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Managing Electronic Records. Methods, Best Practices, and Technologies. Wiley CIO

  • ID: 2213100
  • May 2013
  • 464 Pages
  • John Wiley and Sons Ltd
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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 READ MORE >

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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® 21
Charmaine Brooks, CRM GAR Principles 21

Assessment and Improvement Roadmap 28

Generally Accepted Recordkeeping Principles® 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® 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® 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

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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.

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