Managing Electronic Records
Methods, Best Practices, and Technologies
Published on 17. May 2013
Book
Hardback
464 pages
978-1-118-21829-7 (ISBN)
Description
The ultimate guide to electronic records management, featuring a collaboration of expert practitioners including over 400 cited references documenting today's global trends, standards, and best practices
Nearly all business records created today are electronic, and are increasing in number at breathtaking rates, yet most organizations do not have the policies and technologies in place to effectively organize, search, protect, preserve, and produce these records. Authored by an internationally recognized expert on e-records in collaboration with leading subject matter experts worldwide, this authoritative text addresses the widest range of in-depth e-records topics available in a single volume.
Using guidance from information governance (IG) principles, the book covers methods and best practices for everything from new e-records inventorying techniques and retention schedule development, to taxonomy design, business process improvement, managing vital records, and long term digital preservation. It goes further to include international standards and metadata considerations and then on to proven project planning, system procurement, and implementation methodologies. Managing Electronic Records is filled with current, critical information on e-records management methods, emerging best practices, and key technologies.
* Thoroughly introduces the fundamentals of electronic records management
* Explains the use of ARMA's Generally Accepted Recordkeeping Principles (GARP(r))
* Distills e-records best practices for email, social media, and cloud computing
* Reveals the latest techniques for e-records inventorying and retention scheduling
* Covers MS SharePoint governance planning for e-records including policy guidelines
* Demonstrates how to optimally apply business process improvement techniques
* Makes clear how to implement e-document security strategies and technologies
* Fully presents and discusses long term digital preservation strategies and standards
Managing e-records is a critical area, especially for those organizations faced with increasing regulatory compliance requirements, greater litigation demands, and tightened internal governance. Timely and relevant, Managing Electronic Records reveals step-by-step guidance for organizing, managing, protecting, and preserving electronic records.
Nearly all business records created today are electronic, and are increasing in number at breathtaking rates, yet most organizations do not have the policies and technologies in place to effectively organize, search, protect, preserve, and produce these records. Authored by an internationally recognized expert on e-records in collaboration with leading subject matter experts worldwide, this authoritative text addresses the widest range of in-depth e-records topics available in a single volume.
Using guidance from information governance (IG) principles, the book covers methods and best practices for everything from new e-records inventorying techniques and retention schedule development, to taxonomy design, business process improvement, managing vital records, and long term digital preservation. It goes further to include international standards and metadata considerations and then on to proven project planning, system procurement, and implementation methodologies. Managing Electronic Records is filled with current, critical information on e-records management methods, emerging best practices, and key technologies.
* Thoroughly introduces the fundamentals of electronic records management
* Explains the use of ARMA's Generally Accepted Recordkeeping Principles (GARP(r))
* Distills e-records best practices for email, social media, and cloud computing
* Reveals the latest techniques for e-records inventorying and retention scheduling
* Covers MS SharePoint governance planning for e-records including policy guidelines
* Demonstrates how to optimally apply business process improvement techniques
* Makes clear how to implement e-document security strategies and technologies
* Fully presents and discusses long term digital preservation strategies and standards
Managing e-records is a critical area, especially for those organizations faced with increasing regulatory compliance requirements, greater litigation demands, and tightened internal governance. Timely and relevant, Managing Electronic Records reveals step-by-step guidance for organizing, managing, protecting, and preserving electronic records.
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04/2013
Wiley
€237.91
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Persons
ROBERT F. SMALLWOOD is a Partner and Executive Director of the E-Records Institute at IMERGE Consulting. With more than twenty-five years' experience in the field, Mr. Smallwood is one of the most published and respected authorities on e-records and document management. His clients include major corporations, as well as government agencies at all levels.
Content
Foreword xv
Preface xvii
Acknowledgments xix
Part one--E-Records Concepts 1
Chapter 1 E-Records Definitions, Business Drivers, and Benefits 3
Records Management Business Rationale 5
Why Is Records Management So Challenging? 6
Benefits of Electronic Records Management 7
Additional Intangible Benefits 8
Notes 10
Chapter 2 Information Governance: The Crucial First Step 11
First, Better Policies; Then, Better Technology for Better Enforcement 12
Defining Information Governance 13
Stakeholder Consultation Is Key 14
Accountability Is Key 14
Why IG Is Good Business 15
Impact of a Successful IG Program 16
Critical Factors in an IG Program 16
Who Should Determine IG Policies? 19
Notes 20
Chapter 3 Generally Accepted Recordkeeping Principles(r) 21
Charmaine Brooks, CRM GAR Principles 21
Assessment and Improvement Roadmap 28
Generally Accepted Recordkeeping Principles(r) Benchmarks 31
Notes 34
Chapter 4 Managing E-Documents and Records 35
Enterprise Content Management 35
Document Management Principles 37
Electronic Document Management Systems 38
Electronic Records Management 39
Records Management Principles 40
ERM Principles in Detail 40
Notes 51
Part two--E-Records Fundamentals 53
Chapter 5 Inventorying E-Records 55
The Generally Accepted Recordkeeping Principles(r) 56
E-Records Inventory Challenges 56
Records Inventory Purposes 57
Records Inventorying Steps 58
UK Approach to the Records Inventorying Process 73
Appraising the Value of Records 74
Ensuring Adoption and Compliance of RM Policy 75
Notes 77
Chapter 6 Taxonomy Development for E-Records 79
Barb Blackburn, CRM, with Robert Smallwood; edited by Seth Earley
Importance of Navigation and Classification 81
When Is a New Taxonomy Needed? 81
Taxonomies Improve Search Results 82
Records Grouping Rationale 83
Business Classification Scheme, File Plans, and Taxonomy 84
Classification and Taxonomy 85
Metadata and Taxonomy 85
Prebuilt versus Custom Taxonomies 87
Controlled Vocabularies and Hierarchical Taxonomies 88
Thesaurus Use in Taxonomies 89
Taxonomy Types 89
Which Taxonomy Type Should You Use? 94
Taxonomy Project Planning 96
Leveraging Subject Matter Experts 96
Gather Existing Information Sources 97
Document Inventory 98
Business Process Analysis 99
Construct the Taxonomy 101
What to Do with Items That Do Not Neatly Fit 102
Taxonomy Testing: A Necessary Step 104
Taxonomy Maintenance 105
Taxonomy Management Tools for Continued Maintenance 106
Social Tagging and Folksonomies 106
Notes 108
Chapter 7 Developing Retention Schedules for E-Records 111
Robert Smallwood; edited by Paula Lederman, MLS
What Is a Records Retention Schedule? 112
Benefits of a Retention Schedule 113
General Principles of Retention Scheduling 114
Developing a Records Retention Schedule 115
Why Are Retention Schedules Needed? 115
What Records Do You Have to Schedule? Inventory and Classification 117
Rationale for Records Groupings 119
Records Series Identification and Classification 119
Retention of E-Mail Records 120
How Long Should You Keep Old E-Mail? 121
Destructive Retention of E-Mail 121
Records Appraisal: Value Assessment and Prioritization 122
Legal Requirements and Compliance Research 125
Event-Based Retention Scheduling for Disposition of E-Records 127
Prerequisites for Event-Based Disposition 128
Final Disposition and Closure Criteria 129
Retaining Transitory Records 130
Implementation of the Retention Schedule and Disposal of Records 130
Ongoing Maintenance of the Retention Schedule 131
Audit to Manage Compliance with the Retention Schedule 131
Notes 133
Chapter 8 Managing Vital E-Records 135
Defining Vital Records 135
Types of Vital Records 136
Impact of Losing Vital Records 137
Creating, Implementing, and Maintaining a Vital Records Program 138
Implementing Protective Procedures 141
Cloud Computing Offers a New Option 144
Auditing the Vital Records Program 145
Additional Resources 146
Notes 147
Chapter 9 ERM Link to Business Process Improvement 149
Stephen Goodfellow, CRM
Improving Processes, Improving Quality 149
Six Sigma 150
Learning from the Failures of the Past 152
Typical Components when Improving a Business Process 153
Business Process and E-Records Link 154
Documenting Business Processes 154
First Steps in Documenting a Process: Information Gathering 155
Creating a Process Narrative 156
Flowcharting 157
Process Analysis 158
Workflow 159
E-Records Are Very Personal to People 160
Change Management 161
Communicate, Communicate, Communicate 162
Find the Source; Avoid the Cycle 163
Avoid Scope-creep: Defining "The Project" and Its Scope 164
Changing Processes Gets Personal 165
Notes 167
Chapter 10 Workflow and Business Process Management Software 169
Jon Pyke and Robert Smallwood
Workflow Software 170
Business Process Management Suites 171
Notes 177
Part three--Information Delivery
Platforms--Managing E-Records 179
Chapter 11 Managing E-Mail and IM Records 181
Employees Regularly Expose Organizations to E-Mail Risk 182
E-Mail Polices Should Be Realistic and Technology Agnostic 183
E-Record Retention: Fundamentally a Legal Issue 183
Preserve E-Mail Integrity and Admissibility with Automatic Archiving 184
Instant Messaging 186
Best Practices for Business IM Use 187
Technology to Monitor IM 189
Tips for Safer IM 189
Notes 191
Chapter 12 Managing E-Records in the Cloud 193
Defining Cloud Computing 194
Key Characteristics of Cloud Computing 195
What Cloud Computing Really Means 196
Cloud Deployment Models 196
Greatest Security Threats to Cloud Computing 197
IG Guidelines: Managing Documents and Records in the Cloud 204
Managing E-Docs and Records in the Cloud: A Practical Approach 205
Long-Term Content Migration Issues 206
Cloud Services Lack Basic Records Management Capabilities 207
Notes 208
Chapter 13 Managing Social Media Business Records 211
Types of Social Media in Web 2.0 211
Additional Social Media Categories 212
Social Media in the Enterprise 213
Key Ways Social Media Is Different from E-Mail and Instant Messaging 214
Biggest Risks of Social Media 215
Legal Risks of Social Media Posts 216
Tools to Archive Social Media 217
IG Considerations for Social Media 219
Key Social Media Policy Guidelines 219
Records Management Considerations for Social Media 220
Emerging Best Practices for Managing Social Media Records 222
Notes 223
Chapter 14 SharePoint Governance for E-Records and Documents 225
Monica Crocker, CRM, PMP; edited by Robert Smallwood
Process Change, People Change 226
Where to Begin the Planning Process 227
Records Management Policy Considerations 231
Roles and Responsibilities 231
Establish Processes 232
Training Plan 233
Communications Plan 233
Notes 235
Part four--Technical Issues 237
Chapter 15 International E-Records Standards 239
Benefits of Standards 241
Major International Standards 242
Additional Guidance from ANSI, ARMA, AIIM, NIST, BSI 248
Major National and Regional ERM Standards 251
Other National Standards 261
Where to Find More Information on ERM Standards 262
Notes 264
Chapter 16 Metadata Governance, Standards, and Strategies 271
Types of Metadata 273
Core Metadata Issues 273
International Metadata Standards and Guidance 274
National Metadata Standards 277
Metadata Strategies 280
Notes 283
Chapter 17 Long-Term Digital Preservation 285
Charles M. Dollar and Lori J. Ashley
Defining Long-Term Digital Preservation 285
Key Factors in Long-Term Digital Preservation 286
Threats to Preserving Records 288
Digital Preservation Standards 289
PREMIS Preservation Metadata Standard 296
Recommended Open Standard Technology Neutral Formats 297
Digital Preservation Requirements 301
Long-Term Digital Preservation Capability Maturity Model(r) 301
Scope of the Capability Maturity Model 304
Digital Preservation Capability Performance Metrics 309
Digital Preservation Strategies and Techniques 309
Evolving Marketplace 312
Looking Forward 312
Notes 314
Chapter 18 Storage and Hardware Considerations 317
The Onslaught of "Big Data" 317
Basic Types of Computer Storage 318
Today's E-Records Storage Solutions 319
Nonerasable Nonrewritable Requirement for Securities Broker-Dealers 319
Nonalterable Media Helps Meet Regulations in Healthcare and Other Industries 320
Notes 321
Part five--Project and Program Management Issues 323
Chapter 19 E-Records Project Planning and Program Management Issues 325
Robert Smallwood; edited by Monica Crocker, CRM, PMP
Avoiding Problems 326
Communication Is Key 327
Getting an Early Win 327
Selecting the Right Team Members 329
Project Charter 329
Standards in Project Management 330
Project Management Methodologies 330
Determining the Best Approach 335
Moving to an Ongoing Program 335
Monitoring and Accountability 335
Continuous Process Improvement 336
Why Continuous Improvement Is Needed 336
Notes 338
Chapter 20 Building the Business Case to Justify an ERM Program 341
Determine What Will Fly in Your Organization 341
Strategic Business Drivers for Project Justification 342
Benefits of Electronic Records Management 344
Presenting the Business Case 346
Notes 347
Chapter 21 Securing Executive Sponsorship 349
Executive Sponsor Role 350
Project Manager: Key Tasks 350
It's the Little Things 352
Evolving Role of the Executive Sponsor 352
Notes 353
Chapter 22 Procurement Governance: The Buying Process 355
Evaluation and Selection Process: RFI, RFP, or RFQ? 355
Evaluating Software Providers: Key Criteria 361
Negotiating Contracts: Ensuring the Decision 366
More Contract Caveats 369
How to Pick a Consulting Firm: Evaluation Criteria 369
Notes 372
Chapter 23 Best Practices for Electronic Records Management 373
Detailed ERM Best Practices 376
Conclusion 377
Notes 378
Appendix A Laws and Major Regulations Related to Records Management 379
Appendix B Listing of Technology and Service Providers 391
Appendix C Trends in Electronic Medical Records Technology 399
John W. Orth
Glossary 411
About the Author 425
About the Major Contributors 427
Index 429
Preface xvii
Acknowledgments xix
Part one--E-Records Concepts 1
Chapter 1 E-Records Definitions, Business Drivers, and Benefits 3
Records Management Business Rationale 5
Why Is Records Management So Challenging? 6
Benefits of Electronic Records Management 7
Additional Intangible Benefits 8
Notes 10
Chapter 2 Information Governance: The Crucial First Step 11
First, Better Policies; Then, Better Technology for Better Enforcement 12
Defining Information Governance 13
Stakeholder Consultation Is Key 14
Accountability Is Key 14
Why IG Is Good Business 15
Impact of a Successful IG Program 16
Critical Factors in an IG Program 16
Who Should Determine IG Policies? 19
Notes 20
Chapter 3 Generally Accepted Recordkeeping Principles(r) 21
Charmaine Brooks, CRM GAR Principles 21
Assessment and Improvement Roadmap 28
Generally Accepted Recordkeeping Principles(r) Benchmarks 31
Notes 34
Chapter 4 Managing E-Documents and Records 35
Enterprise Content Management 35
Document Management Principles 37
Electronic Document Management Systems 38
Electronic Records Management 39
Records Management Principles 40
ERM Principles in Detail 40
Notes 51
Part two--E-Records Fundamentals 53
Chapter 5 Inventorying E-Records 55
The Generally Accepted Recordkeeping Principles(r) 56
E-Records Inventory Challenges 56
Records Inventory Purposes 57
Records Inventorying Steps 58
UK Approach to the Records Inventorying Process 73
Appraising the Value of Records 74
Ensuring Adoption and Compliance of RM Policy 75
Notes 77
Chapter 6 Taxonomy Development for E-Records 79
Barb Blackburn, CRM, with Robert Smallwood; edited by Seth Earley
Importance of Navigation and Classification 81
When Is a New Taxonomy Needed? 81
Taxonomies Improve Search Results 82
Records Grouping Rationale 83
Business Classification Scheme, File Plans, and Taxonomy 84
Classification and Taxonomy 85
Metadata and Taxonomy 85
Prebuilt versus Custom Taxonomies 87
Controlled Vocabularies and Hierarchical Taxonomies 88
Thesaurus Use in Taxonomies 89
Taxonomy Types 89
Which Taxonomy Type Should You Use? 94
Taxonomy Project Planning 96
Leveraging Subject Matter Experts 96
Gather Existing Information Sources 97
Document Inventory 98
Business Process Analysis 99
Construct the Taxonomy 101
What to Do with Items That Do Not Neatly Fit 102
Taxonomy Testing: A Necessary Step 104
Taxonomy Maintenance 105
Taxonomy Management Tools for Continued Maintenance 106
Social Tagging and Folksonomies 106
Notes 108
Chapter 7 Developing Retention Schedules for E-Records 111
Robert Smallwood; edited by Paula Lederman, MLS
What Is a Records Retention Schedule? 112
Benefits of a Retention Schedule 113
General Principles of Retention Scheduling 114
Developing a Records Retention Schedule 115
Why Are Retention Schedules Needed? 115
What Records Do You Have to Schedule? Inventory and Classification 117
Rationale for Records Groupings 119
Records Series Identification and Classification 119
Retention of E-Mail Records 120
How Long Should You Keep Old E-Mail? 121
Destructive Retention of E-Mail 121
Records Appraisal: Value Assessment and Prioritization 122
Legal Requirements and Compliance Research 125
Event-Based Retention Scheduling for Disposition of E-Records 127
Prerequisites for Event-Based Disposition 128
Final Disposition and Closure Criteria 129
Retaining Transitory Records 130
Implementation of the Retention Schedule and Disposal of Records 130
Ongoing Maintenance of the Retention Schedule 131
Audit to Manage Compliance with the Retention Schedule 131
Notes 133
Chapter 8 Managing Vital E-Records 135
Defining Vital Records 135
Types of Vital Records 136
Impact of Losing Vital Records 137
Creating, Implementing, and Maintaining a Vital Records Program 138
Implementing Protective Procedures 141
Cloud Computing Offers a New Option 144
Auditing the Vital Records Program 145
Additional Resources 146
Notes 147
Chapter 9 ERM Link to Business Process Improvement 149
Stephen Goodfellow, CRM
Improving Processes, Improving Quality 149
Six Sigma 150
Learning from the Failures of the Past 152
Typical Components when Improving a Business Process 153
Business Process and E-Records Link 154
Documenting Business Processes 154
First Steps in Documenting a Process: Information Gathering 155
Creating a Process Narrative 156
Flowcharting 157
Process Analysis 158
Workflow 159
E-Records Are Very Personal to People 160
Change Management 161
Communicate, Communicate, Communicate 162
Find the Source; Avoid the Cycle 163
Avoid Scope-creep: Defining "The Project" and Its Scope 164
Changing Processes Gets Personal 165
Notes 167
Chapter 10 Workflow and Business Process Management Software 169
Jon Pyke and Robert Smallwood
Workflow Software 170
Business Process Management Suites 171
Notes 177
Part three--Information Delivery
Platforms--Managing E-Records 179
Chapter 11 Managing E-Mail and IM Records 181
Employees Regularly Expose Organizations to E-Mail Risk 182
E-Mail Polices Should Be Realistic and Technology Agnostic 183
E-Record Retention: Fundamentally a Legal Issue 183
Preserve E-Mail Integrity and Admissibility with Automatic Archiving 184
Instant Messaging 186
Best Practices for Business IM Use 187
Technology to Monitor IM 189
Tips for Safer IM 189
Notes 191
Chapter 12 Managing E-Records in the Cloud 193
Defining Cloud Computing 194
Key Characteristics of Cloud Computing 195
What Cloud Computing Really Means 196
Cloud Deployment Models 196
Greatest Security Threats to Cloud Computing 197
IG Guidelines: Managing Documents and Records in the Cloud 204
Managing E-Docs and Records in the Cloud: A Practical Approach 205
Long-Term Content Migration Issues 206
Cloud Services Lack Basic Records Management Capabilities 207
Notes 208
Chapter 13 Managing Social Media Business Records 211
Types of Social Media in Web 2.0 211
Additional Social Media Categories 212
Social Media in the Enterprise 213
Key Ways Social Media Is Different from E-Mail and Instant Messaging 214
Biggest Risks of Social Media 215
Legal Risks of Social Media Posts 216
Tools to Archive Social Media 217
IG Considerations for Social Media 219
Key Social Media Policy Guidelines 219
Records Management Considerations for Social Media 220
Emerging Best Practices for Managing Social Media Records 222
Notes 223
Chapter 14 SharePoint Governance for E-Records and Documents 225
Monica Crocker, CRM, PMP; edited by Robert Smallwood
Process Change, People Change 226
Where to Begin the Planning Process 227
Records Management Policy Considerations 231
Roles and Responsibilities 231
Establish Processes 232
Training Plan 233
Communications Plan 233
Notes 235
Part four--Technical Issues 237
Chapter 15 International E-Records Standards 239
Benefits of Standards 241
Major International Standards 242
Additional Guidance from ANSI, ARMA, AIIM, NIST, BSI 248
Major National and Regional ERM Standards 251
Other National Standards 261
Where to Find More Information on ERM Standards 262
Notes 264
Chapter 16 Metadata Governance, Standards, and Strategies 271
Types of Metadata 273
Core Metadata Issues 273
International Metadata Standards and Guidance 274
National Metadata Standards 277
Metadata Strategies 280
Notes 283
Chapter 17 Long-Term Digital Preservation 285
Charles M. Dollar and Lori J. Ashley
Defining Long-Term Digital Preservation 285
Key Factors in Long-Term Digital Preservation 286
Threats to Preserving Records 288
Digital Preservation Standards 289
PREMIS Preservation Metadata Standard 296
Recommended Open Standard Technology Neutral Formats 297
Digital Preservation Requirements 301
Long-Term Digital Preservation Capability Maturity Model(r) 301
Scope of the Capability Maturity Model 304
Digital Preservation Capability Performance Metrics 309
Digital Preservation Strategies and Techniques 309
Evolving Marketplace 312
Looking Forward 312
Notes 314
Chapter 18 Storage and Hardware Considerations 317
The Onslaught of "Big Data" 317
Basic Types of Computer Storage 318
Today's E-Records Storage Solutions 319
Nonerasable Nonrewritable Requirement for Securities Broker-Dealers 319
Nonalterable Media Helps Meet Regulations in Healthcare and Other Industries 320
Notes 321
Part five--Project and Program Management Issues 323
Chapter 19 E-Records Project Planning and Program Management Issues 325
Robert Smallwood; edited by Monica Crocker, CRM, PMP
Avoiding Problems 326
Communication Is Key 327
Getting an Early Win 327
Selecting the Right Team Members 329
Project Charter 329
Standards in Project Management 330
Project Management Methodologies 330
Determining the Best Approach 335
Moving to an Ongoing Program 335
Monitoring and Accountability 335
Continuous Process Improvement 336
Why Continuous Improvement Is Needed 336
Notes 338
Chapter 20 Building the Business Case to Justify an ERM Program 341
Determine What Will Fly in Your Organization 341
Strategic Business Drivers for Project Justification 342
Benefits of Electronic Records Management 344
Presenting the Business Case 346
Notes 347
Chapter 21 Securing Executive Sponsorship 349
Executive Sponsor Role 350
Project Manager: Key Tasks 350
It's the Little Things 352
Evolving Role of the Executive Sponsor 352
Notes 353
Chapter 22 Procurement Governance: The Buying Process 355
Evaluation and Selection Process: RFI, RFP, or RFQ? 355
Evaluating Software Providers: Key Criteria 361
Negotiating Contracts: Ensuring the Decision 366
More Contract Caveats 369
How to Pick a Consulting Firm: Evaluation Criteria 369
Notes 372
Chapter 23 Best Practices for Electronic Records Management 373
Detailed ERM Best Practices 376
Conclusion 377
Notes 378
Appendix A Laws and Major Regulations Related to Records Management 379
Appendix B Listing of Technology and Service Providers 391
Appendix C Trends in Electronic Medical Records Technology 399
John W. Orth
Glossary 411
About the Author 425
About the Major Contributors 427
Index 429