Records and Information Management

Patricia C. Franks, PhD, CA, CRM, IGP, CIGO, FAI, is a professor emerita at San JosÉ State University, where she teaches courses in enterprise content management and digital preservation. She is a past president of the National Association of Government Archivists and Records Administrators (NAGARA) and the Upstate New York Chapter of ARMA International. She is the sole editor of The Handbook of Archival Practice and co-editor of the Encyclopedia of Archival Science, the International Directory of National Archives, Teaching and Learning in Virtual Environments: Archives, Museums, and Libraries, and the Encyclopedia of Archival Writers, 1500–2015 (second edition to be released in 2026). She is a member of the CIGO Association Board of Directors and Preservica’s Digital Preservation Sustainability Council. Her research interests are related to emerging technology and its impact on records and information management. She is currently a member of the InterPARES Trust AI multinational interdisciplinary research project where she leads two teams exploring the application of AI in the archives and records management disciplines. Franks has written and spoken widely on topics of social media, cloud computing, blockchain technology, information governance, data governance, and artificial intelligence.

"Text is split up into clear, headed sections, and there are a lot of illustrations and diagrams – really welcome with so dense a subject. What I particularly liked was the ‘Paradigms and Perspectives’ section at the end of each chapter, where guest authors give their own take on the topic discussed in the chapter. These are often very practical and reassuring after all the theory ... Records management is undervalued but crucial for good governance and we need better training and the guidance that books like this provide." - Catalogue & Index

• List of Illustrations Acknowledgments Introduction Chapter 1 Evolution of Records and Information Management IntroductionRecords and Recordkeeping in SocietyRecordkeeping in the United States in the Twentieth CenturyInformation Technology, Records, and the Information AgeWeb 2.0, Social Media, and SocietySummaryParadigms and Perspectives 1.1: Slow and Steady Wins the Race: Why Information Governance Is Even More Important in the Age of Artificial Intelligence, by Chris Surdak 1.2: Generative AI, Authenticity, and Digital Provenance: An Opportunity for Records Professionals? by Scott Cameron Notes Chapter 2 Building an Information Governance Program on a Solid RIM Foundation IntroductionInformation GovernanceRecords Management as a Professional Management DisciplineRecords and Information Management LifecycleEnterprise Content ManagementContent Services and Intelligent Information ManagementRecords Management Program Elements, Functions, and ActivitiesStandards, Laws, Regulations, and the Legal EnvironmentElectronic Discovery and the Electronic Discovery Reference ModelTransitioning to Information GovernanceSummaryParadigms and Perspectives 2.1: The Federal Government’s Transition to Electronic Recordkeeping & Its Implications, by Jason R. Baron 2.2: Beyond Confidentiality: The Crucial Role of Information Governance in Law Firms, by Robert McLauchlin Notes Chapter 3 Records Creation, Capture, Classification, and File Plan Development IntroductionRecords and Information Creation and CaptureControlled Language and Records ClassificationBusiness Classification SchemesIndexing and Content AnalysisRecords Management MetadataSummaryParadigms and Perspectives 3.1: Knowledge Management, by Norman Mooradian 3.2: How Can Artificial Intelligence Help to Solve Recordkeeping Issues Related to Functional Classification? A Conversation with ChatGPT-3.5, by Lois M. Evans Notes Chapter 4 Records Retention Strategies: Inventory, Appraisal, Retention, and Disposition IntroductionRecords InventoryRecords AppraisalRecords SeriesWeb Records: Identifying, Capturing, and SchedulingLegal and Regulatory ComplianceDeveloping a Records Retention and Disposition ScheduleData Retention Policies and Records Retention SchedulesSummaryParadigms and Perspectives 4.1: Defensible Disposition, by Caryn Wojcik 4.2: Practical Considerations for an Effective RIM Strategy in MADC Activities, by Arlette Walls Notes Chapter 5 Records and Information Access, Storage, and Retrieval IntroductionBusiness Process ManagementAccess ControlsActive Storage SystemsSearch and Retrieval ProcessMetadata and Metadata StandardsSummaryParadigms and Perspectives 5.1: Meditations on Information Access and Corporate Culture from an Information Governance Yogi, by Natausha Cruz Wilson 5.2: Enterprise Knowledge Graphs, by Alex Richmond Chapter 6 Enterprise Information and Recordkeeping Systems IntroductionElectronic RecordsElectronic Information SystemsEnterprise Information SystemsContent Management SystemsEnterprise Content Management SystemsContent Services PlatformsDigital Asset ManagementElectronic Message ManagementElectronic Records ManagementMicrosoft 365 and Records ManagementElectronic Records Management System GuidanceData and System MigrationRecords Management in the CloudsPlanning and Managing an Electronic Records Management ProgramSummaryParadigms and Perspectives 6.1: Evolution of Email Management Strategy, by Wendy McLain 6.2: Playing the Cards You’ve Got: Dealing with Records in M365 Teams, by Meaghan Fukunaga Chapter 7 Emerging and Disruptive Technologies IntroductionDiffusion of Innovation and Trend SpottingBlockchain Distributed Ledger TechnologyWeb3MetaverseSocial Media and Electronic CommunicationsSummaryParadigms and Perspectives 7.1: Managing New Digital Communications, by Robert Cruz 7.2: The Metaverse Muddles, by Bethany Winslow and Marie Vans Chapter 8 Essential Records, Disaster Preparedness and Recovery, and Business Continuity IntroductionBusiness Resumption StrategiesEssential Records ProgramDisaster Preparedness and Recovery PlanningBusiness Continuity PlanningSummaryParadigms and Perspectives 8.1: The Dilemma of Destroying Digital Data, by Ilona N. Koti 8.2: Rethinking Disaster Preparedness in the Age of Ransomware: A Strategic Imperative, by Jim Merrifield Chapter 9 Information Value, Risk, Privacy and Security IntroductionInformation Economics (Infonomics)Risk ManagementPrivacy and SecuritySummaryParadigms and Perspectives 9.1: Unlocking the True Potential of Your Information: Understanding and Closing Information Gaps, by Douglas B. Laney 9.2: Data Privacy and Security, by Amitabh Srivastav Chapter 10 Physical Records, Records Centers, and Archives IntroductionPhysical Records ConsiderationsRecords CentersArchives ManagementSummaryParadigms and Perspectives 10.1: Records Center Software Migration, by Jessica Weston 10.2: Construction of an Archival Vault for the Capuchin Province of St. Joseph in Detroit, Michigan, by Junia Papas Chapter 11 Digital Preservation and Trusted Digital Repositories IntroductionDigitization and PreservationDigital Curation and StewardshipBuilding a Trusted Digital RepositoryCloud Digital Preservation as a ServiceDigital Preservation ResearchSummaryParadigms and Perspectives 11.1: Discovering the Need for Electronic Record Preservation and an Archives Management System: The Year That We Implemented Both ArchivesSpace and Preservica, by Robin Heise 11.2: Preserving the Enterprise: Collaboration and Opportunity in Shared Environments, by Tanya M. Marshall Chapter 12 Data Governance, Automation, and Artificial Intelligence IntroductionData GovernanceAutomationArtificial IntelligenceSummaryParadigms and Perspectives 12.1: AI and Data Governance, by Salvador Barragan 12.2: Progress Is Never Failure: Embracing Imperfect Technology in Archival Processing, by Kristopher Stenson Chapter 13 From Records Management to Information Governance: An Evolution IntroductionDeveloping a Records Management ProgramImplementing an Information Governance StrategySummaryParadigms and Perspectives 13.1: Turning a Records Management Policy into an Information Management Program, by Chris Bednar 13.2: Records Management, Information Governance, and AI in Law Firms, by Jim Merrifield Chapter 14 Leadership and Management Skills for Information ProfessionalsIntroductionManagementLeadershipLifelong Learning: Education, Training, and Professional DevelopmentDeveloping Records Management Training ProgramsSummaryParadigms and Perspectives 14.1: Saint Louis Zoo Advancements in Records Management and Information Governance Due to COVID-19 and Innovative Leadership and Management, by Rae Lynn Haliday 14.2: Ethical Literacy and RIM Leadership, by Norman Mooradian Appendixes Appendix A: Examples of Global Data Protection and Privacy Legislation Appendix B: A Sampling of US Privacy Protection Laws Glossary About the Author and Contributors Index