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, CRMClass Time: Tuesday, 5:30-8:15 pm

Home: 301-879-0029Classroom: 0115HBK0105

Cell: 301-651-3510

E-mail:

  • 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 / Value / Due
  1. Class Participation
  2. Records management presentation (one presentation per student)
/ 10%
10% / Weekly
As assigned
  1. Records definition paper
/ 20% / Due February 26
  1. Managing your own records
/ 20% / Due April 9
  1. Case study
/ 40% / 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.

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.

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 9:00pmMay 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 notes-bibliography style or in-text citations–reference list style. See examples at
  • 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.

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

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 and

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 ( ( at the beginning of the semester.

Weekly Topics

Week / Date / Topic / Assignments Due
1 / 01/29 / Introduction to Course; Introduction to Records Management
2 / 02/05 / RM Concepts and the Organizational Context
3 / 02/12 / Filing Systems / Presentation (See #2)
4 / 02/19 / RM Policies; the Records Inventory / Presentation (See #2)
5 / 02/26 / Records Creation and Capture / Presentation (See #2)
Records Definition Paper
6 / 03/05 / Records Maintenance and Use / Presentation (See #2)
7 / 03/12 / Records Schedule Development / Presentation (See #2)
8 / 03/26 / Records Retention Decisions / Presentation (See #2)
9 / 04/02 / Inactive Records Management
10 / 04/09 / Managing Records to Ensure Access / Presentation (See #2)
Managing Records Paper
11 / 04/16 / RM Technology / Presentation (See #2)
12 / 04/23 / RM Programs in Practice - Theory / Presentation (See #2)
13 / 04/30 / RM Programs in Practice – Case Studies / Presentation (See #2)
14 / 05/07 / Emerging Records Management Trends and the Records Management Profession
15 / 05/14 / Exam week –Final paper due / 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 ( For further information, see 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 UniversityBookCenter, or from the SAA (
  • 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 (

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

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

RMConcepts and the Organizational Context

Shepherd & Yeo, Chapter2 (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 Journal15:2 (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), 44-53.

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), 31-35.

Week 4: 19 February

RM Policy; the Records Inventory

Standards and Guidelines

Shepherd & Yeo, Chapter 2 (pp. 49-71) and appendix B.

Hofman, Hans. “Standards: Not ‘One Size Fits All’.” IMJ40:3 (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), StepsA – 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.

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 andChapter 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.

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), Chapter5.

Trimming Your Big Bucket List. 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,

Week 9: 02 April

Inactive Records Management

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.” IMJ39:3 (May-June 2005), 60-62.

Farber, Michael J., “Selecting an OffsiteCommercialRecordsCenter.” RecordsManagement Quarterly 31:1 (January 1997): 28-32. (Available through UMD Libraries’ ResearchPort).

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. (