Students and professionals alike can benefit from the information in this book, which offers insights into a range of topics in the field. For instructors, and undergraduate and graduate level students, it will serve as an introduction to records and information management in archives, records and information management programs. Experienced archives and records professionals, as well as supervisors and managers charged with oversight will get a new perspective on their field, while upper-level managers, executives, and other decision makers responsible for effectively managing their organization's information assets will find it a useful guide. This book follows the records and information lifecycle model, encompassing paper, electronic (databases, office suites, email, IM), and new media records (blogs, wikis), as well as records residing in "the cloud" (software as a service).

List of Illustrations ix

Introduction xiii

Chapter 1. The Origins and Development of Records and Information Management 1

Introduction 1

Records and Recordkeeping in Society 1

Recordkeeping in the United States in the Twentieth Century 5

Information Technology, Records, and the Information Age 7

Web 2.0, Social Media, and Society 13

Summary 22

Perspective: Realigning the Records Management Covenant, by Steve Bailey 23

Notes 25

Chapter 2. Building an Information Governance Program on a Solid RIM Foundation

Introdroduction 29

Information Governance 29

Records Management as a Professional Management Discipline 32

Records and Information Lifecycle 33

Records Management Program Elements, Functions, and Activities 39

Standards, Laws, Regulations, and the Legal Environment 40

Summary 48

Paradigm: The US Nuclear Power Industry Mitigates Risk in the Use of Electronic Formats to Meet Quality Assurance Record Retention Requirements, by Eugene Yang 49

Notes 53

Chapter 3. Records and Information Creation/Capture, Classification, and File Plan Development 57

Introduction 57

Records and Information Creation and Capture 57

Controlled Language and Records Classification 62

Business Classification Schemes 68

Indexing, Content Analysis, and File Plan Development 70

Records Management Metadata 72

Summary 77

Paradigm: The Vermont Functional Classification System (VCLAS), by Tanya Marshall 78

Notes 81

Chapter 4. Records Retention Strategies: Inventory, Appraisal, Retention, and Disposition 85

Introduction 85

Records Inventory 85

Records Appraisal 96

Legal and Regulatory Compliance 99

Developing a Records Retention and Disposition Schedule 100

Summary 106

Paradigm: Implementing Records Retention in an ERP System: Records Retention, Appraisal, and Disposition, by Nancy Kunde 107 Notes 111

Chapter 5. Records and Information Access, Storage, and Retrieval 113

Introduction 113

Business Process Mapping and Workflow Processes 114

Access Controls 118

Active Storage Systems 120

Search and Retrieval Process 130

Metadata and Metadata Standards 136

Summary 140

Paradigm: New Business Intake—Law Firm Environment, by Deborah Rifenbark 141

Notes 142

Chapter 6. Electronic Records and Electronic Records Management Systems 145

Introduction 145

Electronic Records 145

Enterprise Information Systems 146

Content Management Systems 148

Enterprise Content Management Systems 149

Electronic Records Management 149

Electronic Records Management Systems 150

Electronic Records Management Systems Guidance 151

Data and System Migration 159

Records Management in the Clouds 161

Planning and Managing an Electronic Records Management Program 162

Summary 162

Paradigm: Records Management in the Cloud, by Mary Beth Herkert 163

Notes 165

Chapter 7. Emerging Technologies and Records Management 167

Introduction 167

Diffusion of Innovation and Trend Spotting 167

Identifying, Capturing, and Scheduling Web Records 172

Social Media and Records Management 177

Managing Mobile Devices 188

Integration into the Electronic Records Management System 188

Summary 192

Paradigm: Discovering the South Land—Employing Emerging Technologies, Motivating Staff, and Measuring Success, by Christian van der Ven 193

Notes 197

Chapter 8. Vital Records, Disaster Preparedness and Recovery, and Business Continuity 199

Introduction 199

Business Resumption Strategies 199

Vital Records Program 200

Disaster Preparedness and Recovery Planning 210

Business Continuity Planning 219

Summary 221

Paradigm: Archdiocese of New Orleans Rebuilds Archives after Hurricane Katrina, by Emilie Gagnet Leumas 223

Notes 225

Chapter 9. Monitoring, Auditing, and Risk Management 227

Introduction 227

Monitoring the Management of Records 227

Auditing the Records Management Program 232

Risk Management 235

Summary 243

Paradigm: Creating Defensible Records Retention Programs, by Fred V Diers 244

Notes 246

Chapter 10. Inactive Records Management, Archives, and Long-Term Preservation 249

Introduction 249

Inactive Records and Records Centers 249

Archives Management 263

Long-Term Preservation 272

Digital Curation and Preservation 275

Summary 281

Paradigm: Chaos to Control—A Continuing Journey, by Barb Ricci and Jeffrey W. Cox 282

Notes 284

Chapter 11. Records Management Education and Training 289

Introduction 289

Preparation for Records Management Professionals 289

Records Management Training Programs 289

Summary 298

Paradigm: Digital Education for a Digital World—The Digital Curriculum Laboratory at Simmons College, by Ross Harvey 305

Notes 308

Chapter 12. From Records Management to Information Governance: An Evolution 311

Introduction 311

Developing a Records Management Program 311

Implementing an Information Governance Strategy 321

Summary 329

Perspective: Information Governance Program Development, by Diane K. Carlisle 330

Notes 335

Appendix: A Sampling of Records Management Laws and Regulations outside of the United States 337

Glossary 341

Bibliography 361

Index 381

Patricia C. Franks is an associate Professor in the School of Library and Information Science (SLIS) at San José 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.

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