مدیریت سوابق: گذار از کاغذ به الکترونیک

Traditional records and information management (RIM) programs have been organized around paper-based, physical recordkeeping systems and processes. However, organizations must transition from the paper-based model to a new model built around the management of electronic records to optimize the value of information by ensuring that it is easily accessible, complete, true and accurate, and fully usable for any and all legal and business purposes. Making the Transition from Paper to Electronic focuses on 10 key ingredients for making this transition. Major topic areas include: records retention auditing and compliance recordkeeping and the law improving recordkeeping system performance records protection information access, privacy, and security software solutions digital records preservation. Chapter 1 Introduction: Status and Trends 1 Status of RIM 2 Status ofElectronic RIM 3 Inadequate Management Recognition 4 Inadequate Funding 4 Positive Trends 5 Explosive Growth ofElectronic Records 5 New Technologies 5 The Growing Role ofInformation in Organizational Success 6 Large Computer Companies Enter the RIM Business 7 New Regulatory Compliance Mandates 7 Managing Recorded Information: The New Challenges 7 Increasing Litigation Risks 7 RIM at the Desktop 8 RIM and E-mail 8 RIM Standards 8 Paper vs. Electronic Records: Contrasting Capabilities 9 A Professional Discipline in Transition 12 Desired State ofRIM 12 International RIM 13 Chapter 2 Building Successful Programs Sustained, Committed Executive Sponsorship Strategic Plan for the Future Commitment to Digital Recordkeeping Governance Structure of Key Stakeholders 17 18 19 19 20 iii iv Records Management: Making the Transition from Paper to Electronic Optimal Organizational Placement 21 Requisite Funding and Staffing 23 Define Investment Options 23 Required Skill Sets 25 Outsourcing Options 26 Strategic Partnership with IT 27 Development of Requisite Technology Solutions 28 Program Development in Compliance with ISO 15489 29 Proactive Agenda for RIM 30 Chapter 3 Records Retention: Managing the Information Life Cycle 33 The Purpose of Records Retention 33 Status ofOrganizational Retention Programs 34 Managing the Life Cycle ofInformation Assets 34 Benefits ofRecords Retention 34 The Business Case for Records Retention 36 ISO 15489 and Records Retention 37 Common Mistakes in Records Retention 37 Retention and Schedule Development 38 Responsibilityfor Schedule Development 38 Database for Schedule Preparation 39 Content, Type, and Format of Retention Schedules 39 Departmental Retention Schedules 40 Functional Retention Schedules 41 Records Series Descriptions 41 Office ofRecord Designations 42 Records Media Specified in Schedules 42 Legally Compliant Schedules 43 Legal Retention Research Responsibility 43 Relevant Citationsfor Retention Requirements 43 Laws and Regulations Cited in Schedules 44 Legally Valid Retention Periods 4g Average Distribution ofRetention Periods 49 Expression and Justification ofRetention Periods 50 Management Approval of Retention Schedules 50 Chapter 4 Electronic Records Retention: Managing the Data Life Cycle 53 Current Status of Electronic Records Retention 54 Key Trends in Data Storage 55 Explosive Growth ofElectronic Records 55 Data Storage Mismanagement ^ Contents v Cost-Benefit Considerations 57 Information Life Cycle Management 58 The Desktop and Records Retention 62 Principlesfor Desktop Retention 63 IT-Managed System Applications 64 Sample Policy: Desktop Records Retention 66 Sample Policy: Records Retention Requirements for IT-Managed Applications 67 Chapter 5 Retention Implementation, Auditing, and Compliance 71 Reasonable Retention Goals 71 Retention Training 72 Keys to Success 72 An Effective Governance Structure 73 Intranet-Based Schedules, Policies, and Guidelines 74 Individual Responsibilitiesfor Retention Implementation 74 Records Purge Days 74 Compliance Documentation 78 Penaltiesfor Noncompliance 79 Retention Audits 79 Retention Implementation in Five Recordkeeping Environments 80 Sample Policy: Corporate Records Retention 75 Chapter 6 Business Recordkeeping and the Law 83 RIM—Legally Discretionary 84 New Recordkeeping Technologies 84 Recordkeeping Media 85 Admissibility into Evidence 86 Electronic Commerce and Digital Signatures 86 UN Model Law on Electronic Commerce 87 UN Model Law on Electronic Signatures 90 U.S. E-Sign Law 91 Uniform Electronic Transactions Act 92 New Regulatory Initiatives 92 Sarbanes-Oxley Act 95 New Mandatefor Internal Control 96 Sarbanes-Oxley and ITIssues 98 HIPAA 98 Gramm-Leach-Bliley 99 Basel II 99 Authenticity of Records 99 Reliability, Integrity, and Usability 100 VI Records Management: Making the Transition from Paper to Electronic Chapter 7 Records Retention and the Law 103 The Government’s Role in Records Retention 103 Compliance with Retention Laws and Regulations 104 Regulatory Requirements Pertaining to Electronic Records 105 The Seven-Year Myth 105 Statutes of Limitation 106 Sarbanes-Oxley Act 107 Retention ofAudit Records 107 Records Retention and Litigation 108 Judicially Imposed Sanctions 110 Litigation and Records 111 Retention Periods Where Litigation is Likely * 111 Stevenson vs. Union Pacific 112 Lewy vs. Remington Arms 112 Rambus vs. Infineon Technologies 113 U.S. vs. Taber 113 Retention Obligations in Discovery 113 Carlucci vs. Piper Aircraft 113 Prudential Insurance Co. ofAmerica 114 Zubulake vs. UBS Warburg 114 Retention Obligations Prior to Discovery 115 U.S. vs. Author Andersen, LLP 115 Sarbanes-Oxley Removes Ambiguities in the Law 117 Litigation Holds 118 The Andersen Case: The Last Word 119 Summary of Key Legal Principles 119 Sample Policy for All Employees 121 Sample Policy: Legal Hold on Records Destruction 121 Chapter 8 Managing the Message 125 Management Challenges 126 Legal Issues 127 E-mail Usage Patterns 128 IT Issues 129 Spam 130 Managing Records as Records 131 E-mail Retention 131 E-mail Retention Policy 132 Instant Messaging 133 Voice Messaging 135 Messaging Technology Solutions 136 Sample Policy: E-mail Retention 137 Contents vii Chopter 9 Improving Recordkeeping System Performance 141 Poor Accessibility: Causes and Consequences 141 Search Queries 143 System Performance Evaluation 145 Precise Retrieval 146 Levels ofSystem Performance 146 Timely Retrieval 147 Other Measures ofSystem Performance 148 Qualitative Analysis ofSystem Performance 148 Enterprise Classification and Taxonomy 149 Systems with No Taxonomy 150 Unstructured Content 151 The Enterprise Taxonomy 152 Standard Categories 153 Category Selection 153 Software Solutions for Automatic Categorization 157 Chapter 10 Protecting Information from Disaster 161 Status of Information Protection 162 Routine Data Losses 163 RIM’s Role 164 Traditional Data Protection Methodologies 164 Twelve-Tape Backup Methodology 166 Data Recovery Speed 167 E-vaulting and Online Backup 167 Open-File Backup 168 Storage Area Networks 169 Protection Priorities 169 Application Analysis 170 Degree-of-Criticality Assessments 171 Desktop Records Protection 171 User Requirementsfor Desktop Backup 172 Recovery ofMagnetic Media 173 Retention ofBackup Data 174 Lessons of September 11,2001 174 Vital Paper Records Protection 175 Chapter 11 Information Access, Privacy, and Security 179 Privacy 179 Privacy and the Internet 180 viii Records Management: Making the Transition from Paper to Electronic International Aspects ofPrivacy 181 EU’s Data Protection Directive 182 Privacy in the United States 182 U.S. Safe Harbor Agreement 183 Compliance with EU’s Privacy Rules 183 Privacy Laws in California 184 Canada’s New Privacy Law 184 RIM Implications 185 Security 185 Legal Aspects ofInformation Security 188 Uniform Trade Secrets Act 189 ISO Global Information Security Standard 189 Key RIM Actions , 190 Sample Policy: Records Access 191 Chapter 12 Software Solutions for Electronic RIM 195 Electronic RIM Issues 196 Categories of Electronic RIM Solutions 197 RIM Software 198 Retention Functionality in RIM Software 199 EDMS Solutions 199 Retention Functionality in EDMS Solutions 201 Effecting Destruction Under Retention Rules 202 Solution Convergence 202 The TR48 Integration Model 203 Optionsfor Solution Integration 204 Common Metadata for Solution Integration 205 Declared Records and ERMS Management 206 Sample Solutions 206 The DoD 5015.2 Standard 207 The Standard’s Applicability 208 Compliance Testing 209 The Standard’s Content 209 Europe’s MoReq Specification 210 Implementation Issues 211 Managing Information Content 215 ECM and RIM ECM—Fad or Long-Term Solution? 216 217 Contents ix Knowledge Management 217 KM’s Detractors 219 KM and RIM 219 ECM Technology Components 220 Document Imaging / Digitization 220 Imaging Benefits 220 Imaging Media and Applications 221 Assimilating Imaging: Strategic Recommendations 223 Text Retrieval / Content Search 223 Workflow Automation Tools 225 Data Warehousing and Data Mining 226 Enterprise Information Portals 227 EIP Features 228 Building an EIP 229 Chapter 14 Digital Records Preservation 233 Archival Data Storage Requirements 235 ISO 15489 and Digital Preservation 236 Media Stability and Technology Obsolescence 236 Digital vs. Paper Preservation 237 Data Preservation Practices 238 Storage Media 238 Data Migration 238 Data Migration Plan 240 Alternatives to Data Migration 240 File Formats 241 Media Recopying 242 Metadata Requirements 243 Systems Documentation 244 Media Storage and Maintenance 245 ANSI Standardfor Media Storage 245 Media Inspection 246 Media Refreshing /Rewinding 246 Future Preservation Solutions 247 Glossary 251 Bibliography 265 Index 285 About the Author 291 About the Association 292 Introduction : Status And Trends -- Building Successful Programs -- Records Retention : Managing The Information Life Cycle -- Electronic Records Retention : Managing The Data Life Cycle -- Retention Implementation, Auditing, And Compliance -- Business Recordkeeping And The Law -- Records Retention And The Law -- Managing The Message -- Improving Recordkeeping System Performance -- Protecting Information From Disaster -- Information Access, Privacy, And Security -- Software Solutions For Electronic Rim -- Managing Information Content -- Digital Records Preservation. David O. Stephens. Includes Bibliographical References And Index.