RECORDS AND INFORMATION

MANAGEMENT: THE
REQUIREMENT FOR FUNCTIONAL
CLASSIFICATION

Zawiyah M. Yusof
Universiti Kebangsaan Malaysia
 Introduction

Classification is central for effective & efficient records & information management
(RIM), but has not been addressed accordingly since RIM initiative has not received
priority despite of its importance in the current information-based world

It is a management tool that provide for a systematic arrangement of objects into categories
accurately to logical structured conventions, methods and procedural rules as represented in a
classification system

Classification is a key foundational element which used to systematize information &

facilitate retrieval
 Aim of the paper

To propose a function-based model that depict the functionality of a system and the logical
interconnections between functions which focuses on classification process

The model describes how classification flows operate from the highest level with a
view of the overall system, decomposed down to lower levels, describing the detailed
component specifications

Objective

Investigate how classification was constructed/developed and practiced in public agencies in Malaysia

(Department of Syariah Judiciary Malaysia (DSJM) was selected as a case study)

 What is classification?

Systemising information Carried out at the

to facilitate retrieval active phase

Although classification is similar in function in all information-related fields but

differs in application

In RIM, function-based classification is preferred over the subject-based one as it is able to

maintain the original order of records – a prime principle in RM which stems out from the concepts
of provenance and respect des fonds for ensuring the evidentiary value of records

In this paper records classification does not relate to categorisation of records based on the degree
of secrecy
 Why function-based classification?

i. An understanding of the relationship between the business and its records

ii. Identification of records required for their evidential value

iii. Prioritization of records for business value

iv. Facilitation of retention decision

Function-based classification is related with logical arrangement of all records documenting or evidencing the
activities of an organisation by analysing its business functions, sub-functions and activities
 Method

This study is executed base on research question - “How was classification developed in the selected
organisation”

The data was obtained through two techniques

(i) Interview (personnel in charged of records at the DSJM) & National Archive of Malaysia (NAM)

(ii) Document content analysis (15 documents) (PTO)

- The Department of Defense Records Management Function and Information
Model (DoD RMFI);
- Information and Documentation - Principles and Functional Requirements
for Records in Electronic Environments – part 2: Guidelines and Functional
Requirements for Digital Records Management Systems (ISO 16715);
- International Council on Archives (ICA);
- Australian Handbook HB5031;
- Model Requirements for the Management of Electronic Records (MoReqs);
- MoReqs2 and MoReqs2010;
- Norwegian Recordkeeping System (NOARKS) (version 4 and 5);
- United Kingdom Business Classification Scheme Design (UK BCS);
- Design and Implementation of Recordkeeping Systems (DIRKS);
- Business Activity Structure Classification System (BASCS);
- e-Strategi Pengurusan Arkib dan Rekod Kerajaan (e-SPARK);
- Information Management and Office System Advancement (IMOSA);
- University of British Columbia (UBC) project (Chain of Preservation Model
(COP) and Business-Driven Recordkeeping Model (BDR)); - -
Function-Activities-Transactions (FAT);
- Pittsburgh project and 3rd GF model.
 Data Analysis and Findings

The data from both the interview and document content analysis was analysed using direct interpretation
technique (or literal description of communications and document content) since the data is small

5 interesting findings:

i. There is no classification being practiced by DSJM in managing digital records. Classification for
paper records is underway and incomplete

ii. The shortcomings of classification has impede other areas - assigning judge/chief judge and lawyer promptly
- affect the court hearing - delay the processing of cases registered with the Syariah Court Case Management
System (SCCMS)

iii. The SCCMS has only a form of metadata categorisation which fails in tracking the previously registered and
related cases
Findings … cont

iv. Findings from the DCA revealed that classification has been depicted in all the documents
reviewed but without concise function-based model

v. There is a requirement to propose a new function-based model which is concise and

precise for managing digital records
 Why is a new model necessary?

The existing classification models are:

i. Appropriate for organizing information in the librarians’ custody

ii. The contents are lengthy > 50 pages - confusing

iii. Most models describe activities and transactions e.g. DIRKS

iv. Models depict all phases in the records life cycle but excluding classification
 Model Development

The proposed function-based model is presented in the form of context diagram, and decomposed the
processes into details, in 3 levels (shown in three separate Figure 1, 2 and 3). Each diagram represent a level.
These 3 levels are then summarised into a single diagram (Figure 4).

The lower levels of the model in Diagram A0 in figure 1 shows the decomposed functions as specific
processes which indicate the processes involved in managing records after being created. Records Creation
sub-processes are broken down into: 'Create Documents' (A1) and 'Capture/Save Documents' (A2).
Figure 1 First level (A0)
Figure 2 Second Level (A1)
Figure 3 Third level (A2)
Figure 4 Summary of Record Classification Functional Model
 Figure 4 depicts the whole process involved in developing a functional model of
records classification. It begins with a node index that acts as a road map to the
flow of processes. The node index show the processes and their outputs. The
context diagram, labelled in box A, shows the management of records creation at
the highest level. The diagram is simple however, it is difficult to understand its
function without decomposing their processes into different levels. Box B consists
of three levels of processes, described in figure 1, 2, and 3 respectively
 Discussion
Organisation faces problems as there is no guide no model to execute the practice for both paper and electronic
records. However classification has rarely given high priority by many organisations

Without classification, organisation tends to keep non-active records in a system - a

waste of storage space and impede efficiency. Only records with enduring value should be
retained

Although it is a core element in records management but has not been performed as organisation is ignorant of the concept
and its importance. A kind of classification has been practised but far from complying with the standard

Function-based classification was introduced with the belief that records are by-product of actions. Actions were
created within functions

Function-based classification is preferred as it rarely changes and has been well accepted in the US and Australia.
Has been adopted in many projects e.g. BASCS, DIRKS, UK Business Classification, and Pittsburgh Project
 Conclusion

A model, concise and precise in manner is deem necessary which describes the classification
activity

The proposed model has truncated the functions from function-activity-transaction into
function-activity and function only

Why truncated? To ease follow closely the guidelines for classification

 A precise RC models should include all elements related to classification:

Concepts and
A plan or schema for The way it is implemented
precepts of
implementation or deployed
classification
development
 RC should also describe the way functions are developed to
establish better communications between records managers and
IT team

The processes involved can be depicted graphically

This would benefit organisations in terms of reducing gaps in the

use of terminology, concepts and applications between RM and
IT, and promote good partnerships which, eventually, could
minimise RM system failure
THE END