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IUB |
IUPUI |
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Phone |
(812)
856-2323 |
(812)
856-2323 |
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Office |
LI 022 |
UL 0133 |
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Every
Tuesday except 2/4, 2/11, 2/18, 3/4 when I will be in UL 4115F |
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Office hours |
Th 1:30-3:30 pm |
Tu 2:30-4:30 pm |
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Or by appointment |
Or by appointment |
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E-mail |
cchoksy@indiana.edu |
cchoksy@indiana.edu |
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Course times |
Th 9:30-12:15 am |
Tu 5:45-8:30 pm |
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This course is a
general introduction to records management.
As a management discipline, records management focuses on how
information is used within organizations as well as what best practices,
statutes and other compliance factors are required to manage information as an
asset, a resource, and as a potential source of risk.
Unlike the practice
of archives in the United States, library science, or information science,
records management is focused entirely on the business enterprise. Focusing
internally on the business provides a very different view of many commonly-held
concepts within records management’s sister disciplines including, freedom of
speech, access to information, and risk management.
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The following definitions of
letter grades have been defined by student and faculty members of the
Curriculum Steering Committee and have been approved by the faculty as an aid
in evaluation of academic performance and to assist students by giving them
an understanding of the grading standards of the School of Library and
Information Science. |
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A |
4.0 |
Outstanding
achievement. Student performance demonstrates full command of the course
materials and evinces a high level of originality and/or creativity that far
surpasses course expectations. |
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A- |
3.7 |
Excellent
achievement. Student performance demonstrates thorough knowledge of the
course materials and exceeds course expectations by completing all
requirements in a superior manner. |
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B+ |
3.3 |
Very good work.
Student performance demonstrates above-average comprehension of the course
materials and exceeds course expectations on all tasks as defined in the
course syllabus. |
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B |
3.0 |
Student
performance meets designated course expectations and demonstrates
understanding of the course materials at an acceptable level. |
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B- |
2.7 |
Marginal work.
Student performance demonstrates incomplete understanding of course
materials. |
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C+ |
2.3 |
Unsatisfactory
work. Student performance demonstrates incomplete and inadequate
understanding of course materials. |
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C- |
1.7 |
Unacceptable
work. Coursework performed at this level will not count toward the MLS or MIS
degree. For the course to count toward the degree, the student must repeat
the course with a passing grade. |
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F |
0.0 |
Failing. Student
may continue in program only with permission of the Dean. |
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1. |
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No course in
which a student receives a grade of C- or lower may be applied to the
requirements for a SLIS degree. Such a course must be repeated with a grade
of C or better. Both grades will be included in grade point average
calculation. |
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2. |
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A student who has
not achieved a B average (3.0), or higher, or has more than two grades in the
C range, will review his/her program with the deans. |
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3. |
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A student who
wishes to do so may request a review of a grade assignment by the deans. |
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Assignment |
Topic |
Type |
Due |
Remarks |
% final grade |
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Assignment 1 Week 1 |
What does it mean to
manage information? |
10 page paper |
Week 4 |
Individual-- must
include citations |
20% |
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Assignment 2 Week 7 |
Legal research |
Table |
Week 9 |
Class |
10% |
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Assignment 3 Week 10 |
Stakeholder interview
write-up |
Table |
Week 11 |
Teams |
10% |
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Assignment 4 Week 11 |
Information Inventory |
Table |
Week 12 |
Class |
10% |
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Assignment 5 Week 12 |
Master Classification
Plan |
Table |
Week 13 |
Team |
10% |
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Assignment 6 Week 13 |
Vital records and
business resumption plan |
3-5 page paper |
Week 14 |
Individual |
20% |
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Assignment 7 Week 14 |
Records retention and
disposition schedule |
Table |
Week 15 |
Class |
20% |
There are three basic
assignments: the 10-page paper, the vital records and business resumption plan
and the records retention and disposition schedule (RRDS). The paper and the vital records plan are
independent projects. The records retention and disposition schedule is the
product of the legal research, interviews, inventory, and the master
classification plan. Each part of the RRDS is a separate assignment that will
receive an independent grade. The separate assignments will then be put
together into the final schedule that will also receive a grade. The purpose of
grading the parts separately is to give the students the same experience a
records management practitioner would have in receiving feedback for each
element of the final schedule as well as for the final schedule.
Plagiarism (the use
of someone else's ideas, words, or opinions without attribution) or other types
of academic dishonesty will result in an F for the course. See Indiana
University's "Code of Student Rights, Responsibilities and Conduct" http://campuslife.indiana.edu/Code/Part_3all.html
Davenport, Thomas
H., Information Ecology: Mastering the
Information and Knowledge Environment. New York: Oxford University Press,
1997.
Davenport, Thomas
H., Process Innovation: Reengineering
Work through Information Technology. Boston: Harvard Business School Press,
1993.
Lev, Baruch, Intangibles: Management, Measurement, and
Reporting. Washington, DC: Brookings Institution Press, 2001.
Marchand, Donald
A., Thomas H. Davenport, Tom Dickson, eds., Financial
Times Mastering Information Management. London: Financial Times/Prentice
Hall, 2000.
What
is a record?
What
is evidence?
What is a document?
What is information?
What is an object?
What
is knowledge?
Assignments
Assignment 1 What does it mean to manage information?
10-page paper due week 4
Required
Readings
Davenport, Information Ecology, Chapters 1-3, 7
Marchand,
Mastering Information Management, pp.
5-22, 27-31, 333-337
Strategic Planning
What
is an asset?
Are records/information assets?
What are resources?
Are records/information resources?
What
is the role of records/information in the bottom line?
Assignments
None
Required
Readings
Bontis,
Nick. “Managing Organizational Knowledge by Diagnosing Intellectual Capital:
Framing and Advancing the State of the Field,” in Nick Bontis, ed., World Congress on Intellectual Capital
Readings. Boston: Butterworth-Heinemann, 2002. Online course reserve.
Lado,
Augustine A., Nancy G. Boyd, & Peter Wright, “A Competency-based Model of
Sustainable Competitive Advantage: Toward a Conceptual Integration,” Journal of Management 18(1): 77-91. In EBSCO
Lev,
Baruch. Intangibles: Management,
Measurement, and Reporting, Introduction-Chapter 6.
Marchand,
Mastering Information Management,
Chapters 2, 6
Corporate Structure
De-verticalization
Globalization
Contracts
Assignments
None
Required
Readings
ASP Industry Consortium and WIPO Arbitration and
Mediation Center, “Dispute Avoidance and Resolution Best Practices in the ASP
Industry,” 2000, http://arbiter.wipo.int/asp/report/pdf/report.pdf
Lamoreaux, Naomi R., Daniel M.G. Raff,
Peter Temin, Beyond Markets and Hierarchies:
Toward a New Synthesis of American Business History. Cambridge, MA. :
National Bureau of Economic Research, 2002.
http://papers.nber.org/papers/W9029.pdf
Laubacher, Robert J., Thomas W. Malone, and
the MIT Scenario Working Group, “Two Scenarios for 21st Century
Organizations: Shifting Networks of Small Firms or All-encompassing ‘Virtual
Countries’?,” 21C Working Papers, No. 001, January, 1997, http://ccs.mit.edu/21c/21CWP001.html
Marchand,
Mastering Information Management,
Chapters 4, 5
Industry
Requirements & Best practices
Corporate Culture
Globalization
Corporate Use
Privacy & Security
Assignments
Assignment 1 paper due
Required
Readings
Davenport, Information Ecology, Chapters 5-6, 10
IDEF0
Overview, http://www.idef.com/idef0.html
Marchand,
Mastering Information Management,
Chapter 8
Life Cycle
Records continuum
Business processes
Information processes
Mapping processes
Assignments
None
Required
Readings
Davenport, Process Innovation, Chapters 3-5, 7, 9
Upward,
Frank, “Structuring the Records Continuum - Part One: Postcustodial Principles
and Properties,” Archives and Manuscripts,
24 (2) 1996.
http://rcrg.dstc.edu.au/publications/recordscontinuum/fupp1.html
Upward,
Frank, “Structuring the Records Continuum, Part Two:
Structuration Theory and Recordkeeping,” Archives
and Manuscripts, 25 (1) 1997. http://rcrg.dstc.edu.au/publications/recordscontinuum/fupp2.html
Statutes, Regulations and Agency
Memoranda
FOIA
Standards
Audits
Discovery, Production, Trial
Assignments
None
Required
Readings
Withers,
Kenneth J., “Computer-based Discovery in Federal Civil Litigation,” and Caroll,
John L., “Discovery Disputes and Electronic Media,” in Glasser LegalWorks, 5th Annual Electronic Discovery
and Records Management Seminar, Little Falls, NJ: Glasser LegalWorks, 2002.
Online Course Reserve
Assignments
Required
Readings
Indiana Rules of Court, Rules of Evidence, Article VIII Hearsay, Article IX Authentication, Article X Contents,
http://www.in.gov/judiciary/rules/evidence/evidence.pdf
Handout--U.S. and international legal selections to be given out Week 6
Business
Requirements
Functional
Requirements
Technical
Requirements
Vendor
Requirements
Assignments
None
Required
Readings
IEEE Guide for Developing System Requirements
Specifications, IEEE Std 1233, 1998 IEEE, New York, 1998 in “Chapter 3. Software Requirements
Analysis and Specifications,” Software
Requirements Engineering, Second Edition, edited by Merlin Dorfman and Richard H. Thayer, Los Alamitos, CA: IEEE Computer Society Press, 1997. Online Course Reserve
Sources & types of information
Records Series
Metadata
Objects
In
class work
Create
questionnaire for stakeholder interviews
Assignments
Assignment 2 legal research due
Assignment 3 Stakeholder interviews
Required
Readings
Reed, Barbara, “Metadata: Core record or core business?” Archives
and Manuscripts, 25 (2) 1997.
http://rcrg.dstc.edu.au/publications/recordscontinuum/brep1.html
Rumbaugh,
James, Ivar Jacobson & Grady Booch, The
Unified Modeling Language Reference Manual. Reading, MA: Addison-Wesley,
1999.
Chapter
4 Static View pp. 41-52; Chapter 13 Encyclopedia of Terms “class” pp. 185-6;
“classifier,” “classifier role,” “collaboration,” pp. 193-6; “object,” pp.
360-1. Online class reserve
Shear,
Kenneth, “Retaining Computer Data in Original Format v. Conversion of Data into
Images,” White paper Electronic Evidence
Discovery, Inc.
http://www.eedinc.com/whitePapers.aspx?iWhitePaperId=14
this web site will ask you for your name and e-mail in order to download the
paper
Process
management
Document
management
Content
management
Correspondence
control
Reports
management
Directives
management
Copy
control
Mail
management
Assignments
Assignment 3 Stakeholder interview write-up
Required
Readings
None
Taxonomies
and Typologies
Assignments
Assignment 3 Stakeholder interview write-up
due
Assignment 4 Information inventory
Required
Readings
Bailey,
Kenneth D., Typologies
and taxonomies: an introduction to classification techniques. Thousand Oaks, CA: Sage Publications, 1994. Reserve
Bailey, Kenneth D.,
“Typologies,” in Encyclopedia of
Sociology, v. 4, New York, MacMillan Publishing Company, 1991. Online Course Reserve
Lazarsfeld, Paul,
“Some Remarks on the Typological Procedures in Social Research,” in Zeitscrhift fűr
sozialforschung, edited by Max Horkheimer, Munich: Kösel-Verlag,
1937. Online Course Reserve
Parsons, Jeffrey, “An Information Model Based on Classification
Theory,” Management Science 42(10):
1437-1453. In EBSCO
Starr, Paul, “Social Categories and Claims in the Liberal
State,” in How Classification Works:
Nelson Goodman among the Social Sciences, edited by Mary Douglas and David
Hull. Edinburgh: Edinburgh University Press, 1992. Online
Course Reserve
Tiryakian, Edward A., “Typologies,” in International Encyclopedia of the Social Sciences, v. 16, New York:
Macmillan Company, date? Online Course Reserve
Assignments
Assignment 4 Information inventory due
Assignment 5 Master Classification Plan
Required
Readings
http://libwww.syr.edu/information/preservation/manual.htm
http://libwww.syr.edu/information/preservation/photo.htm
http://libwww.syr.edu/information/preservation/audio.htm
Office
of record
Organization
Training
Auditing
Assignments
Assignment 5 Create Master Classification
Plan due
Assignment 6 Vital records and business resumption plan
Required
Readings
From
FindLaw.com under Enron—Arthur Andersen LLP
http://news.findlaw.com/legalnews/lit/enron/#documents
·
Government's Memorandum Of Law In Opposition To Media Petitioners'
Petition For The Release Of Grand Jury Document (US v. Arthur Andersen,
LLP) (May 2, 2002)
·
Order Denying Andersen's Motion to Quash Subpoenas (US v.
Arthur Andersen, LLP) (April 9, 2002)
·
Information and Notice of Related Cases (U.S. v. Duncan)
(April 9, 2002)
·
Cooperation Agreement (U.S. v. Duncan) (April 6, 2002)
·
Indictment (U.S. v. Arthur Andersen, LLP) (March 14, 2002)
·
Petition (Samson Investment Co. v. Arthur Andersen, LLP) (Jan.
15, 2002)
·
E-mail from Andersen attorney Nancy A. Temple to Enron Engagement
Team re: "Enron -- Procedures for Responding to Subpoenas and litigation
(Nov. 10, 2001)
·
E-mail from Mina M. Trujillo re: Andersen Core Consultation Team
Conference Call (Oct. 23, 2001)
·
Enron announcement on behalf of Jim Derrick re: Important
announcement regarding document preservation (Oct. 25, 2001)
·
Notes from Andersen attorney Nancy Temple re: Oct. 23, 2001 Enron
consultation group meeting (Oct. 23, 2001)
·
Andersen auditor David Duncan's calendar (Oct. 22 - 28, 2001)
·
Andersen E-mail from Richard Corgel to David Duncan re: Enron
press release draft (Oct. 17, 2001)
·
Andersen E-mail from Nancy A. Temple to David B. Duncan re: press
release draft (Oct. 16, 2001)
·
Andersen's auditor David B. Duncan's "Memo To The Files"
Re: Enron press release discussions (Oct. 15, 2001)
·
"Memo To The Files" From Andersen's James A. Hecker re:
accounting inquiry from Enron employee Sherron Watkins (Aug. 21, 2001)
·
E-mail From David B. Duncan to Michael D. Jones re: Enron
Retention Meeting (Feb. 6, 2001)
·
Policy Statement: Client Engagement Information - Organization,
Retention and Destruction, Statement No. 760 (Feb. 2000)
Sarbanes-Oxley Act of 2002, Public Law 107-204, 107th
Congress, http://frwebgate.access.gpo.gov/cgi-bin/getdoc.cgi?dbname=107_cong_public_laws&docid=f:publ204.107.pdf
U.S. Securities and Exchange Commission, Proposed Rule: Retention of Records Relevant
to Audits and Reviews (regulatory rule generated by Sarbanes-Oxley Act of 2002)
http://www.sec.gov/rules/proposed/33-8151.htm
s
Unitization
Indices
Thesauri
Efficient Searching
Assignments
Assignment 6 Vital records and business
resumption plan due
Assignment 7 Records retention and disposition schedule
Required
Readings
Goodman,
Nelson, “Seven Strictures on Similarity,” Problems
and Projects. Indianapolis: Bobbs-Merrill Company, Inc., 1972. pp. 437-47 Online course reserve
Goodman,
Nelson, “Words, Works, Worlds,”
Erkenntnis, 9 (1975). Online course
reserve
Mitchell,
W. J. T., “Pictures and Paragraphs: Nelson Goodman and the Grammar of
Difference,” Iconology: Image, Text,
Ideology. Chicago: University of Chicago Press, 1986. Online course reserve
Smith,
Jonathan Z., “Adde Parvum Parvo Magnus Acervus Erit,” Map is Not Territory, Leiden: E. J. Brill, 1978, pp. 240-264. Online course reserve
E-mail, chat rooms, instant messaging,
web sites
Migration
Conversion
Destruction,
business espionage, copies
Assignments
Assignment 7 Records Retention and Disposition
Schedule due
Required
Readings
Hockeimer, Henry E., Jr., “The
Post-Andersen World: Dead If You Shred? Case Against Andersen Document
Retention Policies Verdict and Implications,” Business Law, 227(11): 7 In
Lexis-Nexis enter “Arthur Andersen shredding”