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Managing Electronic Records: Methods, Best Practices, and Technologies

Book 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®)

  • 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.

Table of Contents

  1. Cover
  2. Series
  3. Title Page
  4. Copyright
  5. Dedication
  6. Foreword
  7. Preface
  8. Acknowledgments
  9. Part One: E–Records Concepts
    1. Chapter 1: E–Records Definitions, Business Drivers, and Benefits
      1. Records Management Business Rationale
      2. Why Is Records Management So Challenging?
      3. Benefits of Electronic Records Management
      4. Additional Intangible Benefits
      5. Notes
    2. Chapter 2: Information Governance
      1. First, Better Policies; Then, Better Technology for Better Enforcement
      2. Defining Information Governance
      3. Stakeholder Consultation Is Key
      4. Accountability Is Key
      5. Why IG Is Good Business
      6. Impact of a Successful IG Program
      7. Critical Factors in an IG Program
      8. Who Should Determine IG Policies?
      9. Notes
    3. Chapter 3: Generally Accepted Recordkeeping Principles¯
      1. The Principles
      2. Assessment and Improvement Roadmap
      3. Generally Accepted Recordkeeping Principles® Benchmarks
      4. Notes
    4. Chapter 4: Managing E–Documents and Records
      1. Enterprise Content Management
      2. Document Management Principles
      3. Electronic Document Management Systems
      4. Electronic Records Management
      5. Records Management Principles
      6. ERM Principles in Detail
      7. Notes
  10. Part Two: E–Records Fundamentals
    1. Chapter 5: Inventorying E–Records
      1. The Generally Accepted Recordkeeping Principles¯
      2. E–Records Inventory Challenges
      3. Records Inventory Purposes
      4. Records Inventorying Steps
      5. UK Approach to the Records Inventorying Process
      6. Appraising the Value of Records
      7. Ensuring Adoption and Compliance of RM Policy
      8. Notes
    2. Chapter 6: Taxonomy Development for E–Records
      1. Importance of Navigation and Classification
      2. When Is a New Taxonomy Needed?
      3. Taxonomies Improve Search Results
      4. Records Grouping Rationale
      5. Business Classification Scheme, File Plans, and Taxonomy
      6. Classification and Taxonomy
      7. Metadata and Taxonomy
      8. Prebuilt versus Custom Taxonomies
      9. Controlled Vocabularies and Hierarchical Taxonomies
      10. Thesaurus Use in Taxonomies
      11. Taxonomy Types
      12. Which Taxonomy Type Should You Use?
      13. Taxonomy Project Planning
      14. Leveraging Subject Matter Experts
      15. Gather Existing Information Sources
      16. Document Inventory
      17. Business Process Analysis
      18. Construct the Taxonomy
      19. What to Do with Items That Do Not Neatly Fit
      20. Taxonomy Testing: A Necessary Step
      21. Taxonomy Maintenance
      22. Taxonomy Management Tools for Continued Maintenance
      23. Social Tagging and Folksonomies
      24. Notes
    3. Chapter 7: Developing Retention Schedules for E–Records
      1. What Is a Records Retention Schedule?
      2. Benefits of a Retention Schedule
      3. General Principles of Retention Scheduling
      4. Developing a Records Retention Schedule
      5. Why Are Retention Schedules Needed?
      6. What Records Do You Have to Schedule? Inventory and Classification
      7. Rationale for Records Groupings
      8. Records Series Identification and Classification
      9. Retention of E–Mail Records
      10. How Long Should You Keep Old E–Mail?
      11. Destruction Retention of E–mail
      12. Records Appraisal: Value Assessment and Prioritization
      13. Legal Requirements and Compliance Research
      14. Event–Based Retention Scheduling for Disposition of E–Records
      15. Prerequisites for Event–Based Disposition
      16. Final Disposition and Closure Criteria
      17. Retaining Transitory Records
      18. Implementation of the Retention Schedule and Disposal of Records
      19. Ongoing Maintenance of the Retention Schedule
      20. Audit to Manage Compliance with the Retention Schedule
      21. Notes
    4. Chapter 8: Managing Vital E–Records
      1. Defining Vital Records
      2. Types of Vital Records
      3. Impact of Losing Vital Records
      4. Creating, Implementing, and Maintaining a Vital Records Program
      5. Implementing Protective Procedures
      6. Cloud Computing Offers a New Option
      7. Auditing the Vital Records Program
      8. Additional Resources
      9. Notes
    5. Chapter 9: ERM Link to Business Process Improvement
      1. Improving Processes, Improving Quality
      2. Six Sigma
      3. Learning from the Failures of the Past
      4. Typical Components When Improving a Business Process
      5. Business Process and E–Records Link
      6. Documenting Business Processes
      7. First Steps in Documenting a Process: Information Gathering
      8. Creating a Process Narrative
      9. Flowcharting
      10. Process Analysis
      11. Workflow
      12. E–Records Are Very Personal to People
      13. Change Management
      14. Communicate, Communicate, Communicate
      15. Find the Source; Avoid the Cycle
      16. Avoid Scope-creep: Defining “The Project” and Its Scope
      17. Changing Processes Gets Personal
      18. Notes
    6. Chapter 10: Workflow and Business Process Management Software
      1. Workflow Software
      2. Business Process Management Suites
      3. Notes
  11. Part Three: Information Delivery Platforms: Managing E–Records
    1. Chapter 11: Managing E–Mail and IM Records*
      1. Employees Regularly Expose Organizations to E–Mail Risk
      2. E–Mail Polices Should Be Realistic and Technology Agnostic
      3. E–Record Retention: Fundamentally a Legal Issue
      4. Preserve E–Mail Integrity and Admissibility with Automatic Archiving
      5. Instant Messaging
      6. Best Practices for Business IM Use
      7. Technology to Monitor IM
      8. Tips for Safer IM
      9. Notes
    2. Chapter 12: Managing E–Records in the Cloud*
      1. Defining Cloud Computing
      2. Key Characteristics of Cloud Computing
      3. What Cloud Computing Really Means
      4. Cloud Deployment Models
      5. Greatest Security Threats to Cloud Computing
      6. IG Guidelines: Managing Documents and Records in the Cloud
      7. Managing E–Docs and Records in the Cloud: A Practical Approach
      8. Long–Term Content Migration Issues
      9. Cloud Services Lack Basic Records Management Capabilities
      10. Notes
    3. Chapter 13: Managing Social Media Business Records*
      1. Types of Social Media in Web 2.0
      2. Additional Social Media Categories
      3. Social Media in the Enterprise
      4. Key Ways Social Media Is Different from E–Mail and Instant Messaging
      5. Biggest Risks of Social Media
      6. Legal Risks of Social Media Posts
      7. Tools to Archive Social Media
      8. IG Considerations for Social Media
      9. Key Social Media Policy Guidelines
      10. Records Management Considerations for Social Media
      11. Emerging Best Practices for Managing Social Media Records
      12. Notes
    4. Chapter 14: SharePoint Governance for E–Records and Documents
      1. Process Change, People Change
      2. Where to Begin the Planning Process
      3. Records Management Policy Considerations
      4. Roles and Responsibilities
      5. Establish Processes
      6. Training Plan
      7. Communications Plan
      8. Notes
  12. Part Four: Technical Issues
    1. Chapter 15: International E–Records Standards
      1. Benefits of Standards
      2. Major International Standards
      3. Additional Guidance from ANSI, ARMA, AIIM, NIST, BSI
      4. Major National and Regional ERM Standards
      5. Other National Standards
      6. Where to Find More Information on ERM Standards
      7. Notes
    2. Chapter 16: Metadata Governance, Standards, and Strategies
      1. Types of Metadata
      2. Core Metadata Issues
      3. International Metadata Standards and Guidance
      4. National Metadata Standards
      5. Metadata Strategies
      6. Notes
    3. Chapter 17: Long–Term Digital Preservation
      1. Defining Long–Term Digital Preservation
      2. Key Factors in Long–Term Digital Preservation
      3. Threats to Preserving Records
      4. Digital Preservation Standards
      5. PREMIS Preservation Metadata Standard
      6. Recommended Open–Standard Technology–Neutral Formats
      7. Digital Preservation Requirements
      8. Long–Term Digital Preservation Capability Maturity Model¯
      9. Scope of the Capability Maturity Model
      10. Digital Preservation Capability Performance Metrics
      11. Digital Preservation Strategies and Techniques
      12. Evolving Marketplace
      13. Looking Forward
      14. Notes
    4. Chapter 18: Storage and Hardware Considerations
      1. The Onslaught of “Big Data”
      2. Basic Types of Computer Storage
      3. Today's E–Records Storage Solutions
      4. Nonerasable Nonrewritable Requirement for Securities Broker–Dealers
      5. Nonalterable Media Helps Meet Regulations in Healthcare and Other Industries
      6. Notes
  13. Part Five: Project and Program Management Issues
    1. Chapter 19: E–Records Project Planning and Program Management Issues
      1. Avoiding Problems
      2. Communication Is Key
      3. Getting an Early Win
      4. Selecting the Right Team Members
      5. Project Charter
      6. Standards in Project Management
      7. Project Management Methodologies
      8. Determining the Best Approach
      9. Moving to an Ongoing Program
      10. Monitoring and Accountability
      11. Continuous Process Improvement
      12. Why Continuous Improvement Is Needed
      13. Notes
    2. Chapter 20: Building the Business Case to Justify an ERM Program
      1. Determine What Will Fly in Your Organization
      2. Strategic Business Drivers for Project Justification
      3. Benefits of Electronic Records Management
      4. Presenting the Business Case
      5. Notes
    3. Chapter 21: Securing Executive Sponsorship
      1. Executive Sponsor Role
      2. Project Manager: Key Tasks
      3. It's the Little Things
      4. Evolving Role of the Executive Sponsor
      5. Notes
    4. Chapter 22: Procurement Governance: The Buying Process
      1. Evaluation and Selection Process: RFI, RFP, or RFQ?
      2. Evaluating Software Providers: Key Criteria
      3. Negotiating Contracts: Ensuring the Decision
      4. More Contract Caveats
      5. How to Pick a Consulting Firm: Evaluation Criteria
      6. Notes
    5. Chapter 23: Best Practices for Electronic Records Management
      1. Detailed ERM Best Practices
      2. Conclusion
      3. Notes
  14. Appendix A: Laws and Major Regulations Related to Records Management
    1. United States
    2. Gramm–Leach–Bliley Act
    3. Healthcare Insurance Portability and Accountability Act of 1996 (HIPAA)
    4. PATRIOT Act (Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act of 2001)
    5. Sarbanes–Oxley Act (SOX)
    6. SEC Rule 17A–4
    7. CFR Title 47, Part 42—Telecommunications
    8. CFR Title 21, Part 11—Pharmaceuticals
    9. U.S. Federal Authority on Archives and Records: National Archives and Records Administration (NARA)
    10. U.S. Code of Federal Regulations
    11. Canada*
    12. United Kingdom
    13. Australia
    14. Identifying Records Management Requirements in Other Legislation
    15. Notes
  15. Appendix B: Listing of Technology and Service Providers
  16. Appendix C: Trends in Electronic Medical Records Technology
    1. Diagnostic Support Intelligence
    2. Computerized Physician Order Entry (CPOE) Facilitation
    3. Drug Alerts
    4. Charting Patient Vital Signs and Significant Indicators
    5. Patient Compliance Support
    6. Improved Organization of Clinical Data for Improved Access
    7. Connectivity with Existing Digital Technologies
    8. Improved Workflow for Added Efficiency and Status Tracking
    9. Mobile Technologies More Easily Integrated
    10. Compatibility with Radiology Picture Archiving and Communication Systems (PACS) Networks for Access to Diagnostic Images
    11. Enables Patient Remote Access to Their Medical Records
    12. Interoperability with Multiple Clinicians and Medical Providers to Optimize and Coordinate Patient Care
    13. All Certified EMR Vendors Must Implement the Health Information Exchange Protocols for Interoperability
    14. Electronic Master Patient Index
    15. Public Health Access to Patient Data
    16. Provides Better and Faster Data for Epidemiology Studies and Drug Efficacy
    17. EMR Technology for the 2012 U.S. Olympic Team
    18. HIMSS EMR Adoption Model
    19. Implementation of New ICD–10 Codes to Automate Medical Billing and Manage Costs
    20. Accountable Care Organizations
    21. Notes
  17. Glossary
    1. Notes
  18. About the Author
  19. About the Major Contributors
  20. Index