On the Nature of Records Management Theory

346 American Archivist / Vol. 57 / Spring 1994 Perspective Downloaded from http://meridian.allenpress.com/american-archivist/article-pdf/57/2/346/2748663/aarc_57_2_y2340p4025584485.pdf by guest on 01 October 2021 On the Nature of Records Management Theory MICHAEL BUCKLAND Abstract: Theory is defined as a view or description of the nature of something. The nature of theory relating to records management is examined, including information retrieval, the records life cycle, and information policy. Records management theory should not be seen in isolation and need not be unique to records management. Functional, pro- fessional, and educational contexts of records management theory are outlined, with examples. Note: This paper is reprinted, with a few minor changes, from Association of Records Managers and Administrators, Proceedings of the AJRMA International 35th Annual Con- ference, 1990 (Prairie Village, Kans.: ARMA, 1990), pp. 801-13. About the author: Michael Buckland is professor of library and information studies at the University of California at Berkeley. He has had experience in academic libraries and academic administration and has written about library planning and about the history and theory of information services. His most recent books are Information and Information Systems (1991) and Redesigning Library Services (1992). On the Nature of Records Management Theory 347 VARIOUS OPINIONS ARE POSSIBLE concern- especially since the Second World War. ing records management theory: Logic and physics are unusual in that if you have a view about the nature of some 1. That there is a well-defined and aspect of them, you can generally express established theory governing records your view (your theory) in such a way that management practice Downloaded from http://meridian.allenpress.com/american-archivist/article-pdf/57/2/346/2748663/aarc_57_2_y2340p4025584485.pdf by guest on 01 October 2021 it can be experimentally tested and, per- 2. That there is no theory guiding re- haps, found to be inadequate. Finding ev- cords management practice idence to support theories is relatively easy 3. That there are a number of theories and of limited utility. It is good-faith effort supporting records management to refute theories that is basic to progress. practice, but they belong to allied Therefore, in those disciplines, it is gener- disciplines or sciences and are used ally expected that theories can be rigor- whenever the need for action ously stated and can be tested by seeking founded on principles manifests it- to refute them. (Typically a theory is a hy- self pothesis or combination of hypotheses that In this paper, I will argue that none of the has withstood some testing.) above is correct. Instead, I suggest that (i) Unfortunately, people have assumed that there is a body of records management the- activities that are not "hard" sciences ory that has not yet been well formulated; should also use the same restricted, spe- (ii) parts of this theory are and will increas- cialized sense of theory. When they look ingly be shared with other fields; and (iii) for this sort of rigorous sort of theory and much of it is, perhaps, not yet properly rec- refutation in the messy world of human ac- ognized as theory. But first we need to clar- tivities, such as the provision and use of ify our terms. In particular, before information services, they do not find addressing the question "Is there a records any—predictably!—and are deterred by management theory?" or, better, "What is this narrow preconception with rigorous, records management theory?" the prior formal theory from noticing theory that is question, "What is theory?" needs to be appropriate to the subject. (For an example addressed if we are not to waste our time. of an unsuccessful, misformulated search for theory, see Boyce and Kraft.2) Aristotle What Is "Theory"? knew better: "It is a mark of the educated man and a proof of his culture that in every The original meaning and underlying subject he looks for only so much precision sense of the word theory is a view of, or as its nature permits."3 perspective on, something. In its origins, There should be no rigid dichotomy of the word theory is related to the word the- "theory" versus "practice," since some ater.} More generally, theory is someone's view of what is involved—in effect the- view or description of the nature of some- ory-—underlies both. Nevertheless, the thing. In this general sense there is theory thoughtful practitioner in records manage- of anything that you can describe the na- ment, as in other useful fields, is generally ture of. One problem is that intelligent discus- sion of theory in most areas has been side- tracked by the high social prestige of the 2Bert R. Boyce and Donald H. Kraft, "Principles mathematical and experimental sciences, and Theories in Information Science," Annual Review of Information Science and Technology 20 (1985): 153-78. 'Aristotle, The Ethics of Aristotle: The Nichoma- ^Oxford English Dictionary, 2nd ed. (Oxford: Clar- chean Ethics Translated (Harmondsworth, U.K.: Pen- endon Press, 1989), vol. 7, p. 902. guin, 1955), 27-28. 348 American Archivist / Spring 1994 faced with choosing between formal, rig- ities that could be construed as evi- orous, "respectable" theory that seems di- dence of discrimination? How does a vorced from messy everyday realities and university find documents that might less formal "theory" that does reflect, show its contributions to the well- more or less, the untidy reality encountered being of local industry? in practice but does not seem much like Information retrieval can include Downloaded from http://meridian.allenpress.com/american-archivist/article-pdf/57/2/346/2748663/aarc_57_2_y2340p4025584485.pdf by guest on 01 October 2021 theory.4 The challenge for the thoughtful, up to three functions: (i) physically and especially for academics, is to seek to fetching a copy of a document; (ii) bridge the gap: to develop formal theories locating where some known docu- that are more realistic and to develop re- ment is currently housed; and (iii) alistic views that are framed in terms of identifying which documents, if any, general principles. fit some description. A well-defined records series is a start, but more is How Trivial Is Records Management? likely to be needed. One enters the large and complex area of indexing, Once we back off from the absurdity of classification, thesauri, data diction- assuming that records management theory aries, and so on. should have the characteristics of theory of 2. The records life cycle. A more effi- a formal science, the question changes cient and more cost- effective per- from whether there is a theory to what we formance of any kind of records are theorizing about. More bluntly: how management service is likely if the trivial or how complex is records manage- records manager becomes involved ment? in the full life cycle of records. But If we considered records management to involvement in the full cycle entails be only the numbering, shelving, fetching, involvement in a wide variety of is- and reshelving of pieces of paper, then our sues: form design and management, view of it—our theory—will also be rather human factors and workflow, reten- trivial. No matter how economically valu- tion schedules and appraisal for ar- able that activity may be, the theory is not chival retention, information likely to be very interesting. technology, and vital records protec- But if we view records management as tion. management of access to the working re- 3. Information policy. What (and who) cords of an organization, then some more determines who should and who complex aspects arise, of which I will men- should not have access to records? tion three examples: This involves legal and ethical issues 1. Information retrieval. Fetching Pur- arising from freedom of information chase Order no. 1234 is straightfor- and privacy legislation, trade secrets, ward, a matter of looking up the and more. These matters are compli- location and physically transporting cated, contradictory, and of great im- it. But how do you identify what re- portance, especially for records cords exist that would meet some ill- management in the public sector. For defined need? What about all example, should the public have ac- documents relevant to a firm's activ- cess to some or all of the personnel records of public officials, or do the privacy rights of such officials take precedence? When, and on what "Donald A. Schon, The Reflective Practitioner: How Professionals Think in Action (New York: Basic grounds, can working drafts of doc- Books, 1983), 42^5. uments be kept confidential? On the Nature of Records Management Theory 349 These three examples (information re- of theory is involved in studying ostriches. trieval, records life cycle design, and in- I doubt, however, that much is unique to formation policies) are sufficient to ostriches. Rather, we should expect variant indicate that if you view records manage- forms or special cases of theories also rel- ment broadly as having to do with access evant to other birds and or to other animals to the working records of an organization, of the same habitat. One can be an ostrich Downloaded from http://meridian.allenpress.com/american-archivist/article-pdf/57/2/346/2748663/aarc_57_2_y2340p4025584485.pdf by guest on 01 October 2021 then one can hardly avoid viewing the na- scientist but be suspicious of someone who ture of the field as practically and concep- insists that there is an Ostrich Science that tually complicated—as actually or is somehow separate from and independent potentially rich in theory of one kind or of other disciplines. Somebody's head may another. be in the sand. Ostrich Science: Or, What Is Unique to Theoretical Contexts of Records Records Management? Management Theory Another problem of theory in profes- By "theoretical context" I mean a sional practice is the desire to identify a broader area of theory into which records theory or science that is unique to that oc- management theory fits.

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