Managing Electronic Records: Methods, Best Practices, and Technologies Book

Foreword

Preface

Acknowledgments

Part I: 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® (Charmaine Brooks, CRM)

The Principles

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

Notes

Part II: E-Records Fundamentals

Chapter 5 Inventorying E-Records

The Generally Accepted Recordkeeping Principles

E-Records Inventory Challenges

Records Inventory Purposes

Records Inventorying Steps

UK Approach to the Records Inventorying Process

Appraising the Value of Records

Ensuring Adoption and Compliance of RM Policy

Notes

Chapter 6 Taxonomy Development for E-Records (Barb Blackburn, CRM, with Robert Smallwood; edited by Seth Earley)

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

Pre-Built 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 (Robert Smallwood, edited by Paula Lederman, MLS)

What is a Records Retention Schedule?

Benefits of a Retention Schedule

General Principles of a Retention Scheduling

Developing a Records Retention Schedule

Why Are Retention Schedules Needed?

What Records Do You Have to Schedule? Inventory and Classification

Rationale for Records Groupings

Records Series Identification and Classification

Retention of Email Records

How Long Should You Keep Old Email?

Destructive Retention of Email

Records Appraisal: Value Assessment and Prioritization

Legal Requirements and Compliance Research

Event-based Retention Scheduling for Disposition of E-Records

Prerequisites for Event-Based Disposition

Final Disposition and Closure Criteria

Retaining Transitory Records

Implementation of the Retention Schedule and Disposal of Records

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 Maintaining a Vital Records Program

Implementing Protective Procedures

Cloud Computing Offers a New Option

Auditing the Vital Records Program

Additional Resources

Notes

Chapter 9 ERM Link to Business Process Improvement (Stephen Goodfellow, CRM)

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

Defining “The Project”

Changing Processes Gets Personal

Notes

Chapter 10 Workflow and Business Process Management Software (Jon Pyke and Robert Smallwood)

Workflow Software

Business Process Management Suites

Notes

Part III: 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 Admissibility with Automatic Archiving

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

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

Emerging Best Practices for Managing Social Media Records

Notes

Chapter 14 SharePoint Governance for E-Records and Documents (Monica Crocker, CRM, PMP, edited by Robert Smallwood)

Process Change, People Change

Where to Begin the Planning Process

Records Management Policy Considerations

Roles and Responsibilities

Establish Processes

Training Plan

Communications Plan

Notes

Part IV: Technical Issues

Chapter 15 International E-Records Standards

Benefits of Standards

Major International Standards

Additional Guidance from ANSI, ARMA, AIIM, NIST

Major National and Regional ERM Standards

Other National Standards

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

National Metadata Standards

Metadata Strategies

Notes

Chapter 17 Long-Term Digital Preservation (Charles M. Dollar and Lori J. Ashley)

Defining Long-Term Digital Preservation

Key Factors in Long-Term Digital Preservation

Threats to Preserving Records

Digital Preservation Standards

PREMIS Preservation Metadata Standard

Recommended Open Standard Technology Neutral Formats

Digital Preservation Requirements

Long-Term Digital Preservation Capability Maturity Model®

Scope of the Capability Maturity Model

Digital Preservation Capability Performance Metrics

Digital Preservation Strategies and Techniques

Evolving Marketplace

Notes

Chapter 18 Storage and Hardware Considerations

The Onslaught of “Big Data”

Basic Types of Computer Storage

Today’s E-Records Storage Solutions

Non-Erasable Non-Rewritable Requirement for Securities Broker-dealers

Non-alterable Media Helps Meet Regulations in Healthcare and Other Industries

Notes

Part V: Project and Program Management Issues

Chapter 19 E-Records Project Planning and Program Management Issues (Robert Smallwood, Edited by Monica Croker, CRM, PMP)

Avoiding Problems

Communication is Key

Getting an Early Win

Selecting the Right Team Members

Project Charter

Standards in Project Management

Project Management Methodologies

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?

Evaluating Software Providers: Key Criteria

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

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 (John Orth)

Glossary

About the Author

About the Major Contributors

Index