Course Syllabus: LBSC 680 – Spring 2013 University of Maryland College of Information Studies LBSC 680 Section 0101 Principles of Records and Information Management Mike Miller, PhD, CA, CRM Home: 301-879-0029 Cell: 301-651-3510 E-mail: mikemiller47@verizon.net Class Time: Tuesday, 5:30-8:15 pm Classroom: 0115 HBK 0105 Please put LBSC 680 in the subject line of course-related email messages. Every attempt will be made to respond to student emails within 24 hours (excluding weekends). Office Hours: By appointment Course Overview Principles and practices of managing records in the context of information management programs in government, corporate and other institutional settings. Includes records life cycle management (creation, administration, appraisal, and retention and disposition of records) legal requirements, technology, and access. Course Objectives Upon successful completion of the course, students will: Understand the role of records in society Understand the history, principles, and methods of creating and maintaining organizational records Know how to develop, maintain, and evaluate a records management program Class Structure Most weeks, the class will consist of a lecture and discussion of the readings, led by the instructor. As appropriate, lectures may be supplemented by in-class exercises, guest lecturers, and video presentations. Course Requirements Assignments 1. Class Participation 2. Records management presentation (one presentation per student) 3. Records definition paper 4. Managing your own records 5. Case study Value 10% 10% Due Weekly As assigned 20% 20% 40% Due February 26 Due April 9 Due May 14 1. Class Participation (10%) Due weekly: Students will attend each session and contribute to class discussions of the relevant assigned readings and/or to discussions on the Discussion Forums in ELMS/Canvas. Forum questions will be provided on a weekly basis, although students are encouraged to raise issues of their own. Document Date – 01/30/13 Page 1 Course Syllabus: LBSC 680 – Spring 2013 2. Records Management Readings Report or Records Management in the News Report (10%) Choose on or the other. Due on assigned date: Once during the term, each student is required to write a brief (2 page) report on one of the two topics listed above and do a 10 minute in-class presentation, and lead a brief discussion of the material. Written report should be submitted no later than the Monday before the class at which it will be presented. Records Management Readings Report Once during the term, each student may choose to write a brief (2 page) report on an unassigned records management book chapter or article that relates to the readings for that week, do a 10 minute in-class presentation on the article/book chapter, and lead a brief discussion of the material. Written report should be submitted no later than the Monday before the class at which it will be presented. The report/presentation should accomplish the following things: Summarize the article/report Discuss the major points/thesis Relate the article/chapter to the assigned readings. Does it expand on the readings, cover points that the readings miss, contradict one or more of the assigned readings, etc. Conclusion – what is the value for records managers? Lead discussion of one or two questions Respond to any questions The report/presentation will be evaluated on the presenter’s ability to: summarize the article/chapter clearly and concisely within the allotted time link the article/chapter to the assigned readings demonstrate an understanding of records management issues involved, and respond to questions from the class. Records Management in the News Report Once during the term, each student may choose to write a brief (2 page) report on a news story that involves the management or mismanagement of records. The news story should be related to the topics of the week’s lecture. In addition, the student will do a 10 minute in-class presentation on the news story chapter, and lead a brief discussion of the material. Written report should be submitted no later than the Monday before the class at which it will be presented. The report/presentation should accomplish the following things: Summarize the news story Discuss the major points/lessons Relate the news story to the lecture or assigned readings. Does it exemplify something in the readings, bring out additional points, cover points that the readings miss, contradict one or more of the assigned readings, etc. Conclusion – what is the value/lesson for records managers? Lead discussion of one or two questions Respond to any questions The report/presentation will be evaluated on the presenter’s ability to: summarize the news story clearly and concisely within the allotted time link the news story to the assigned readings and/or lecture demonstrate an understanding of records management issues involved, and respond to questions from the class. Document Date – 01/30/13 Page 2 Course Syllabus: LBSC 680 – Spring 2013 3. Record Definition (20%) Due by midnight February 26 Description of paper (Assignment 1) can be found on ELMS/Canvas under Assignments. 4. Managing Your Personal Records Due by midnight April 9 Description of paper (Assignment 2) can be found on ELMS/Canvas under Assignments. 5. Final Paper (40%) Due by 9:00pm May 14 Description of paper (Assignment 3) can be found on ELMS/Canvas under Assignments. Requirements for Written Work Quality of Writing Excellent written communication skills are essential to the provision of information in professional contexts. Written work will therefore be graded on the quality of writing as well as on its content and evidence of critical analysis. The mark for work that is not well written, clearly organized, and grammatically correct will be reduced accordingly. Formatting(Additional guidelines are provided for each written assignment.) Double spaced, in Times New Roman 12 point type, with 1 inch margins all around (note that MS Word does not default to 1” margins. You may need to adjust your margins to meet this requirement. Number the pages. A title page should include the title of the paper, your name, the course and semester/year, and the University of Maryland honor pledge and student signature. The title page does not count toward the page count. Include a list of sources consulted. List of sources does not count toward page count. Cite sources in conformity with the most recent edition of Turabian, using either notesbibliography style or in-text citations–reference list style. See examples at http://www.press.uchicago.edu/books/turabian/turabian_citationguide.html Number the pages, and staple them together. Please do not submit your assignments in a binder or folder. Final paper should be submitted via ELMS/Canvas. Submission: Please submit Assignments 3-5 through ELMS/Canvas. Please provide a hard copy of Assignments 2-4. Grades A letter grade for each assignment, and for the course, will be assigned in accordance with University and iSchool guidelines: A=Excellent (90-100); B=Satisfactory (80-89); C=Barely Adequate (70-79); D/F=Failure (<70). Plus and minus grades will be awarded as appropriate. Extensions Late submissions of written assignments will carry a penalty unless prior arrangements are made with the instructor. If an extension is granted, the work must be submitted within the extension period to avoid grade penalties. Unexcused delays in submission of the assignment will result in a reduction of the grade by one category for each day the paper is late; e.g., a paper that would have received a B+ if submitted on time will receive a B if it is submitted a day late, a B- if it is two days late, and so on. Document Date – 01/30/13 Page 3 Course Syllabus: LBSC 680 – Spring 2013 Attendance Attendance in class is expected. If you are unable to attend class for reasons of illness, religious observance, participation in University activities at the request of University authorities, or compelling absences beyond the your control, please let the instructor know (prior to class for non-emergencies). Classroom Environment The classroom environment should be professional and respectful. This includes: Punctual arrival at classes contributes to the smooth operation of the class and the quality of the learning experience. Late arrivals, early departures, and wandering in and out of the classroom are disruptive and distracting. If you know you will be unavoidably detained or must leave early, please let the instructor know in advance. Please turn off or mute all phones and other communication devices during each class session. If you use your laptop in the classroom, limit the usage of the computer to course-related reasons (e.g., taking notes). Academic Integrity The University of Maryland, College Park has a nationally recognized Code of Academic Integrity, administered by the Student Honor Council. This Code sets standards for academic integrity at Maryland for all undergraduate and graduate students. As a student, you are responsible for upholding these standards for this course. The Code of Academic Integrity strictly prohibits students from cheating on exams, plagiarizing, submitting the same paper for credit in two courses without authorization, buying papers, submitting fraudulent documents, and forging signatures. It is very important for you to be aware of the consequences of academic dishonesty. Instances of any suspected academic dishonesty will be reported and handled according to University policy and procedures. For more information on the Code, visit http://www.shc.umd.edu. The University of Maryland Honor Pledge reads: I pledge on my honor that I have not given or received any unauthorized assistance on this assignment/examination. The pledge statement should be handwritten and signed on the front cover of all papers, projects, or other academic assignments submitted for evaluation in this course. Plagiarism is of particular concern in the networked digital environment. Students must write their essays and assignments in their own words. Whenever students take an idea or a passage of text from another author, they must acknowledge their source both by using quotation marks where appropriate and by proper referencing using footnotes or in-text citations. For further information about proper citation of sources, consult the UMD Libraries website at http://www.lib.umd.edu/guides/honesty.html and http://www.lib.umd.edu/PUBSERV/citations/index.html. Students with Disabilities Students with disabilities who require academic accommodations must inform the instructor of their needs and provide written documentation about the appropriate academic accommodations from Disability Support Services Office ( (http://www.counseling.umd.edu/DSS/) at the beginning of the semester. Weekly Topics Week Date Topic Document Date – 01/30/13 Assignments Due Page 4 Course Syllabus: LBSC 680 – Spring 2013 1 01/29 2 3 4 5 02/05 02/12 02/19 02/26 Introduction to Course; Introduction to Records Management RM Concepts and the Organizational Context Filing Systems RM Policies; the Records Inventory Records Creation and Capture 6 7 8 9 10 03/05 03/12 03/26 04/02 04/09 Records Maintenance and Use Records Schedule Development Records Retention Decisions Inactive Records Management Managing Records to Ensure Access 11 12 13 14 04/16 04/23 04/30 05/07 15 05/14 RM Technology RM Programs in Practice - Theory RM Programs in Practice – Case Studies Emerging Records Management Trends and the Records Management Profession Exam week –Final paper due Presentation (See #2) Presentation (See #2) Presentation (See #2) Records Definition Paper Presentation (See #2) Presentation (See #2) Presentation (See #2) Presentation (See #2) Managing Records Paper Presentation (See #2) Presentation (See #2) Presentation (See #2) Final Paper due Readings Required readings are assigned for each week; their location (e.g., e-reserve) is indicated in the syllabus. Access to e-reserves is through your ELMS account (www.elms.umd.edu). For further information, see http://www.lib.umd.edu/PUBSERV/RESERVE/student.html. Additional readings and other materials may be distributed during the semester. Students are expected to read the assigned readings and participate in class discussions. The following publications will be used as the textbooks for the course: Shepherd, Elizabeth, and Geoffrey Yeo. Managing Records: A Handbook of Principles and Practice. London: Facet, 2003. Available from the University Book Center, or from the SAA (www.archivists.org). International Standard Organization (ISO). TC 46/SC 11. ISO 15489-1:2001 Information and documentation. Records management. Part 1: General. Copy available on ELMS/Canvas under Basic Course Documents. Pearce-Moses, Richard. A Glossary of Archival and Records Terminology. Chicago: SAA, 2005, available at (http://www.archivists.org/glossary/index.asp) National Archives of Australia. Designing and Implementing Recordkeeping Systems (DIRKS) Manual. Canberra: NAA, 2001, revised 2003. Copy available on ELMS/Canvas under Basic Course Documents. Key journals: Many of the readings will be from records managment journals, primarily ARMA’s Informaiton Management Journal (under various names – see below). Whereas the texts and lectures will focus on theory, the readings are generally applications of theory to specific situations or problems. Information Management – Abbreviated as IMJ in the Readings Listing. previous title (1999-2008) Information Management Journal previous title (1990-99) Records Management Quarterly Document Date – 01/30/13 Page 5 Course Syllabus: LBSC 680 – Spring 2013 Records Management Journal Records and Information Management Report (ceased publication Dec. 2007) 2004-2007 available online; earlier issues available at McKeldin Readings for Each Class: Unless otherwise noted readings are available through UMD Libraries’ Research Port. Week 1: 29 January Introduction to Course; Introduction to Records Management Text: Shepherd & Yeo, pp. xi-xiv and Chapter 1 (pp. 1-29). International Standard Organization (ISO). TC 46/SC 11. ISO 15489-1:2001 Information and documentation. Records management. Part 1: General. (Copy available on ELMS/Canvas under Basic Course Documents.) Week 2: 05 February RM Concepts and the Organizational Context Shepherd & Yeo, Chapter 2 (pp. 30-48). Gatewood, Brent et al. Drawing a New Battle Plan for Conquering Key Information Risks. IMJ 46:2 (Mar/Apr 2012), 35-39. Lemieux “Two Approaches to Managing Information Risks.” IMJ 38:5 (Sept/Oct 2004), 56-62. Willis, Anthony. “Corporate Governance and Management of Information and Records,” Records Management Journal 15:2 (2005) 86-97. Week 3: 12 February Filing Systems Shepherd & Yeo, pp. 49-65 and Chapter 3 (pp. 72-100) Bruno, Denise and Richmond, Heather. “The Truth About Taxonomies.” IMJ 37:2 (Mar/Apr 2003), 4453. National Archives of Australia. Overview of Classification Tools for Records Management. (Canberra: NAA, 2003) (Copy available on ELMS/Canvas.) Sabourin, Paul. “Constructing a Function-Based Records Classification System: Business Activity Structure Classification System.” Archivaria 51 (Spring 2001): 137-54. (online e-Archivaria site) van Houton, Gerry. “Drafting a Function-Based File Classification Plan.” IMJ 44:4 (Jul/Aug 2010), 3135. Week 4: 19 February RM Policy; the Records Inventory Document Date – 01/30/13 Page 6 Course Syllabus: LBSC 680 – Spring 2013 Standards and Guidelines Shepherd & Yeo, Chapter 2 (pp. 49-71) and appendix B. Hofman, Hans. “Standards: Not ‘One Size Fits All’.” IMJ 40:3 (May-June 2006): 36-45. Jones, Virginia. “Standards for Establishing Records and Information Management Programs.” IMJ 46:4 (Jul/Aug 2012), pp. 38-43. Records Inventory Shepherd & Yeo, pp. 66-70. National Archives of Australia. Designing and Implementing Recordkeeping Systems (DIRKS) Manual (Canberra: NAA, 2001, revised 2003), Steps A – E. (Copy available on ELMS/Canvas.) National Archives and Records Administration. “Records Disposition Functions.” In Disposition of Federal Records: A Records Management Handbook (Washington, DC: NARA, 2000), Chapters 2 & 3. http://www.archives.gov/records-mgmt/publications/disposition-of-federal-records/ Week 5: 26 February Records Creation and Capture Shepherd & Yeo, Chapter 4 (pp. 101-145) ICA: “Principles and Functional Requirements for Records in Electronic Office Environments – Module 1” (Copy available on ELMS/Canvas.) InterPARES 1 Project Documentation: Authenticity Requirements. (Copy available on ELMS/Canvas.) Anne J. Guilliland. “Setting the Stage.” in Introduction to Metadata Murtha Baca, ed. The Getty Research Institute: Third Edition, 2008 (Copy available on ELMS/Canvas.) Week 6: 05 March Records Maintenance and Use Shepherd & Yeo, pp. 173-5, 184-201 and Chapter 7 (pp. 216-38) Balachandran, Bobby. “5 Steps to Compliance: Building an Automated Data Map.” IMJ 43: 6 (nov/Dec 2009, 40-44. Balough, Ann. “Storing Active Paper Records: Equipment and Supply Considerations.” Records and Information Management Report 15:9 (November 1999): 1-14. (e-reserve). Cogar, Rae N. “Legal 101 for RIM Professionals.” IMJ 39/6 (Nov/Dec 2005), 49-56. Montana, John C. The End of the Ostrich Defense.” IMJ 39:1 (Jan/Feb 2005), 26-34. Tuemmler, Brian. “Network Shared Drives: “How to Clean Up Files for Better Information Management.” IMJ 46:1 (Jan/Fed 2012), 28-30. Document Date – 01/30/13 Page 7 Course Syllabus: LBSC 680 – Spring 2013 Week 7: 12 March Records Schedule Development Shepherd & Yeo – nothing this week ARMA International. Developing a Records Retention Program (Copy available on ELMS/Canvas.) Eastwood, Terry. “The Retention Schedule in the Integrated Management of Records.” Archivum 39 (1992): 52-56. (e-reserve). Fischer, Laurie. “Condition Critical: Developing Records Retention Schedules.” IMJ 40:1 (Jan/Feb 2006), 26-34. Luellig, Lorrie. “A New Game Plan for Building a Retention Strategy that Works.” IMJ 45/1 (Jan/Feb 2012), 31-34. National Archives and Records Administration. “Records Identification and Scheduling: An Overview,” in Disposition of Federal Records: A Records Management Handbook (Washington, DC: NARA, 2000), Chapter 5. http://www.archives.gov/records-mgmt/publications/disposition-of-federal-records/ Trimming Your Big Bucket List. http://www.arma.org/Publications/HotTopic/index.cfm Select: Trimming Your Bucket List Torres, Tina. “Creating a Process-Focused Retention Schedule.” IMJ 40:5 (Sept/Oct 2006), 62-69. Week 8: 26 March Records Retention Decisions Shepherd & Yeo, Chapter 5 (pp. 146-72). Miller, Michael. “Assessing the Need: What Information and Activities Should We Preserve?” Paper prepared for the “Documenting the Digital Age” Conference, 1997. (Copy Available on ELMS/Canvas.) National Archives of Australia. “Decision tree for sentencing records.” (Canberra: NAA, n.d.). (Copy Available on ELMS/Canvas.) National Archives of Australia. “Why Records Are Kept.” Second edition 2003. (Copy available on ELMS/Canvas.) National Archives and Records Administration. Appraisal Policy . (Copy available on ELMS/Canvas.) National Archives and Records Administration. “Record Values and Schedule Instructions.” In Disposition of Federal Records: A Records Management Handbook (Washington, DC, 2000), chapter 4, http://www.archives.gov/records-mgmt/publications/disposition-of-federal-records/ Week 9: 02 April Inactive Records Management Document Date – 01/30/13 Page 8 Course Syllabus: LBSC 680 – Spring 2013 Tour of the Washington National Records Center (to be confirmed) Shepherd & Yeo, pp. 175-184, 243-4. Deserno, Ineke, and Donna Kynaston. “A Records Management Program that Works for Archives.” IMJ 39:3 (May-June 2005), 60-62. Farber, Michael J., “Selecting an Offsite Commercial Records Center.” Records Management Quarterly 31:1 (January 1997): 28-32. (Available through UMD Libraries’ Research Port). Kingsley, Lawrence. “8 Tips for Raising Data From the Dead.” IMJ (46:4 (Jul/Aug 2012), 30-33. Martins, Christine. “The Dos and Don’ts of Records Storage Contracts.” IMJ 36:4 (July 2002), 50-58. Murchison, R. Scott. “Unified Archiving: Friend or Foe of the Principles.” IMJ 46:6 (Nov/Dec 2012 ), 32-35. The National Archives (UK). Digital Continuity an Introduction to the Wider Context. (Copy available on ELMS/Canvas. 46/6) Week 10: 09 April Managing Records to Ensure Access Shepherd & Yeo, pp. 194-215 and Chapter 7, pp. 239-45. Andolsen, Alan A. “The Pillars of Vital Records Protection.” IMJ 42:2 (Mar/Apr 2008), 28-32. ( California Records and Information Management. State of California Vital Records Protection and Disaster Recovery Handbook. . (Copy available on ELMS/Canvas.) Jones, Virginia A., and Kris E. Keyes. “How to Develop an Emergency Management Plan.” IMJ 42:2 (Mar/Apr 2008), 52-56. Rotvold, Glenda. “How to Create a Security Culture in Your Organization.” IMJ 42:6 (Nov/Dec 2008), 32-38. Sitton, Judy Vasek. “When the Right to Know and the Right to Privacy Collide.” IMJ 40:5 (Sept/Oct 2006), 76-80. Swartz, Nikki. “Protecting Information from Insiders.” IMJ 41:3 (May/June 2007), 20-24. Week 11: 16 April RM Technology Shepherd & Yeo, pp. 190-94 (media conversion) Bailey, Steve. “Forget Electronic Records Management, It’s Automated Records Management That We Desperately Need.” Records Management Journal 19:2 (2009) 91-97. (Available through UMD Libraries’ Research Port) Document Date – 01/30/13 Page 9 Course Syllabus: LBSC 680 – Spring 2013 Corrigan, Michael and J. Timothy Sprehe. “Cleaning Up Your Information Wasteland.” IMJ 44:3 (May/June 2010), 26-30. Emery. “Beyond Features and Functions: Evaluating ERM Software.” IMJ 41/1 (Jan-Feb 2007), 28-34. Empel, Sofia. “How to Evaluate New Technologies for RIM Impact.” IMJ: Nov/Dec 2012 (46/6), 3640. Lubbes, R. Kirk. “So You Want to Implement Automatic Categorization?” IMJ 37:2 (Mar/Apr 2003), 60-69. Phillips, John T. “Selecting software for managing physical & electronic records.” IMJ 43:3 (May/June 2009), 40-44. Porter-Roth, Bud. “Digital Conversion Projects: A Decision Making Checklist.” IMJ 41:2 (Mar/Apr 2007), 58-63. Wilkins, Linda; Paula M.C. Swatman; and Duncan Holt. “Achieved and tangible benefits: lessons learned from a landmark EDRMS implementation.” Records Management Journal 19:1 (2009): 37-53. (Available through UMD Libraries’ Research Port) Week 12: 23 April RM Programs in Practice - Theory Shepherd & Yeo, Chapter 8 (pp.246-69). ARMA. “GARP: A Tool to Drive Internal Auditing.” IMJ 46/2 ( Mar/Apr 2012), 22-26. Barnes, Nancy Dupre et al. “Driving Quality Improvements Through Audits.” IMJ 46/1 (Jan/Feb 2012), 40-43. CGOC Council. Information Governance Benchmark Report in Global 1000 Companies. (Copy available on ELMS/Canvas.) Crockett, Margaret, and Foster, Janet. “Using ISO 15489 as an Audit Tool.” IMJ38:4 (Jul/Aug 2004), 4653. Dearstyne, Bruce W. “The Art of Managing RIM Programs.” IMJ 42:4 (Jul/Aug 2008), 41-46. Streck, Helen. “Audit to Ensure RIM Program Health, Growth.” IMJ 46:2 (Mar/Arp 2012), 40-42. Taking a Closer Look: Generally Accepted Recordkeeping Principles http://www.arma.org/Publications/HotTopic/index.cfm Taylor, Sheila, and Gregg Astoorian. “Marketing Strategy for Records and Information Management Programs.” Records and Information Management Report 19:1 (January 2003): 1-14. (e-reserve). Whan, Charity. Leveraging GARP to Ensure Employee Engagement.” IMJ 45/6 (Nov/Dec 2011), 3235. Document Date – 01/30/13 Page 10 Course Syllabus: LBSC 680 – Spring 2013 Week 13: 30 April RM Programs in Practice – Case Studies ARMA. “Principles for Managing Web-Based Information.” IMJ 46/5 (Sept/Oct), 30-36. Goodall, Jannette. “Paving a Career Path to Increase RM Staff and Ensure Program Success.” IMJ 46/5 (Sept/Oct 2012), 27-29. Lee, Christopher. "Guerilla Electronic Records Management: Lessons Learned." Records and Information Management Report: Issues in Information Technology Vol 18, No 5, May 2002. (BB) Sprehe and McClure. “ Lifting the Burden.” IMJ 39/4 (Jul-Aug 2005), 47-52. Young, Jeanne. “Records Management on a Shoestring: Three Case Studies.” IMJ 39/1 (Jan/Feb 2005). Week 14: May 7 Emerging Trends in Records Management & The RM Profession Shepherd & Yeo, Appendix C Hill, Brian. “Forrester Research/ARMA International Survey.” IMJ 46/5 (Sept/Oct 2012), 20-23. Lederman, Paula F. “Getting Buy-In for Your Information Governance Program.” IMJ 46/4 (Jul/Aug 2012), 34-37. Pulzello, Fred. “Dodd-Frank Act Puts Focus on Information Governance.” IMJ 45/6 (Nov/Dec 2011), 42-45. Schute, William. “Information Governance Takes Center Stage in 2013: Spotlight Shines on Information Pros.” IMJ 46/6 (Nov/Dec 2012), 22-26. ARMA International. “Code of Professional Responsibility.” Available at: http://www.arma.org/about/overview/ethics.cfm. Dearstyne, Bruce. “Groundbreaking Trends: The Foundation for Meeting Information Challenges and Opportunities.” IMJ 44/2 (M/A 2010, 27-32. Dearstyne, Bruce W. “Managing Records and Information Programs.” IMJ 44:5 (Sept/Oct 2010): 42-46. Dearstyne, Bruce W. “Smoothing the Turbulence: Project Management Strategies for the Changing Workplace. IMJ 46/2 (Mar/Apr2012), 28-33. Dearstyne, Bruce W. “Wellsprings of Change for RIM.” IMJ 42:1 (Jan/Feb 2008): 43-50. Institute of Certified Records Managers. “Code of Ethics.” http://www.icrm.org/about/code-of-ethics/ (Copy available on ELMS/Canvas.) Document Date – 01/30/13 Page 11 Course Syllabus: LBSC 680 – Spring 2013 Scanlan, Kathryn A. ARMA and SAA: The History and Heart of Professional Friction. AA 74/2 (Fall/Winter 2011), pp.428-450. (EJP) Williams, Caroline. “The research imperative and the responsible recordkeeping professional.” Records Management Journal 17:3 (2007): 150-156. (Available through UMD Libraries’ Research Port) 14 May: Final Paper due 9:00 pm Document Date – 01/30/13 Page 12