. 1985. [s.l.]: Society of Archivists Records Management Group. Authors Zawiyah Mohammad Yusof is a qualied librarian and archivist. She worked as a librarian in Malaysia for 10 years before taking up a lecturers post in the Department of I nformation Science at Universiti Kebangsaan Malaysia in Selangor. She is currently a Ph.D student in the Department of I nformation and 111 August 1998 The eluding denitions of records and records management Records Management Journal, Vol. 8, No. 2, August 1998 Aslib, The Association for Information Management. All rights reserved. Except as otherwise permitted under the Copyright, Designs and Patents Act 1988, no part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying or otherwise without the prior written permission of the publisher. Aslib, The Association for Information Management Staple Hall, Stone House Court, London EC3A 7PB Tel: +44 (0) 171 903 0000, Fax: +44 (0) 171 903 0011 Email: pubs@aslib.co.uk, WWW: http://www.aslib.co.uk/aslib Library Studies, at the University of Wales at Aberystwyth, where she is researching Business Records: The Neglected Source of I nformation in Malaysia. Robert Chell is a qualied archivist. Following extensive experience as a senior local authority archivist and records manager in Hampshire, Devon and Glamorgan, he became Director of the Archives and Records Management Programme at the University of Wales at Aberystwyth in 1993, where he teaches archive theory, records management and information and communications technology. Zawiyah Mohammad Yusof & Robert Chell, Department of I nformation & Library Studies, Llanbadarn Fawr, Aberystwyth, Ceredigion, SY23 3AS, Wales, UK. Email: smy96@aber.ac.uk and roc@aber.ac.uk 112 Records Management J ournal vol. 8 no. 2 Records Management Journal, Vol. 8, No. 2, August 1998 Aslib, The Association for Information Management. All rights reserved. Except as otherwise permitted under the Copyright, Designs and Patents Act 1988, no part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying or otherwise without the prior written permission of the publisher. Aslib, The Association for Information Management Staple Hall, Stone House Court, London EC3A 7PB Tel: +44 (0) 171 903 0000, Fax: +44 (0) 171 903 0011 Email: pubs@aslib.co.uk, WWW: http://www.aslib.co.uk/aslib