finaliris records use - it-u

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Operational Use of Records Erik Borglund & Lena-Maria Öberg Departement of Information Technology and Media Mid Sweden University [email protected], [email protected]

Abstract The changeover from paper based records to electronic records in many organizations involves no longer only recordkeeping experts, but also people from the information system community. Electronic records are created, managed and preserved within information systems and methods to support this must be developed. In this paper the operational use of records and how that use might affect development of information systems supporting recordkeeping are of interest. This paper is empirical grounded with data from four previously performed studies. The results are compared with two existing models of recordkeeping; the life-cycle model and the Record Continuum Model. This paper presents a result where operational records use can be described in three categories; decision support, intelligence support and information retrieval. The operational use of records is widespread, difficult to predict, and not always related to a record’s original purpose of use. A record has an operational value that not always has been an issue of interest by the recordkeeping community. This altogether motivates both that a proactive approach is necessary when designing information system supporting recordkeeping, but also that the Record Continuum Model is more applicable when dealing with electronic records.

Keywords: Record Continuum Model, Electronic record, Life-cycle model, Operational record use

Erik Borglund, Lena-Maria Öberg: Operational Use of Records

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Introduction In many organizations, as for example in the Swedish police and in the Swedish health care, there are changeovers from paper-based records1 to electronic records. This is a natural process, when more and more information and documents are created by usage of computer based information system2. In public organizations records are evidence of activities and decisions, and recordkeeping ensure necessary transparency and accountability in for example government actions (c.f. Krisberedskapsmyndigheten, 2005; National Archives of Australia, 2001; Reed, 2005). Records are a subset of information with unique characteristics in relation to other forms of information. Records are results of transactions and must be kept reliable and authentic as evidence of the particular transaction (Duranti, 2001; Reed, 2005). One of the characteristics of records is the requirement of preservation, where the authenticity and reliability must be maintained. Electronic records implicit have changed the whole process of recordkeeping, and much has to do with the issue of preservation. Paper based records have often been in form of a document, tangible and physical, and have been preserved in repositories with correct lighting, temperature and air humidity, and have proven to be possible to preserve for a very long time. When records became electronic, and created within information systems (IS), the traditional recordkeeping processes and records management were not sufficient for this change. Electronic records are not physical and tangible objects, they are virtual and could consist of information from different locations (e.g. databases).

As electronic records are born digital they are implicit also of interest for persons involved in design of IS because they are created, managed and preserved within IS, and within all these phases should electronic record requirements be fulfilled. In design and development of IS both user and use are natural components to identify in many of the development methods available (see e.g. Pressman & Ince, 2000). It is not an understatement that the use of records must be taken into consideration when designing IS for recordkeeping purpose

There two major perspective on recordkeeping; record life-cycle model, and the Records Continuum Model (Hänström, 2005). The differences between them are briefly that the life-cycle model sees record as existing with a linear and decreasing grade of usage/activity that ends up with decision whether the record should be destroyed or preserved, which occur when the record is no longer by the creating organization. The Records Continuum Model states that records exist 1 “Information created, received, and maintained as evidence and information by an organization or person,

in pursuance of legal obligations or in transaction of business” International Standards Organization, 2001, p.3. Examples of records are; healthcare records, project documentations, minutes of meeting and inspection reports.

2 Henceforth will information system be used, instead of computer based information system.


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in a continuum space-time, and that records never are finished in their creation, they are in continuous change. The use of records could within the continuum model vary and shift from inactive to active at any moment. The life cycle model has its basis in paper based recordkeeping and the Record Continuum Model has its basis in both paper based and electronic recordkeeping. In this paper we argue that knowledge about the use of records is important if IS should be able to support the needs and requirements a user has on the system. The research question which motivated this study was:

Does actual use of records corresponds with the use that implicit is described within the two dominant models of recordkeeping?

The aim of this paper is to increase the knowledge of how records are used and from that knowledge find implications whether the dominant recordkeeping models are applicable to describe records’ use and implicit support design and development of IS involved in recordkeeping.

In this paper we are especially interested in what we call operational use of records, a use which supports one, or several organizations and people within those organizations specifically their business.

The rest of the paper is organized as follows: First a brief section on the research method applied. Then, the concept of records, the record life-cycle model and the continuum model are presented as a theoretical framework in one section. The paper ends with a combined result/discussion section.

Research Method This paper is based on empirical data from four previously performed

qualitative studies, which all applied an interpretative case study approach (Walsham, 2002). The studies have all been carried out within the research project Archives of the Future3. The common topic for all these four studies was records and electronic records. The four studies are listed below, and their extent presented briefly.

1. A study of what is possible to define as the characteristics of records, a case study with empirical data from four different organizations (Öberg & Borglund, 2006)

2. Processes and metadata, a case study with empirical data from two organizations (Öberg, 2005)

3. E-quality implementation in an e-archive solution, a case study from a single organizations (Borglund, 2005a)

4. Information management within the Swedish Police Force, based on empirical data from 29 interviews and observations (Borglund, 2005b)

3 Archives of the Future: Electronic record management in Swedish public organizations and companies is a

EU funded research project at Mid Sweden University between 2004-2006.


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Beside these four interpretative case studies one interview/seminar was held with a former archive strategist/product manager at the National Landsurvey in Sweden (Lantmäteriverket).

The empirical data from the studies in form of transcriptions, observation notes, and official documents have been read through once again and different situations where records were used were identified. These situations of record use have been categorized inductively and given descriptive names. In this paper excerpts have been used to describe and exemplify a selection of these different ways to use records.

The two dominant perspectives on recordkeeping Hänström (2005) presents, the record life-cycle model and the Record Continuum Model are two models that can be interpreted as opposite to each other. The purpose of this paper is not to validate the two models, but to analyze whether one, both or none of the models are applicable in understanding records’ use in relation to the empirical material.

Theoretical framework In this section the theoretical background of records, the record life-cycle model, the Record Continuum Model, and IS relation to recordkeeping is presented.

Records

Records and archives are the two concepts which make archival science (Thomassen, 2001). Records should not be mixed with the concept of records used in database theory (e.g. Connolly & Begg, 2005; Teorey, 1999). Recordkeeping is a process involving both record management and archival management (National Archives of Australia, 2001). Research on records addresses different aspects of the characteristics of records. Samples of the variety of those characteristics are presented below:

Records are physical, have a content, a structure/form and are created in a context (Hofman, 1998)

Records are evidence of actions and transactions (Reed, 2005; Thomassen, 2001)

Records are process-bound information, i.e. “information that is generated by and linked to work processes” (Thomassen, 2001, p 374)

Records should support accountability, a “principle that individuals, organizations, and the community are responsible for their actions and may be required to explain them to others”(International Standards Organization, 2001, p.2) (c.f. Meijer, 2001)

Records must be preserved, some for a very short time and some permanently (see e.g. McKemmish et al., 2005a)


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Records are part of the organisational memory and are used to support operational management (Cox, 2001; National Archives of Australia, 2001)

In traditional recordkeeping theory, records have different values, one primary and one secondary (c.f. Schellenberg, 1998). The different values consider different purposes of use The primary value is to serve as evidence and support business activities (e.g. Sprehe, 2000; e.g. Thomassen, 2001), which in this paper are defined as operational use. The secondary value is evidence supporting research, i.e. records serve as evidence of the past (e.g. Thomassen, 2001) and are by tradition used by for example historians.

In this paper the ISO 15489 definition of record is used which is a widespread an well accepted definition in both research and practice:

- “Information created, received, and maintained as evidence and information by an organization or person, in pursuance of legal obligations or in transaction of business.”(International Standards Organization, 2001, p.3)

Henceforth the meaning of records should be understood in relation to this definition.

Records are always transactionally bounded and should be able to be used as evidence, which is central in recordkeeping theory. For example, if a record cannot be used as evidence, accountability is not assured (e.g. Reed, 2005). According to Cox (2001) the evidential value of a record can only exist if the content, structure, and context are preserved. The context is the link between different records that belong together and also to the process where the record was created. The Records’ relation to transactions is what makes records different from information in general and what enables the evidential functionality of records (Reed, 2005).

An electronic record is a record born digital. There is no difference in the expected functions between records and electronic records, but there are differences in structure and form. The majority of traditional records are paper-based. A traditional record is a physical entity, often a document (e.g. Reed, 2005; Thomassen, 2001). The electronic record is more of a logical and virtual entity, of which integral parts can be managed at different places within an information system, or even in different information systems (Dollar, 1992). The span of the variation of possible electronic records, can be described as follows:

- Entity like, i.e. one file which eventually have the possibility to appear

as a digital document on a computer screen.

- Composed by data from different locations and different systems that

together forms a record, data that both can be derived and filtered from

other data sources. An electronic record is a record born digital.


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Record life-cycle model

The record life cycle model is originating from T.R Schellenberg’s original thoughts from 1956, where he presented a clear distinction between the record management and the archival preservation of records. Preservation is according to Schellenberg managed by archival institutions (Schellenberg, 1998). Records are created and actively used in relation to the purpose of their creation. When the record no longer is useful for its main purpose, a decision is taken whether the record should be preserved or destructed. This can either be visualized as a record’s life cycle (fig 1) or as a graph (fig 2). The record’s life cycle model has been actively used in north America, and implies a separation between records management and archival management (Gilliland-Swetland, 2000; Shepard & Yeo, 2003; Ulfsparre, 1998).

The record’s life cycle (fig1) starts with the creation of a record, and when a record is used frequently it implicit is described as active. After some time the record becomes less used, and enter the semi-active/inactive period. The last period occurs when the record is inactive and is no longer used. At this point the majority of the records are destroyed and a limited amount is transferred to archival repositories for preservation. The appraisal of records is performed at the final disposition point within the model.

Fig 1 The record lifecycle an own interpretation of GNTW (2002)

Fig 2. The Schellenberg idea of record life and management (Shepard & Yeo, 2003, p.7)


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The Record Continuum Model

The continuum model is developed by Frank Upward and his colleagues at Monash University in Australia. The aim of the model is to support archivists in their concern with the relationship between recordkeeping and accountability (Upward, 2005). Upward (2005) claims that he is well aware that a model for recordkeeping ought to consider both an object oriented approach and a system-based approach. A characteristic of the model is the view of records as unstable. Upward claims that there are no end products in an archival institution so there is a need for continuing addition of process metadata meanwhile the record changes during space-time. The model is four-dimensional, see figure 3. The traditional archival methods are creating one-dimensional documents and two-dimensional records, or three-dimensional archives, but technologies enable a four-dimensional approach. Records can have multiple lives in space-time (Upward, 2000). McKemmish (2001, p.336) is of the opinion that use of the model will lead to “accessibility of meaningful records for as long as they are of value to people, organizations, and societies – whether that is for a nanosecond or millennia.”

Fig. 3 The Record Continuum Model. © (Upward, 2005, p.203)

According to McKemmish et al (2005b) the key difference between the life cycle model and the records continuum model is that each stage of the life cycle is conceptualized as a one-dimensional space in the former. Recordkeeping or archiving processes take only that stage perspective in consideration. Irrespective of which dimension that is in focus (creation, capture, organization or


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pluralization) when working with the records continuum model all the other dimensions is present.

A proactive approach when designing IS involved in recordkeeping

As early as David Bearman (1994) addressed the importance of recordkeeping practitioners’ and researchers’ knowledge of IS development and design. Such knowledge is a base for working proactively to identify record requirements before a system is designed and developed. To implement recordkeeping requirements in already developed and running information systems could be costly. The proactive approach is also supported by Frank Upward (2000, 2004, 2005) and is embedded in the continuum model. The whole idea with the proactive approach is that requirements must be initiated early in a IS design and development process to ensure reliable and authentic records.

Result and discussion In this section three identified categories of operational use of records are presented. The purpose has not been to categorize different types of record use, but these categories appeared clearly during the analysis. They should not be interpreted as a suggestion of a general categorization over how records are used operational. These categories are applicable on the empirical material used in this paper, and are therefore used to present the results.

Each of the three categories are presented below, and under every subheading a set of excerpts from the empirical material are presented to exemplify the actual use of records.

Decision support

Records can be used to support different decisions within an organization. Within the empirical material this category was well represented. The excerpts in this section show that records can be used to support decisions both by the organization, individuals within an organization, and by other organizations.

Excerpt 1. When police officers get a call from the dispatch central they often get information about what have happened and where the situation have happened. This information is often very limited and gives little support in the officers’ tactical and juridical decisions/approach. Police officers often ask the dispatch central to


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search within police information systems4 of existence of other records that can complement the basis for decisions.

In this excerpt the use of record is on a very operational level. Police officers collect information to support their decisions dependent on occasion, and they often know what the dispatch central should search for.

Excerpt 2. Enterprise ‘A’, is a large enterprise, a production company that refine wood to paper products in an advanced process at a large factory. The spot price on birch-tree they are using for this process had increased much the last months, making a lower profit for the enterprise. Eucalyptus is another type of wood similar to birch-tree that might be possible to be used as supplement, but the company enterprise ‘A’ does not know if eucalyptus wood gives the same yield and product quality. Employees at enterprise ‘A’ know that this situation also occurred 15 years ago. The same employee also remembered that enterprise ‘A’ at that time did a total analysis of eucalyptus wood, including differences in yield, needs for changes in the production process, and a basis for decision whether it was worth to use the cheaper eucalyptus wood instead of birch-tree. This analysis was supposed to be found in the archival repository, but was not found. Enterprise ‘A’ had to decide if they should start a new costly analysis of eucalyptus wood or not.

When the study at enterprise ‘A’ mentioned in the excerpt above was finished, they had not yet decided if they should start a new analysis, because of the high cost for such analysis. This excerpt shows how an old record that was stored in an archive, in other words the last position within life-cycle model, can be used operational. At the time for physical archiving of the analysis, probably no one could predict if and when there should occur a need for the analysis.

Excerpt 3. The Swedish Companies Registration Office (SCRO) keeps records over all companies in Sweden. When new companies want to be registered, they must give a suggestion of a company name. Both internal and external records are used by administrative officials at SCRO to check whether the suggested name can be accepted or not. External records are both Swedish as well as records from other countries. The process aims to minimize risk of name or patent infringement.

Not only records produced by the own organization are used operational as excerpt three visualize, something excerpt five also shows.

Excerpt 4. Swedish health care records are legislated to be preserved for the lifetime of the patient and additional ten years. A patient’s medical history is kept in the health care records. In some

4 The police information systems intended (referred to) in this paper have a content that must be preserved

for ever, regulated by the Swedish National Archives


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cases this information is vital for correct choice of treatment. Even after a patient is dead his/her health care records could be used to give answers to questions whether the treatment was correct in relation to the illness.

Health care store all record in archival repositories when the actual treatment have been finished, and are considered as inactive then. Archived records can support medical decisions in the future as well as decisions for example the Social Insurance Agency (Försäkringskassan) whether the injury or illness can be result in any financial support.

Excerpt 5. The National Landsurvey in Sweden manage the cadastral system and are also responsible for providing geographic information. They use old information from the archives, for example when changes in the cadastral system should occur. After such change the information retrieved from old records in the archives are embedded in the new records created during the change process. As time passes the need for retrieving information from the oldest inactive records is decreasing. Even if those old records could be less used by the National Landsurvey, they could be of interest for other authorities. When a Swedish county wanted to recreate wetlands in a region, they needed to start with the oldest records within the National Landsurvey’s archive, to find out when and what made the wetlands disappear, and what must be done in order to recreate them.

The excerpt above exemplifies how records within the archive can be used as decision support for both the archive holder and others.

Intelligence support

The intelligence is the art of making correct guesses. According to Agrell (1998) the second step in the intelligence process is to collect and gather information in order to make an intelligence analysis. In this category record use is about producing intelligence and not about decisions. Even if intelligence most often follows by some sort of decision, the following excerpts present use of records within the intelligence processes.

Excerpt 6. SCRO gets several request from people to either retrieve copies of records or to access the original records. There are for example private companies working with credit report that buy copies of records from the SCRO. Those companies use the records together with other information to do predictions of companies and individuals financial capacity.

This information is basically found in records in the archival repository of SCRO. According to SCRO is everything they keep in their archive part of their main business and never inactive, even if requests for some records might never occur.


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Excerpt 7. Police intelligence unit work is to give basis for police decisions on strategic level. When receiving a tip of a criminal activity, the police intelligence units begin to collect information from open, semi-open and secret sources. The open sources can be records which has its origin in other authorities’ archives. Semi-open sources is often the internal information systems containing records of the police, that are accessible for police officers, but not for the public. After a while the intelligence work ends up in a report. The report is aimed to be used as basis for decisions.

Excerpt 7 shows how police in intelligence process use records both self produced, and produced by others. This is similar to both excerpt 3, and 5.

Information retrieval

This category is about when records are used as a source of information to learn, which the categories presented in previous sections of course also are. The shades of meaning between those categories are that when records are used as a decision support the purpose is to support decisions, and the decisions are known in advance. In this category the actual usage of retrieved information is not known in advance. The main difference between our view on information retrieval and intelligence is that intelligence has always a purpose to end with a decision, or some action. Information retrieval can end with some action, but also only end with growth of knowledge.

An alternative name of this category could have been growth of knowledge, which information retrieval is about in this section.

Swedish police uses a command and control system to log activities of police officers. Records within the system are regulated to be preserved for ever. Within the system information such as level of dangerousness can be logged and tied to individuals, addresses, and even vehicles. The system can only keep the records searchable for 13 month. After 13 month all content and all records of the system is printed on flat ASCII files, which makes the records much more difficult to search within. The police follow the legislations, but loose operational support.

Excerpt 8. Police officers given a call of a family disturbance can get information from the command and control system if the police have been on that address on a similar case before, information that could be vital for their decisions of how to tactical approach the disturbance. The records together with their experience are the sum of their knowledge. The information is also necessary for the public prosecutor in his/her decision about legal means. Unfortunately those records are only kept in the command and control system for 13 month, and after that printed out for preservation. In worst case vital information could exist, but be older than 13 months and then impossible to retrieve operational, which results in a large disadvantage to solve the situation, i.e. less knowledge.


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To be informed is maybe the police officers best weapon to protect them selves at work. Therefore can almost all information be valuable, and the actual value can only be judged after each specific work situation. This information gathering does not only take place when police officers are heading towards a specific work. They collect information whenever they can, information that can be usable in the future, and to increase their knowledge and be more experienced. Much of this information has its origin in records. This can be described as internal information retrieval using records as source.

Excerpt 9. One of SCRO’s customers is the Swedish finance police that retrieve records from both companies that are running but also from closed companies, whose records are stored in the SCRO archival repository. The finance police use retrieved records both as information sources, but they also do forensic investigation/analysis of physical records. How every record then actually is used is dependent of the value of each record in relation to the Swedish finance police’s purpose for record retrieval.

The above excerpt exemplifies external information retrieval using records as source.

Excerpt 10. A large enterprise keeps detailed information about every part of the factory as records in the archival repository. When stoppage of production happens the maintain crew retrieve information from the archive, to reduce the time of stoppage. After an undesired stoppage of production records in the archive can be used to verify if the maintains plans have been performed or not, which can result in adjustments of the maintains plans to prevent similar situations to occur in the future.

Excerpt above gives one more example of operational usage of record, and how records first can solve an unexpected problem, and afterwards information can be used to redefine plans in order to prevent similar situations to happen in the future. In excerpt 10, first the records are used as intelligence for some action followed by a use better described as increase of knowledge.

Records use in relation to the two dominant models

According to the life-cycle approach the decision of preservation or destruction should take place when the record has passed the semi-active or inactive phase. The decision is based upon the records operational value. The judgment about the operational value focuses on the context of creation for the record. The excerpts presented in this paper show that records can have several operational contexts. A record can be used for different purposes during its lifetime. The Record Continuum Model on the other hand, recommends decision about preservation already when records are created to be able to prepare the records to possible


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fields of applications. The Record Continuum Model emphasizes that the operational value of records changes over time in a more or less linear fashion.

The life cycle model makes distinctions between different phases of use, active, semi-active etc. SCRO (mentioned in excerpt 3, 6 & 9) for example has to preserve all their records for ever. The different phases of activity are not applicable to organizations like SCRO. If they should have used the life cycle perspective they would never have come to any decision of preservation or destruction. Their records vary from active to semi active dependent on different operational needs. For SCRO the Record Continuum Model would be more applicable to describe the variation of use of records. Excerpt number 2, about enterprise ‘A’ and the analysis of raw material shows that it might be difficult to decide when a record is active or not. The life cycle model implies that there are absolute boarders between the different phases of use; this is not in agreement with what is presented in excerpt 2. There are several examples showing that records change phases iteratively over time.

The excerpts used in this paper display that the Record Continuum Model and the perspective it stands for better corresponds to the empirical data of records use than the life cycle model does.

In the life cycle model the activity and use is assumed to decrease over time. At some certain point is the use of records so low that decision about destruction or preservation is motivated. Excerpt 8 about police officers that only can retrieve information less than 13 months old in the command and control system, is a good example that the usability of a record are not linear, and difficult to predict. The excerpt indicates that there can exist needs to use the records even after 13 months. The decision about when records should be destructed is beside a basic assumption relying on that frequency of use is decreasing over time, depending on efficiency, storage capacity, and costs. By comparison with the two models this gives another argument for the Record Continuum Model.

It is not possible to generalize the need for records, it is necessary to estimate for example the frequency of use for each situation and record type and it have to be done in early stages of a system development chain. As for example at SCRO (excerpt 9) the frequency of use is naturally very low when it comes to closed companies.

Excerpt 3 & 5 gives example of an operational use of records from outside the organization. This is however something that is difficult to predict. The Record Continuum Model presents the view of a use of a record from an individual perspective to a societal perspective, but the life cycle model does not take this question into consideration at all. The Record Continuum Model’s perspective where a record is continually changing implies that new need and the certain requirements on the record may be included or added when the need arises.

When it comes to design and development of IS involved in recordkeeping, i.e. managing records in some way, this paper indicates that the Record Continuum


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Model is a model that can be used to support such design and development. By using the Record Continuum Model in design and development processes we believe that the variation in operational use of records can be better supported than by using the life cycle model as base. The final argument for the Record Continuum Model’s advantage is that it argues for a pro-active approach, which makes it more suitable to combine with system development methods. The corporate and individual memory is according to the presented excerpts something that seems important to studied organizations. To turn the records to the best account it is important to discuss the operational needs of records over time.

Conclusion The distinctions between the record management and archival preservation of records have old traditions and have formed the life cycle model. The Australian school of recordkeeping which is founded upon the Record Continuum Model makes no distinction between record management and archival management. Traditional, archival institutions should manage the preservation of records. But records are part of the organizational memory, and as shown by the excerpts in this paper, used in situations like decision support and intelligence support. The excerpts also visualize that records may have several operational values, which is important to take into consideration. To secure and make it possible to preserve records for a long time it is necessary to work from a continuum model perspective. This perspective conveys a proactive approach which means that decisions about preservation and destruction (as examples shows) needs to be a part of system development when the information system includes records. The excerpts that have been presented in this paper show that this concerns many types of information systems. This paper has argued that recordkeeping requirements have to be part of system development methods. There is however a need for future research to investigate how this should be done. Research issues of interest are for example; what kind of qualities is needed to guarantee the record quality over time; what are the characteristics of records; investigations of the use of records.

The main contributions of this paper are a view of records as an operational information source and that the long-term perspective following this variety of operational use must be included in development methods for IS involved in recordkeeping.

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