Records and Information Management

Jun 2013 | 448pp

Paperback
9781856048361
Price: £54.95
CILIP members price: £43.95


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Records and Information Management

Patricia C. Franks

This book provides a comprehensive, strategic approach to the creation, management, and disposition of information and records in organisations and is the first to analyse the impact that cloud computing and emerging technologies such as social networks and microblogging has on records management programmes.  

The emergence of Web 2.0 and social media has fundamentally changed the way information is created, exchanged, and stored.  Information is a valuable asset to be employed by the organisation to help meet its goals, but it can also pose a risk to the organisation if not effectively managed. The increasingly complex regulatory and legal environment, along with the growing volume and changing nature of records and information created through emerging technologies, has brought records and information management to the attention of executives who are ultimately responsible for the success or failure of their organisations. This book provides readers either an introduction to or a review of records management principles and practices, but with a consideration of the impact on those principles and practices made by records created through the use of emerging technologies and stored in the clouds.  

Readership: This book will be of interest to students of archives and records management, experienced archives and records professionals who want a new perspective on their chosen field, supervisors and managers with the responsibility for records and information management and upper-level managers, executives, and other decision makers who are responsible for effectively managing their organisation's information assets.

1. The origins and development of records and information management

  • Introduction
  • Records and Recordkeeping in Society
  • Recordkeeping in the United States in the Twentieth Century
  • Information Technology, Records, and the Information Age
  • Web 2.0, Social Media, and Society
  • Summary
  • Perspective: Realigning the Records Management Covenant - Steve Bailey 

2. Records and information management: the foundation for information governance

  • Introduction
  • Information Governance
  • Records Management as a Professional Management Discipline
  • Records and Information Management Lifecycle
  • Records Management Program Elements, Functions, and Activities
  • Standards, Laws, Regulations, and the Legal Environment
  • Summary
  • Paradigm: The US Nuclear Power Industry Mitigates Risk in the Use of Electronic Formats to Meet Quality Assurance Record Retention Requirements - Eugene Yang  

3. Records and information creation/capture, classification, and file plan development

  • Introduction
  • Records and Information Creation and Capture
  • Controlled Language and Records Classification
  • Business Classification Schemes
  • Indexing, Content Analysis, and File Plan Development
  • Records Management Metadata
  • Summary
  • Paradigm: The Vermont Functional Classification System (VCLAS) - Tanya Marshall  

4. Records retention strategies: inventory, appraisal, retention, and disposition

  • Introduction
  • Records Inventory
  • Records Appraisal
  • Legal and Regulatory Compliance
  • Developing a Records Retention and Disposition Schedule
  • Summary
  • Paradigm: Implementing Records Retention in an ERP System: Records Retention, Appraisal, and Disposition - Nancy Kunde  

5. Records and information access, storage, and retrieval

  • Introduction
  • Business Process Mapping and Workflow Processes
  • Access Controls
  • Active Storage Systems
  • Search and Retrieval Process
  • Metadata and Metadata Standards
  • Summary
  • Paradigm: New Business Intake—Law Firm Environment - Deborah Rifenbark  

6. Electronic records and electronic records management systems

  • Introduction
  • Electronic Records
  • Enterprise Information Systems
  • Content Management Systems
  • Enterprise Content Management Systems
  • Electronic Records Management
  • Electronic Records Management Systems
  • Electronic Records Management Systems Guidance
  • Data and System Migration
  • Records Management in the Clouds
  • Planning and Managing an Electronic Records Management Program
  • Summary
  • Paradigm: Records Management in the Cloud - Mary Beth Herkert  

7. Emerging technologies and records management

  • Introduction
  • Diffusion of Innovation and Trend Spotting
  • Identifying, Capturing, and Scheduling Web Records
  • Social Media and Records Management
  • Managing Mobile Devices
  • Integration into the Electronic Records Management System
  • Summary
  • Paradigm: Discovering the South Land—Employing Emerging Technologies, Motivating Staff, and Measuring Success - Christian van der Ven  

8. Vital records, disaster preparedness and recovery, and business continuity

  • Introduction
  • Business Resumption Strategies
  • Vital Records Program
  • Disaster Preparedness and Recovery Planning
  • Business Continuity Planning
  • Summary
  • Paradigm: Archdiocese of New Orleans Rebuilds Archives after Hurricane Katrina - Emilie Gagnet Leumas  

9. Monitoring, auditing, and risk management

  • Introduction
  • Monitoring the Management of Records
  • Auditing the Records Management Program
  • Risk Management
  • Summary
  • Paradigm: Creating Defensible Records Retention Programs - Fred V. Diers  

10. Inactive records management, archives, and long-term preservation

  • Introduction
  • Inactive Records and Records Centers
  • Archives Management
  • Long-Term Preservation
  • Digital Curation and Preservation
  • Summary
  • Paradigm: Chaos to Control—A Continuing Journey - Barb Ricci and Jeffrey W. Cox  

11. Records management education and training

  • Introduction
  • Preparation for Records Management Professionals
  • Records Management Training Programs
  • Summary
  • Paradigm: Digital Education for a Digital World—The Digital Curriculum Laboratory at Simmons College - Ross Harvey  

12. From records management to information governance, an evolution

  • Introduction
  • Developing a Records Management Program
  • Implementing an Information Governance Strategy
  • Summary
  • Perspective: Information Governance Program Development - Diane K. Carlisle

"...the book is an excellent introduction to the field of records and information management. It achieves its goals of appealing to the new student as well as the more experienced practitioner. It is Franks’ willingness and ability to share her knowledge of new systems and systems technology for records and information management that sets this work apart as an invaluable textbook and reference work. So much so, Franks also succeeds in producing a work that would appeal to the non-specialist reader wanting to understand how relevant records and information management is to the fabric of a working organization. This work is a valuable up to date combined textbook and reference book which will enhance its readers’ knowledge irrespective of their place on the career ladder. It is worthy of inclusion on the reading list of an archives and records postgraduate course as well as the bookshelves of a seasoned practitioner."
- Archives and Records

"This book contains an encyclopaedic wealth of detail on the status of records and information management in our evolving digital world. The amount of research, the attention to detail, and the effort that has gone into the presentation of each chapter with sidebars, down to the italicised font drawing attention to key terms, has to be viewed to be fully appreciated...The previously held view that librarianship and records management were two separate disciplines needs to be discarded. In this day and age the boundaries are interchangeable and in some cases non-existent. This book bridges the gap for librarians, allowing them to cross the boundary into information and records management."
- Australian Library Journal

"...a valuable addition to the literature, particularly for undergraduate and postgraduate students and others moving into, or needing to understand, the discipline its principles and practice. It is readily accessible and easy to read although the use of first, second and third person is odd. The overall structure is logical, since it follows the records lifecycle, and there is a standard chapter structure...There are many useful ‘end notes’ in each chapter, a glossary, a bibliography and an index."
- Journal of Librarianship and Information Science

"I encourage anyone participating in the archives and records management field today or considering entering an Archives & Records Administration program to acquire this volume. I am sure many library and information science programs will quickly be adopting Records and Information Management as a core text."
- Technicalities

"Franks describes records and information management for library and information science students and records management professionals. Covering paper, electronic, and new media records, as well as records residing in the "cloud," she addresses both business operations and how records professionals can contribute to the mission of the enterprise beyond the lifecycle management of records. She discusses the origins and development of records and information management; building an information governance program; records and information creation/capture, classification, and file plan development; retention strategies; information access, storage, and retrieval; electronic management systems; emerging technologies, especially social media; vital records, disaster preparedness and recovery, and business continuity; monitoring, auditing, and risk management; inactive records management, archives, and long-term preservation; records management education and training; and how to develop a management program and information governance strategy. Case studies from professionals at archives, government and private organizations, law firms, and other organizations from the US, UK, and the Netherlands are included in each chapter."
- Reference and Research Book News

"The handbook is well constructed and organised with a good balance of theory and practical examples. It is highly readable and not at all dry or uninteresting. In addition to the written descriptions, there are illustrations of forms and schedules as well as photographs and charts."
- Australian Academic and Research Libraries

"Records and Information Management is a comprehensive introductory textbook for students considering a career in the records and information management (RIM) field ... the focus of the writing is on the introduction of terms, concepts, and processes, and the need for breadth trumps depth in almost every chapter."
- Serials Review

 

 

Patricia C. Franks is an associate Professor in the School of Library and Information Science (SLIS) at San Jose State University in California, where she serves as the Master of Archives and Records Administration (MARA) Program Coordinator and the SLIS Internship Program Coordinator. Dr. Franks supervises virtual interns and teaches courses related to information organizations and management, archival studies, and records management. Her professional activities include working with ARMA International, most recently as Consensus Group Leader for both ANSI/ARMA 1-2011 Implications of Web-Based, Collaborative Technologies in Records Management and ARMA TR 21-2012 Using Social Media in Organizations.

1. The origins and development of records and information management

This chapter provides the reader with a glimpse of the path recordkeeping and record- keepers have taken from prehistoric times to the present. Perspective: Steve Bailey in his perspective on realigning the records management covenant expresses his conviction that to meet the challenges of the future, records manager must deviate from the past practice of developing records management programmes “for the organization” and instead put the user first.

2. Records and information management: the foundation for information governance

This chapter introduces the reader to the concept of information governance and the key role records management plays in an information governance strategy. The chapter explains laws, regulations, and standards that impact records and information management programmes for both government and private organizations in the US and abroad. Eugene Yang provides a rationale for standards within the context of the nuclear regulatory environment with his paradigm on the US nuclear power industry.

3. Records and information creation/capture, classification, and file plan development

This chapter introduces the reader to records creation, capture, classification, and file plan development for records and information that result from business activities using some of the many systems, components, networks, and applications employed by users at home and at work. Tanya Marshall, Deputy State Archivist and Senior Records Analyst for the Vermont State Archives, contributes to the conversation about classification and information systems in her paradigm on the Vermont Functional Classification System (VCLAS).

4. Records retention strategies: inventory, appraisal, retention, and disposition

This chapter presents records retention strategies useful to those organizations stressing the value of disposition as part of the overall information governance approach. In her contribution to this chapter, Nancy Kunde, a Certified Archivist and Certified Records Manager, describes one organization’s approach to records appraisal, retention and disposition as part implementing an Enterprise Resource Planning (ERP) system and shares lessons learned.

5. Records and information access, storage, and retrieval

This chapter describes ways in which records and information managers can contribute their expertise during the active phase of the information lifecycle to decision being made about workflow processes, access, controls, storage systems, metadata, and the search and retrieval processes. In her contribution to the chapter, Deborah Rifenbark describes the steps taken to automate a manual “new business intake” workflow process within a law firm.

6. Electronic records and electronic records management systems

This chapter describes systems of record and systems of engagement as well as the vital role records professionals play in identifying records in both types of systems and in providing guidance to those responsible for capturing and managing them. Mary Beth Herkert, Oregon State Archivist, shares experiences and lessons learned in expanding cloud services to local governments in a paradigm on records management in the cloud.

7. Emerging technologies and records management

This chapter explores the ways in which the social media introduced in the first chapter impact the recordkeeping profession. It introduces the diffusion of innovation and trend spotting as methods that can be used to prepare for the inevitable changes that will take place due to emerging technologies and changing societal expectations. Christian van der Ven, Coordinator of Digital Services at the Brabant Historical Information Center in the Netherlands, describes a social media initiative to improve customer service in his paradigm on discovering the South Land. 

8. Vital records, disaster preparedness and recovery, and business continuity

This chapter discusses business resumption, which depends upon vital records, disaster preparedness and recovery, and business continuity plans. In 2005, Hurricane Katrina wreaked devastation across Texas, Louisiana, and Mississippi, causing an estimated $100 billion in damages and flooding 80% of the city of New Orleans. HP (Hewlett-Packard) provides a business case describing how the Archdiocese of New Orleans rebuilt its archives after Hurricane Katrina, thanks to the expertise of Emilie Gagnet Leumas, Director of Archives and Records, Archdiocese of New Orleans.

9. Monitoring, auditing, and risk management

This chapter presents several methods of monitoring and auditing records and information programmes. Risk assessment – which includes risk identification, risk analysis, and risk evaluation – is explored. Fred V. Diers offer on method to mitigate risk in his paradigm on creating defensible records retention programmes.

10. Inactive records management, archives, and long-term preservation

This chapter covers the topics of inactive records management, archives and, long-term preservation. In keeping with the theme of the chapter – control – guest contributors Barb Ricci and Jeffrey Cox describe how they implemented a records management programme for physical records as a first step in a comprehensive plan for the city of Los Alamos, New Mexico, USA, that will eventually include electronic records.

11. Records management education and training

This chapter presents the reader with a variety of options for records and information management education and training, including degree programmes, professional development opportunities, and in-house training programmes. In his paradigm on digital education for a digital world, Ross Harvey of Simmons College, USA provides an overview of the school’d virtual Digital Curriculum Lab.

12. From records management to information governance, an evolution

This chapter explains how the information shared in Chapters 2 to 11 can be used to develop a legally defensible records management programme and an effective information governance strategy. Diane Carlisle of ARMA International provides a detailed explanation of the Generally Accepted Recordkeeping Principles and an overview of the Maturity Model that can be used to evaluate and improve an existing records and information management programme.

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