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• Managing Electronic Records
• Contents
• Foreword
• Preface
• Acknowledgments
• PART ONE E‐Records Concepts
• Chapter 1 E‐Records Definitions, Business Drivers, and Benefits
• Records Management Business Rationale
• Why Is Records Management So Challenging?
• Benefits of Electronic Records Management
• Additional Intangible Benefits
• Notes
• Chapter 2 Information Governance: The Crucial First Step
• First, Better Policies; Then, Better Technology for Better Enforcement
• Defining Information Governance
• Stakeholder Consultation Is Key
• Accountability Is Key
• Why IG Is Good Business
• Impact of a Successful IG Program
• Critical Factors in an IG Program
• Who Should Determine IG Policies?
• Notes
• Chapter 3 Generally Accepted Recordkeeping Principles®
• The Principles
• Accountability
• Transparency
• Integrity
• Protection
• Compliance
• Availability
• Retention
• Disposition
• Assessment and Improvement Roadmap
• Generally Accepted Recordkeeping Principles® Benchmarks
• Notes
• Chapter 4 Managing E‐Documents and Records
• Enterprise Content Management
• Document Management Principles
• Electronic Document Management Systems
• Electronic Records Management
• Records Management Principles
• ERM Principles in Detail
• Accessibility and Readability over Time
• Appraisal of Records
• Audit Trail
• Authenticity
• Business Classification Schemes
• Central Repository
• Collaboration
• Disposition: Transfer, Destruction, Preservation
• Document Scanning
• File Formats
• Metadata
• Physical Records Management
• Retention Scheduling
• Search and Retrieval
• Security and Access Control
• Storage Media
• Version Control
• Vital Records
• Workflow
• Notes
• PART TWO E‐Records Fundamentals
• Chapter 5 Inventorying E‐Records
• The Generally Accepted Recordkeeping Principles ®
• E‐Records Inventory Challenges
• Records Inventory Purposes
• Records Inventorying Steps
• Goals of the Inventory Project
• Scoping the Inventory
• Management Support: Executive Sponsor
• Information/Elements for Collection
• Creating a Records Inventory Survey Form
• Who Should Conduct the Inventory?
• Determine Where Records Are Located
• Conduct the Inventory
• Analyze and Verify the Results
• UK Approach to the Records Inventorying Process
• Stage 1: Creating a Project Schedule and Plan
• Stage 2: Clear Communication of Business Objectives and Scope
• Stage 3: Tailoring the Records Inventory Survey
• Stage 4: Inventory Form Fulfillment
• Stage 5: Records Inventory Tabulation and Documentation
• Stage 6: Ongoing Inventorying Program Requirements
• Appraising the Value of Records
• Ensuring Adoption and Compliance of RM Policy
• Notes
• Chapter 6 Taxonomy Development for E‐Records
• Importance of Navigation and Classification
• When Is a New Taxonomy Needed?
• Taxonomies Improve Search Results
• Records Grouping Rationale
• Business Classification Scheme, File Plans, and Taxonomy
• Classification and Taxonomy
• Metadata and Taxonomy
• Prebuilt versus Custom Taxonomies
• Controlled Vocabularies and Hierarchical Taxonomies
• Thesaurus Use in Taxonomies
• Taxonomy Types
• Which Taxonomy Type Should You Use?
• Taxonomy Project Planning
• Leveraging Subject Matter Experts
• Gather Existing Information Sources
• Document Inventory
• Business Process Analysis
• Construct the Taxonomy
• What to Do with Items That Do Not Neatly Fit
• Taxonomy Testing: A Necessary Step
• Taxonomy Maintenance
• Taxonomy Management Tools for Continued Maintenance
• Social Tagging and Folksonomies
• Notes
• Chapter 7 Developing Retention Schedules for E‐Records
• What Is a Records Retention Schedule?
• Benefits of a Retention Schedule
• General Principles of Retention Scheduling
• Developing a Records Retention Schedule
• Why Are Retention Schedules Needed?
• Information Included on Retention Schedules
• Steps in Developing a Records Retention Schedule
• What Records Do You Have to Schedule? Inventory and Classification
• Rationale for Records Groupings
• Records Series Identification and Classification
• Retention of E‐Mail Records
• How Long Should You Keep Old E‐Mail?
• Destruction Retention of E‐mail
• Records Appraisal: Value Assessment and Prioritization
• Types of Records Values
• Legal Staff Research and Input Is Essential in Determining Legal Value
• Estimating the Value of Financial Records
• Determining Scientific or Technical Value of Records
• Long‐Term Archival Records
• Records Having Evidential Value
• Records Having Informational Value
• Assigning Time Periods to Records Values
• Meeting Legal Limitation Periods
• Legal Requirements and Compliance Research
• Event‐Based Retention Scheduling for Disposition of E‐Records
• Prerequisites for Event‐Based Disposition
• Final Disposition and Closure Criteria
• Retention Periods: Online versus Offline
• Closure Dates
• Retaining Records Indefinitely
• Retaining Transitory Records
• Implementation of the Retention Scheduleand Disposal of Records
• Getting Acceptance and Formal Sign‐Off of the Retention Schedule
• Disposition Timing: Records Disposal
• Automating Retention/Disposal Actions
• Disposal Date Changes
• Proving Record Destruction
• Ongoing Maintenance of the Retention Schedule
• Audit to Manage Compliance with the Retention Schedule
• Notes
• Chapter 8 Managing Vital E-Records
• Defining Vital Records
• Types of Vital Records
• Impact of Losing Vital Records
• Creating, Implementing, and Maintaininga Vital Records Program
• Essential Steps to Implementing a Vital Records Program
• U.S. National Archives Approach to Identify Vital Records
• Critical Identifiers for Vital Records
• Implementing Protective Procedures
• Instant Continuous Backup
• Off‐site Continuity Options
• Cloud Computing Offers a New Option
• Auditing the Vital Records Program
• Additional Resources
• Notes
• Chapter 9 ERM Link to Business Process Improvement
• Improving Processes, Improving Quality
• Six Sigma
• Learning from the Failures of the Past
• Typical Components When Improving a Business Process
• Business Process and E‐Records Link
• Documenting Business Processes
• First Steps in Documenting a Process: Information Gathering
• Creating a Process Narrative
• Flowcharting
• Process Analysis
• Workflow
• E‐Records Are Very Personal to People
• Change Management
• Communicate, Communicate, Communicate
• Find the Source; Avoid the Cycle
• Avoid Scope-creep: Defining “The Project” and Its Scope
• Changing Processes Gets Personal
• Notes
• Chapter 10 Workflow and Business Process Management Software
• Workflow Software
• Business Process Management Suites
• Notes
• PART THREE Information Delivery Platforms: Managing E‐Records
• Chapter 11 Managing E‐Mail and IM Records
• Employees Regularly Expose Organizations to E‐Mail Risk
• E‐Mail Polices Should Be Realistic and Technology Agnostic
• E‐Record Retention: Fundamentally a Legal Issue
• Preserve E‐Mail Integrity and Admissibilitywith Automatic Archiving
• E‐Mail Archiving Rationale: Compliance, Legal, and Business Reasons
• Don’t Confuse E‐Mail Archiving with Backup
• No Personal Archiving in the Workplace
• Are All E‐Mails Records?
• Destructive Retention of E‐Mail
• Instant Messaging
• Best Practices for Business IM Use
• Technology to Monitor IM
• Tips for Safer IM
• Notes
• Chapter 12 Managing E‐Records in the Cloud
• Defining Cloud Computing
• Key Characteristics of Cloud Computing
• What Cloud Computing Really Means
• Cloud Deployment Models
• Greatest Security Threats to Cloud Computing
• Document and Data Breaches
• The Enemy Within: Insider Threats
• Hacking and Rogue Intrusions
• Insecure Points of Cloud Connection
• Issues with Multitenancy and Technology Sharing
• Hacking, Hijacking, and Unauthorized Access
• Who Are Your Neighbors?
• IG Guidelines: Managing Documents and Records in the Cloud
• Managing E‐Docs and Records in the Cloud: A Practical Approach
• Long‐Term Content Migration Issues
• Cloud Services Lack Basic Records Management Capabilities
• Notes
• Chapter 13 Managing Social Media Business Records
• Types of Social Media in Web 2.0
• Additional Social Media Categories
• Social Media in the Enterprise
• Key Ways Social Media Is Different from E‐Mail and Instant Messaging
• Biggest Risks of Social Media
• Legal Risks of Social Media Posts
• Tools to Archive Social Media
• IG Considerations for Social Media
• Key Social Media Policy Guidelines
• Records Management Considerations for Social Media
• Records Retention Guidelines
• Content Control Models
• Emerging Best Practices for Managing Social Media Records
• Notes
• Chapter 14 SharePoint Governance for E‐Records and Documents
• Process Change, People Change
• Where to Begin the Planning Process
• Begin at a High Level
• Establish Scope
• Records Management Policy Considerations
• Roles and Responsibilities
• Establish Processes
• Training Plan
• Communications Plan
• Notes
• PART FOUR Technical Issues
• Chapter 15 International E‐Records Standards
• Benefits of Standards
• Major International Standards
• Additional Guidance from ANSI, ARMA, AIIM, NIST, BSI
• Major National and Regional ERM Standards
• United States E‐Records Standard
• Canadian Standards and Legal Considerations for Electronic Records Management
• U.K. and European Standards
• Australian ERM and Records Management Standards
• Other National Standards
• Brazil
• Finland
• Germany
• New Zealand
• Norway
• Where to Find More Information on ERM Standards
• Notes
• Chapter 16 Metadata Governance, Standards, and Strategies
• Types of Metadata
• Core Metadata Issues
• International Metadata Standards and Guidance
• ISO 15489 Records Management Definitions and Relevance
• ISO Technical Specification 23081–1: 2006 Information and Documentation—Records Management Proce
• Dublin Core Metadata Initiative
• Global Information Locator Service
• National Metadata Standards
• United States
• Canada
• United Kingdom
• Australia
• Metadata Strategies
• Notes
• Chapter 17 Long‐Term Digital Preservation
• Defining Long‐Term Digital Preservation
• Key Factors in Long‐Term Digital Preservation
• Threats to Preserving Records
• Digital Preservation Standards
• ISO TR 18492 (2005), Long‐Term Preservation of Electronic Document‐Based Information
• ISO 16363 (2012)—Space Data and Information Transfer Systems—Auditand Certification of Trustwort
• PREMIS Preservation Metadata Standard
• Recommended Open‐Standard Technology‐Neutral Formats
• ISO 19005 (PDF/A)—Document Management—Electronic Document File Format for Long‐Term Preservati
• Extensible Markup Language (XML)—World Wide Web Consortium (W3C) Internet Engineering Group (1998)
• Tagged Image File Format: 1992
• ISO/IEC 15498: 2004—Information Technology‐Computer Graphics and Image Processing‐Portable Net
• Scalable Vector Graphics (SVG): 2003. W3C Internet Engineering Task Force
• ISO/IEC 15444:2000—Joint Photographic Engineers Group (JPEG 2000)
• ISO/IEC 13818–3: 2000—Motion Picture Expert Group (MPEG‐2)
• European Broadcasting Tech 3285: 2011—Broadcast Wave Format (BWF)
• ISO 28500: 2009—WebARChive (WARC)
• Digital Preservation Requirements
• Long‐Term Digital Preservation Capability Maturity Model®
• Stage 5: Optimal Digital Preservation Capability
• Stage 4: Advanced Digital Preservation Capability
• Stage 3: Intermediate Digital Preservation Capability
• Stage 2: Minimal Digital Preservation Capability
• Stage 1: Nominal Digital Preservation Capability
• Scope of the Capability Maturity Model
• Digital Preservation Capability Performance Metrics
• Digital Preservation Strategies and Techniques
• Evolving Marketplace
• Looking Forward
• Notes
• Chapter 18 Storage and Hardware Considerations
• The Onslaught of “Big Data”
• Basic Types of Computer Storage
• Today’s E‐Records Storage Solutions
• Nonerasable Nonrewritable Requirement for Securities Broker‐Dealers
• Nonalterable Media Helps Meet Regulations in Healthcare and Other Industries
• Notes
• PART FIVE Project and Program Management Issues
• Chapter 19 E‐Records Project Planning and Program Management Issues
• Avoiding Problems
• Communication Is Key
• Getting an Early Win
• Selecting the Right Team Members
• Project Charter
• Standards in Project Management
• Project Management Methodologies
• Project Management Body of Knowledge
• MIKE2.0 Enterprise Information Management Methodology
• PRINCE2™
• Determining the Best Approach
• Moving to an Ongoing Program
• Monitoring and Accountability
• Continuous Process Improvement
• Why Continuous Improvement Is Needed
• Notes
• Chapter 20 Building the Business Case to Justify an ERM Program
• Determine What Will Fly in Your Organization
• Strategic Business Drivers for Project Justification
• Benefits of Electronic Records Management
• Presenting the Business Case
• Notes
• Chapter 21 Securing Executive Sponsorship
• Executive Sponsor Role
• Project Manager: Key Tasks
• It’s the Little Things
• Evolving Role of the Executive Sponsor
• Notes
• Chapter 22 Procurement Governance: The Buying Process
• Evaluation and Selection Process: RFI, RFP, or RFQ?
• Request for Information
• Request for Proposal
• Request for Quote
• Negotiated Procurement
• Evaluating Software Providers: Key Criteria
• Technological Fit
• Company Viability
• Track Record
• Support
• Access to Senior Management
• Partnerships
• Technology Architecture and Scalability
• Total Cost of Ownership
• Ease of Implementation and Use
• Training
• Negotiating Contracts: Ensuring the Decision
• More Contract Caveats
• How to Pick a Consulting Firm: Evaluation Criteria
• Notes
• Chapter 23 Best Practices for Electronic Records Management
• Detailed ERM Best Practices
• Conclusion
• Notes
• Appendix A Laws and Major Regulations Related to Records Management
• Appendix B Listing of Technology and Service Providers
• Appendix C Trends in Electronic Medical Records Technology
• Glossary
• About the Author
• About the Major Contributors
• Index