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Knowledge & Records Management Establishing Relationships for Common Development

Luciana Duranti and Sherry L. Xie School of , Archival and Studies, University of British Columbia, 1961 East Mall, Vancouver, Canada

Keywords:eywords: Knowle Knowledgedge ManaManagement,gement, Records ManaManagement,gement, InterPARES.

Abstract:bstract: This paper argues that there are logical relationshipsrelationships between the fields of KnowlKnowledgeeddgge MManagementana aggemment aanandnd Records Management, and the recognition of such relatirelationshipsonships will benefit the ddevelopmentevvellopopmementnt ooff bboboththh ffields.ieieldldss. ItIt bases these arguments on the nature of records andand Records Management as wellwelell ass thethee findingsfiindidings oof tthehe InterPARESInterPARES project.

1 INTRODUCTIONINTRODUCTION sstudy,tuddyy, oorr prpractice”acctticcee” (O((Oxfordxforrd EEnEnglishngglish Dictionary, 202012)0112) . TheThe termsteterrms tacittaciit andannd expliciteexplicit are chosen to KnowledgeKnowledge Management (KM) is a field based on grggroupoouup thethhe characteristicschchaaracteristics ofof knowledgeknowledge as discussed multidisciplinarymultidisciplinary ininputput and contribution. However,However,, inn KMKM literatureliitterature wwhichhhichh aallsoso reflectreflect ththee cchosenhosen thehe Records Management (RM) field appears neverneveer dedefinition.efinin ttiioon. ThThee tetermermrm tatacitcit subsusubsumesmes ththee beingeing discussed or researched in connection wwiwiththh chcharacteristicshara aaccteerir stics ofof beingbeiing invisible,invisible, experiential, KKM.M. This observation emerged from the findingsfinddiings ooff sussubjective,ubjbjeecctiiveve, inn associationassssoociation withwith a knower, hard oror thehe InterPARES project, which, for thirteenthirtteeen years,yeara s,s imimpossiblempoossssiblee toto beb articulatedarticulated oorr codifiedcodified,, etc.etc.,, and the hadad collectedcollected eextensivextensive ddataata oonn RMM wworldwideoorlddwiw dde tetermerrmm eexplicitxpplilicciit cocountsunts for the characteristics of being (www.interpares.orwww.interpares.org)g).. Although KM as a programproogrgrama abableblee ttoo bee documented/codifidocumented/codified andand mmobilizedobilized in ththee existsxists in many , ththehe colleccollectedteed daddatatata foformormm ooff tangible artefacts. In this paper, Wigg’s revealedevealed no existing RM-KM relationship.reelattiionship.. TThishhis waswaas knkknowledgeowledge assett is chosen to represent explicit confirmedonfirmed by a literature sesearcheararcch oonn bboboththh KKMM aanandnd kknknowledgeowledge (1993). RM,M, covering all pospossiblesiible typesttypees ofof ssourcesouo rcrcess ((i.e.,i.ee., A recordrecord isis dedefinedfined aass “a docudocumentment mademade or monograph,monograph, journal article,arrticiclle, InInternetntternnet rresource)essouourrce)) tthathaat rreceivedeceived in the course of a practical activity as an thehe authorsauthors hadhad accessed.accesssedd. iinstrumentnstrument or a by-product of such activity, and set This paper arguesarguees ththataat tthereheerer aareree llogicaloogical aside for action or reference” ((InterPARES).InterPARES). This relationshipselationships betweenbbetwweeen thethhe fieldsffields ofof KMK andandd RM,RM, and iimpliesmplies that records are first documents, i.e., thehe recognitionrecognnittioon of ssuchuuch rrelaelationshipstiioonshhipps willwiwillll bbenefitenefit the iinformationnformation affixed to a mediummedium,, and second that developmentevelopmmene t of bothbototh fields. ttheyhey are a special kind of document, the residue of action, purposely kept as evidence on which to base ssubsequentubsequent activities. 2 K KNOWLEDGENOWLEDGE & RECORDRECORD

Thehe termtermm knoknowledgewleddgge is not consensually defined in 3 KM & RM thehe KMM fieldfiieeld (Dalkir,(DaDalkl ir, 20092009),), yet the KM literature demonstratesemonstrrata eses continuouscononttinuous effortsefforts of describing and AmongAmong the numerous KM definitions, the one bbyy analyzingnalyzing thtthee uununiqueique characteristics of knowleknowledge.dge. Dr. Dalkir was chosen for its emphases on the Foror the purpose of this paper, the definition of purposefulness of KM and on the concept of knowledge was chosen to be “[t]he fact or condition as a whole. According to Dr. Dalkir of having acquired a practical understanding or (2005, p.3), KM is “a deliberate and systematic command of, or competence or skill in, a particular coordination of an organization’s people, subject, language, etc., esp. through instruction, technology, processes, and in order to add value through reuse and innovation”.

2 Duranti L. and L. Xie S. (2012). & Records Management - Establishing Relationships for Common Development. In Proceedings of the International Conference on Knowledge Management and Information Sharing, pages 247-250 DOI: 10.5220/0004110302470250 Copyright c SciTePress KMIS 2012 - International Conference on Knowledge Management and Information Sharing

By this definition, KM is driven or directed by established when they participate in and become an determined intention and has a nature that is integral part of a activity of the multifaceted. As its multifaceted nature comes from organization, regardless of where or how. The its multidisciplinary origin, KM work exhibits function of RM is to document the entire business different foci, including those on the design of process in the form of records, and this certainly information technologies, management, includes capturing the participation of the organizational learning, to name a few. In this paper, knowledge asset. In the context of performing a the phrase knowledge process by Wiig (1993) is business activity, a deliberately captured knowledge chosen to represent the variety of KM endeavors asset is by such action transformed into a record, as required to achieve KM goals. the capture occurs by classifying it in an RM refers to the systematic design, oorganization-wide,rganization-wide, business activity-directed records implementation,mplementation, and administrative of a cclassificationlassification system, and managingmanaging iitt in a frameworkamework thatthat ensures efficiencyefficiency and economy in rrecordkeepingecordkeeping system. In ththee process, thethhe knowledgeknknowowlel dge thehe creation, use, handling,handling, maintenance and asset will aacquirecquire an archivalarchival bonbondd withwwiitthh thetheh recordsreeccoorrdsd dispositionisposition (i.e., destruction or transfer to long-termlong-term ooff the and of thethee organizationorrggananizzatatiion aass a preservationreservation repository) of organizational records whole. This does not necesnecessarilyssaarriilyly mmeaneaean ththathatt tthehhe (InterPARES).nterPARES). In the InterPARES Chain of kknowledgenowledge asset has to be physicallyphhysysicicalallyy mmovedoovveded iintontn o thethe Preservationreservation (COP) model, RM encompasses two rrecordkeepingecordkeeping system, ass tthehehe aarchivalrcrchihivval bobbondonnd arises conceptuallyonceptually distinct systsystemsems deddedicatedicated ttoo rrecords-ecords- from the aattributiontttriribubutit on ooff metadmem tatadadatataa ttoo thtthehe asaassetsses t that put makingmaking and records-keeping respectively. iitt into relationreellaatitioonn withwiti h thetthhe orgorrggaanization’sninizzaatit oonn’’ss rrecords.ecords. KM anandd RMRM tthushhus iinintersectnteerrsseecct wwithith eeachacach oototherhher at ththee timtimee whwhenheenn an oororganizationrgganizaatitioonn aappliesppp lies externalized 4 KM-RM RELATIRELATIONSHIPSONSHIPS kknknowledgenoowledgge aanandd fulfilfulfillslss iitstts duty of keeping opooperationalpererata ioonnaal eevevidence.idence. Too illustrate the KM-RM relationship, the NonakaNonakaa andnd Takeuchi (1995) knowledge Socialization,Socializattiioonn, 4.24..2 InclusiveInI clusivve Externalization,xternalization, CombinCombination,ation, InternalizatioInternalizationn (SECI)((SSECCII) modelmodel is chosen for beingbeing the first KM modelmooddeel andandnd ToTo RM,RM,M PProcessesroocecesss es 2 and 3 are business activities of foror the influence it hahadd for disseminatingdissemminaattingg thetheh thtthehe KMKM ffunction,ununctc iion, same as the business activities of conceptsoncepts of tacit and explicit knowlknowledgeeddge ((Dalkir,DaDalklkir, anyanny ototherthheer organizationaloorganizational functions, such as financial 2011).011). EssentialEssentially,ly, the SECI mmodeloddele concontainstaainns fofourouurr management,mmaananagegemment, human , R&D, processesrocesses that can be repeatedrepeatedd wwheneverhhenever tththehe neneedeeedd oro mmarketing.arketing. The RM fifieldeld chcharacterizesaracterizes ththee arises:rises: Process 1, fromfrom tacittataccit toto tacittaacciti (i.e.,(ii.ee., operationooperation of an organization as fulfilling the various socialization,ocialization, suchsuch asas peer-to-peerpep eerr-tto-o-ppeeeerr functionsffunctions derivedderived from its mandate,mandate, each of which coaching/networking),oaching/networking), ProcessPPrroocess 2,2, fromfroom tacitttaciit toto consistsconsists of activities,activities, sub-activities,sub-activities, and transactions explicitxplicit (i.e., externexternalization,alliizzaattiion,, suchsucch ass capturingcapptturiinngg andannd (LAC,(LAC, 20062006).). Records are generated at the point sharing),haring), Process 3, fromfror m explicitexxpplicitt toto expliciteexplp iicciti (i.e.,(i.e., where a business objective necessitates combination,ombination,, ssuchucch as orgaorgrgaannizingizinng aanandnd clcclassifying),laasssiifying), documentation in order to produce consequences oror andnd ProcessProceesss 4,4 from explicitexxppliicciit toto tacitttacit (i.e., evidence of its fulfillment. Regardless of how the internalization,nternalizatatiioonn, ssuchucu h asa undunderstandingerrststananddiingng aandnnd learning). structuralstructural relationshirelationshipsps between the conceconceptspts of process, activity, and transaction are determined, to 4.1.1 TTrTransformativeansformatiivee achieve a business objective of KM, e.g., to capture thethe expertiseexpertise of an expert,expert, to build a communitycommunity of practice, or to constructconstruct knowledge , a Amongmonng thethe four pprocesses,roceessses, Process 2 and Process 3 seriesseries of documents is typically generated besides produceroduce tangibletangible knowledgeknowledge assets, which are thethe intended knowledgeknowledge aassets.ssets. When imimplementingplementing potentialotentiaal recordsrecordss aaccordingcccording to RM. ThTheyey are onlonlyy a KM system, defined as a particular class of recordedecordedd iinformationnfnfoormamattion when generated but will informationinformation systems supporting organisations becomeecome recordsrececororddss when theythey participate in future specificallyspecifically in their attempt ttoo create, codify, collect, businessusiness pprocessesroocecessses as mmeanseans for carrying them out, store,store integrate,integrate share,share andand applyapply knowledgeknowledge ((AlaviAlavi because thath ihis the assumptionidhih under which theyh and Leidner, 2001), documents such as meeting were generated (i.e., externalization and minutes, messages, research reports, lists of system combination). These knowledge assets may be first functional requirements, system metadata schemas, managed in a system designed specifically for KM contracts with vendor and consultants, etc., are purposes, but their relationship with RM will be

24 Knowledge Management & Records Management - Establishing Relationships for Common Development

needed for the implementation to take place. All On the other hand, RM can be supportive of these documents are records because they are the by- KM’s theoretical development and is essential for its products or instruments of the implementation practical operation. According Spender (2003), KM process. They aggregate naturally as a result of the and KM system research need a core theory that is implementation process, and the archival bond able to distinguish KM from other fields and at the arising among them will logically document the same time to allow non-KM people to recognize its implementation process in context and as a whole. essence. Without such a core theory, KM may These records are part of the organization’s fonds remain unclear in stating its objectives, key (i.e., its entire records holding) that constitutes its activities, and associated competencies. However, written/documentary memory. The more successful according to Stenmark (2011), there is still a lack of (oror difficult) a KM process is, the more valuable the clearclear foundationsfoundations forfor KM andand notnot muchmuch woworkrk iiss recordsecords it generates will be. Because of this currentlycurrently to be found that answers the callcalll ttoo ddedevelopvelop interplay,nterplay, every KM undertaking is partt ooff ththee RM corecore theories. The RM fieldfield,, which is att tthehhee ccoreorore ofo a organizationalrganizational business activiactivityty schema (N(NSWSW State broader disciplinediscipline called ArchArchivalivalal SScience,cicieennccee, hahasas Records,ecords, 2001) and each KM system is partt of the researchedresearched ththee natnatureure ooff rrecordsecords aandnndd ooff thtthee aacactivitiescttivivittiieses technologicalchnological context in which digital records are producing them for millennia (Duranti,(DDuurraantntii,, 1999)199999)) and,andnd, ini created.reated. In the eyeseyes of RM,RM, a KM systemsystem is not respondingresponding to the challechallengesnggeess ofof digitaldidigigittaal records,reecocorddss, hashas differentifferent from any otheotherr business information establishedestablished a cocoherentherent tthheeoreticaleororeteticcaall fframework.rarammeewwoorkrk. AAss oonene systemystem such as a digital assets management systesystemm majormajor productprodduuct thattht at tthehehe IInterPARESntnteerrPAPARREES pprprojectoject has usedsed by a marketing unit or a web content produced,producedd, itsiits teterminologyermrmiinnoologgy ddadatabaseatatabbaasese contains a managementmanagement system used by a communication unit. networknetwwoorrk ofo cconcepts,onncceppts, aamongmmongg whichwhihichch areare those of data andannd information,innfformattiioonn, tthehe ttwowwo cconceptsononcceeppts that also KM 4.3.3 Reciprocal needsnneeededs to aaddressddddrress ((Becerra-FernandezBeceerrr a-F-Feernandez aandnd LeidnerLeidner 2008).202 0808). KMKM iiss instructiveinstructive to RM in at least two ways: first,firstt, RMRM isis essentialesseennttiaial for KM’s practicalpractical foror the assistance ggiveniven bbyy knowleknowledgedge assets ttoo ththehe implementationimmplpleemmeentation becausebececauauses itit warrants the quality and developmentevelopment of RM rules, and second, forfoor thethhe usabilityususababiillitty oof rrecordseeccorordds generatedgenerated by the KM function. applicationpplication of KM techniques to makingmaking tacittaaccitt RRMM KMM rrecords,ececoro dss, likelilikke anyany other organizationalorganizational recordrecords,s, expertisexpertise explicit. To effectively mmanageannaagge ddidigitalgiitat l areaarre ssusubjectbjjeecct to RM rules and practices, as, foforr recordsecords through time, the first and momostostst iimportantmppoorrtat ntt example,exxamampplle,e, theythhey need to bebe appraised for establishing stepep is to exercise RM control ooverveer the crcreationeaatiionon ooff retentionreetteentntioion schedules and disposed of for operational records.ecords. To do so, a clear uunderstandingndderrsstandingg ooff ththehe efficiencyefffiiciciency and legal compliance.compliance. Effective RM businessusiness activities (i.e., recrecords-creatingorrdds-ccrreatinng aacactivitiesctitivvitiess iinn ensureseennsures the authenticity of KM records in digital RM)M) in terms of their obobjectives,jeecctivvees, prprocesses,rooccesessees,s aandnndd tthehhee formatsfformats and prprovidesovides contcontextualextual infinformationormation fforor technologieschnologies emploemployedyeed isi iindispensable.nndissppenssabablle. ThThehe knowledgeknowledge assets to be memeaningfullyaningfully interpretedinterpreted and acquisitioncquisition of such understanunnddeerrsttanddingdiing traditionallyttradittiionnaallly reliesrer lil es applied. Although both fields have the goal of onn written busbusinessinnese s popolicies,olliciess, pprprocedures,rooccededuures, keepingkeeping and making accessible informational performanceerformance rerreports,epop rts, eetc.,tct ..,, wwhichhiichh aarerree uunablenanabble to contentcontent appraised as valuable for organizational communicateommunicatte theththe tacittatacit or implicitimpplilicciit ddidimensionmmeensnsioi n of the continuationcontinuation and iimprovement,mprovement, RM has a much workingorking pplplace.laaccee. RRMM policipolicies,ess, pprocedures,rorocceedudureres, and tools longerlonger history of research and practice in these areas. constructedonstructeed on aann iniincompletecompletee uunderstandingndndeerstanding are ItsIts effort of articulating functional requirements foforr inevitablynevitabbllyy uunablenable to bbee effective.efe fectivvee. TThehe knowledge electronic records managementmanagement system (ERMS) assetsssetsts ccodifiedodo ified foforr a certcertainaiain unit, workworkplace,place, or task startedstarted in the early 1990s1990s (e.g., UBC-MAS Project, wouldoulld undoubtedlyunu doubtedly hehelpelplp the development of RM 1994-1997)1994-1997) and yieldyieldeded widewidelyly accepted standards mechanisms.mechanniisms. governinggoverning the designdesign of the ERMS with RM iiss alalsoso oonenne of the functions of eveeveryry functionalities of classificationclassification,, retrievalretrieval,, access organizationrganizaattiioon aandnndd is associated with dedicated control,control, information sharing, and disposition. This professionalsrofessionnalals anandnd expertise. As with other business richrich bodbodyy of accumulated knowledknowledgege should be able activities,ctivities, ththee RM work relies partially on toto aid KM in addressing similar systemsystem experiencexperience aandnd tthehe RRMM exexpertisepertise fafacesces grgraveave lolossss requirements.requirements. As ppointedointed outout byby Wiig (as (as ccitedited iinn when experts leave the organization. To understand Dalkir, 2009), the KM system development touches KM would help RM to capture experiences, codify on almost all facets of an organization, and also for best practices and lessons learned, and retain this reason, the RM facet is one that KM should not expertise. ignore.

249 KMIS 2012 - International Conference on Knowledge Management and Information Sharing

5 CONCLUSIONS successfully. Thus, we would like to issue a call for the two fields to start in both research KM and RM need to be distinguished from each and practice by becoming familiar with each other. other. These two fields are disciplinarily and This call for collaboration is intended for both professionally independent, with their ultimate goals fields. Only by working together can the ultimate focusing on different outcomes of an organization’s goals of KM and RM be achieved, making their operation: KM focuses on innovation and RM on sponsoring organizations both Innovative and trustworthiness. Being distinct from each other is Trustworthy. necessary first to justify their co-existence in the same organizationg and second to beging the pprocess off building a foundation for collaboration. REFERENCESREFERENCES Accordingccording to Nonaka and Peltokorpi), KM scholars “havehave largely unified perspectives of data and Alavi,Alavi, A.A.,, LeidnerLeidner,, D.D.,, (2001). ReviReview:eww: KnKKnowledgenowowlleedge informationnformation in comparison to knowledge” (2006, Management and KnowledgeKnowledge ManagementMannagagememenent SySSystems:ysstemms:s: p.76).76). Yet, knowledge needs to be distinguished also ConceptualConceptual foundations and researchresseeaarrcch issues.iisssusueess. MMIMISIS Q.., fromom records.records. 25 ((1),1), 107-136. KM and RM need to undeunderstandrstand each otheotherr. ToTo BBecerra-Fernandez,ecerra-Fernandez, I. and Leidner,Leiddnner, DD.,.., ((2008).2020008).. KKnKnowledgeowowledge gainain mutual-understanding is a step further than Management:Management: An EvoEvolutionaryluuttiioonnaarry ViViewieeww. M.M EE.. Sharpe.Sharpe. maintainingmaintaining distinctivendistinctivenessess because it requires Inc.,Inc., N.N.Y.Y.. Dalkir, KK.K.,, (2009).(2( 00009). KnowledgeKnKnowowleleddge Management.Maannagement. InIn familiarityamiliarity and appreciation of the respective core EncyclopediaEnncyyclcloopediaa ooff LLiLibraryibbrrara y anandnd IInInformationfoormmaatiion Sciences ((3d3d concepts,oncepts, keykey activities, and representativerepresentative ed).edd)).. TaylorTaaylor aanandd FFrFrancis:anncicis:s NNeweww YYork,ororkk, 33129-3138.129-3138. methodologies.methodologies. By its nature, RM needs to DaDalkir,allkkirr, K.K.,, (2((2005).2000055). KnKnowledgeowwlledgge ManagementMManagement Theory anandd understandnderstand all functions of an organization to Practice.PPractiicce. Butterworth-Heinemann:Buutterworth-HHeieineemmann: BostonBoston,, MA. satisfactorilyatisfactorily fulfil its purpose, and the more DDaDalkir,lkkiri , KK.K.,., ((2(2011).011). KnKnowledgenowowleleddgge Management Models. IInn comprehensivelyomprehensively it does so, the more effective thethee EncyclopediaEnE cyycclopedia ooff LiLibraryibrbrarry anandd Information Sciences (3rd systemsystems it will develop will be. As well, wiwiththh a ed).edd).) TaylorTaylor anandd FrFFrancis:rananciis: New York, 3139-3146. sufficientufficient level of understandinunderstandingg of RM, KKMM shshouldououlld Duranti,DuDuraranntti,i L.,L..,, (1999).(1999999).). ArchivalArchival Science. In EncyclopediaEncyclopedia ooff bee able to analyze the type, portion, and foformatrmrmatat ooff LibraryLLibrbrara y aanandnd InIInformationnfformation SciencSciencee, Allen Kent, A. (ed.),(ed.), 59,5599, 1-19.11-1919. organizationalrganizational knowledge embedded in rrecords,eeccoordds, andannd Duranti,DuDurrantti,, L.,L.., EastwooEastwood,d, T. and MacNeil,MacNeil, H.,H., TThehe basedased on the anaanalyses,lyses, to develodevelopp memechanismschchaanissmsm ttoo PreservationPPrreseseerrvvation of the Integrity of Electronic Records. distillistill knowledge from “raw infoinformation”rmmata ion” in recordsrreecocordrds RetrievedRRettriieved April 2, 2012, from www.interpares.org/www.interpares.org/ too manage knowledge at an enterpriseenteerrprisse scascale.lee. UBCProject/index.htm.UUBCProject/index.htm. TToo distinguishdistinguish and to uununderstandndederrstandd eeachaacch otothertheher LLALACC (Library(Library and Canada). BBusinessusiness ActivityActivity shouldhould lead to collabocollaboratiraatiingng wwithith eeaeachachch oother.ththerer. KMKM StructureStructure Classification System (BASCS) GuidanGuidancece. andnd RM already interactinterraact wwiwiththh eeachacch otothertheher iin tthehhee Nonaka, I. and Takeuchi, H., ((1995).1995). TThehe KnowledgeKnowledge-- contextontext of organizations’organniizzaatiionss’ operationsoperraattioionns andandn Creating Company: How Japanese Companies Create advancement.dvancement. As ththeyeyy bbothototh needneeed too wworkorrk wwiwithithth eeachach the Dynamics of Innovation. Oxford University Press: NewNew York.York. andnd every partpaartr ofof the organization,oro ggannizaatiioonn, theirthheeiir workingwworking Spender, J. C., (2003). ExploringExploring UncertaintUncertaintyy and Emotion pathsaths inevitablyinevittaabblyly ccrossrross each ootother.thheerr. TTheyhhey bobothth are inin the Knowledge-based Theory of the Firm. Inform. rapidlyapidly evolvingevvololvivingg inin thethe digitaldigiittaal environment,eennviviroronnment, facing Technol.Technol. PeoplPeoplee, 16(3),16(3), 266-288. manymany similarsimmiilar oopportunitiespporrtutunin ties andandd challenges,chahallllenges, such as State Records Authority of New South Wales. The DIRKDIRKSS businessusinesss pprocessrocess alignmenaliignnmem ntt ((Stenmark,SStenmark, 2006); MethodologyMethodology and Manual. (NARA,NARRAA,, 2005),2005), chchangeange mmanagementaanagement (I(IAEA,AEA, 2006);2006); Stenmark, D.: Knowledge MaManagementnagement SSystems.ystems. IInn (Adam,Adaamm, 2008),2008), andand organizationalorrgganizational culture (Ribiere EncyclopediaEncyclopedia of Library and Information Sciences (3rd andnd SiSitar,ittaar, 2010);2010); (InterPARES(IInntterPARES 3, 2007-2012).2007-2012). To ed). Taylor and Francis: New York, 3147-3154. failail to rerecognizeeccognize oror eveneven ignore these facts will only Wiig,Wiig, K., (1993). Knowledge Management Foundations. Schema Press: Arlington, TX. resultesult inin harmhaarmrm forfor bothboth fieldsfields andand forfor thethe organizationsrganizattiioonns ththatatat they seek to help as they would followollow ddivergentivveergegenntt paths and build isolated islands of strengths.rengths WithoutWithout a clearly,clearly logicallylogically ararticulatedticulated collaboration framework, there might be repeated efforts and wasted time and resources, thus creating difficulties for both fields in obtaining support from or managing changes

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