How do organizations use function-based classification scheme.

Research problem:

The introduction of electronic document records management systems (EDRMS) in the late 90’s was supposed to solve the needs of organizational needs in the digital era. The introduction of these systems forced Library and information science (LIS) scholars to reassess what classifications schemes they used for organizing these records. Ultimately, LIS scholarship settled on function based classification scheme as the best practice for organizing digital records. The basic premise of these function based classification schemes is that organizations would organize their records based on the functions or activities that took place within the organization. For example, a not for profit organization might have campaigning a category within their classification scheme. The idea being that in case an organizations departments is dissolved or a merger occurred the records within this scheme could be folded into another department. The use of function based classification schemes was based in large part on the methodology laid out in the DIRKS manual published by the Australian National Archive. This manual was also used as the basis for creating ISO 15489 the international standard for records management. An integral part of this manual and ISO standard was conducting a functional analysis. The being that once a functional analysis had been conducted, a function based classification scheme could then be derived from the analysis.

Research Question:

This research aims to determine if function based classification schemes are used in professional settings. Likewise it aims to determine what methodology is used for defining functions used in a function based classification scheme.

Research purpose:

Learning about the DIRKS manual,ISO standard 15489 and function based classification schemes remains common in LIS degrees. A conversation with a records management executive described the use of DIRKS and the implementation of function based classification "as dead in the water" which suggests that the adoption of function based classification schemes is not widely adopted in a professional setting.

Literature review:

The literature review illustrated that there is consensus among the academic community that function-based classification schemes represent best practices (Gunnlaugsdottir, 2012). Likewise, a function-based classification scheme helps members of an organization understand better the functions and adds a degree of transparency to these activities (Park & Neal, 2012).

While function-based classification is considered the gold standard, there was no standard methodology for developing a business classification scheme. That being said, the methodology that came up in the most in the literature was the DIRKS manual and the ISO standard. Alberts, Shellick, Eby and Marleau (2010) and Foscarini argued that in many cases the methodology used for developing a function-based classification scheme tended to be superficial and arbitrary. Elswhere, Henttonen and Kettunen (2011) stated that the organizations which they examined felt as though there was room for improvement in their use of business classification. This suggests that some of the same issues related to methodology in implementing a function-based scheme.

Ifould and Joseph (2016) describe a case study whereby users thought a function-based classification scheme improved their records management practices. There were instances where users had trouble finding the folder that best reflected what they needed to store. This idea also aligns with Foscarini’s belief that the definition of function is tied to the socio-cultural background associated to members of the organization. The members of the organization appeared to have slightly different understandings about where to store their documents.

Part of the reason there are challenges in determining what the most effective use of function-based classification scheme is attributed to the challenges in studying this component of EDRMS. An EDRMS is usually only available within an organization’s intranet, and there are generally legal and private responsibilities associated to the information contained within an EDRMS. This is discussed by Henttonen and Kettunen (2011) in their examination of Finnish government institutions’ use of a function-based classification scheme whereby the institution refused to have its functions made public because of the sensitive nature of the institution.

The literature about function-based classification scheme and the methodology exposed a gap in the literature related to how organization implement function-based classification. As a result, the literature gap, this research is trying to fill is by moving the discussion surrounding function-based classification schemes from an academic discussion to a more practical discussion. This research seeks to understand what methods are used by records managers to create or remove functions.

Methodology:

In addition, to the literature review qualitative methods data collection methods will be used to collect results regarding how organizations use function-based classification schemes. To bridge the gap between the academic and practical applications of function-based classifications. A Delphi study will be used to determine how an organization conceptualizes what a function is, and what methodology is used to create or remove functions.

The basic premise of a Delphi study achieving consensus among experts regarding a certain topic. Delphi studies are “intended for systematically soliciting, organizing and structuring judgments and opinions on a particularly complex subject matter from a panel of experts until a consensus on the topic is reached or until it becomes evident that further convergence is not possible.”

With this in in mind the goal of this study will be to illicit responses from records management professionals currently working in the field. Deplhi studies are best used for research topics that have a sort of judgement component to it. Similar to Mcfadzean, Erzingeard and Birchall (2011) the research will sent our a questionnaire to 30 executives working in records management.

The goal of this study will be to determine (A) if they currently use a function-based classification (B) how these organizations define function and (C) what kind of methodology they use for determining which functions should be included in the scheme, and (D) if they didn’t use a function-based classification scheme what other alternative did they use.

The responses will then be coded and analyzing using NVIVO software to try and find consensus around methodology. The results will also be analyzed manually to derive any sort of themes that arise. The results will then be resent to the professionals to seek their opinion on their results and if they felt were an accurate reflection of the professional environment.